CFR 2019 Title1 Vol1

Title 1
General Provisions
Revised as of January 1, 2019
Containing a codification of documents

of general applicability and future effect
As of January 1, 2019
Published by the Office of the Federal Register

National Archives and Records Administration
as a Special Edition of the Federal Register
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VerDate Sep<11>2014 15:54 Mar 19, 2019 Jkt 247004 PO 00000 Frm 00001 Fmt 8091 Sfmt 8091 Q:\01\1V1.TXT PC31
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Table of Contents
Page
Explanation ................................................................................................ v
Title 1:
Chapter I—Administrative Committee of the Federal Register ...... 3
Chapter II—Office of the Federal Register ...................................... 35
Chapter III—Administrative Conference of the United States ........ 41
Chapter IV—Miscellaneous Agencies .............................................. 63
Chapter V [Reserved]
Chapter VI—National Capital Planning Commission ...................... 95
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 137
Alphabetical List of Agencies Appearing in the CFR ......................... 157
List of CFR Sections Affected ............................................................. 167

iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 1 CFR 1.1 re-
fers to title 1, part 1,
section 1.
iv
Explanation
The Code of Federal Regulations is a codification of the general and permanent
rules published in the Federal Register by the Executive departments and agen-
cies of the Federal Government. The Code is divided into 50 titles which represent
broad areas subject to Federal regulation. Each title is divided into chapters
which usually bear the name of the issuing agency. Each chapter is further sub-
divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
Title 17 through Title 27 .................................................................as of April 1
Title 28 through Title 41 ..................................................................as of July 1
Title 42 through Title 50 .............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially noticed (44
U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text
of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual issues
of the Federal Register. These two publications must be used together to deter-
mine the latest version of any given rule.
To determine whether a Code volume has been amended since its revision date
(in this case, January 1, 2019), consult the ‘‘List of CFR Sections Affected (LSA),’’
which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which
appears in the Reader Aids section of the daily Federal Register. These two lists
will identify the Federal Register page number of the latest amendment of any
given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Reg-
ister since the last revision of that volume of the Code. Source citations for
the regulations are referred to by volume number and page number of the Federal
Register and date of publication. Publication dates and effective dates are usu-
ally not the same and care must be exercised by the user in determining the
actual effective date. In instances where the effective date is beyond the cut-
off date for the Code a note has been inserted to reflect the future effective
date. In those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be inserted following
the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies
to display an OMB control number with their information collection request.
Many agencies have begun publishing numerous OMB control numbers as amend-
ments to existing regulations in the CFR. These OMB numbers are placed as
close as possible to the applicable recordkeeping or reporting requirements.
PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of the revision
date stated on the cover of each volume are not carried. Code users may find
the text of provisions in effect on any given date in the past by using the appro-
priate List of CFR Sections Affected (LSA). For the convenience of the reader,
a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume.
For changes to the Code prior to the LSA listings at the end of the volume,
consult previous annual editions of the LSA. For changes to the Code prior to
2001, consult the List of CFR Sections Affected compilations, published for 1949-
1963, 1964-1972, 1973-1985, and 1986-2000.
‘‘[RESERVED]’’ TERMINOLOGY
The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal
Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ loca-
tion at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that
a portion of the CFR was left vacant and not accidentally dropped due to a print-
ing or computer error.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was established
by statute and allows Federal agencies to meet the requirement to publish regu-
lations in the Federal Register by referring to materials already published else-
where. For an incorporation to be valid, the Director of the Federal Register
must approve it. The legal effect of incorporation by reference is that the mate-
rial is treated as if it were published in full in the Federal Register (5 U.S.C.
552(a)). This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the Federal Register
will approve an incorporation by reference only when the requirements of 1 CFR
part 51 are met. Some of the elements on which approval is based are:
(a) The incorporation will substantially reduce the volume of material pub-
lished in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to
afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in
accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If you have any
problem locating or obtaining a copy of material listed as an approved incorpora-
tion by reference, please contact the agency that issued the regulation containing
that incorporation. If, after contacting the agency, you find the material is not
available, please notify the Director of the Federal Register, National Archives
and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or
call 202-741-6010.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a separate
volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.
This volume contains the Parallel Table of Authorities and Rules. A list of CFR
titles, chapters, subchapters, and parts and an alphabetical list of agencies pub-
lishing in the CFR are also included in this volume.
vi
An index to the text of ‘‘Title 3—The President’’ is carried within that volume.
The Federal Register Index is issued monthly in cumulative form. This index
is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg-
ister.
A List of CFR Sections Affected (LSA) is published monthly, keyed to the
revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing in the
Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this volume,
contact the issuing agency. The issuing agency’s name appears at the top of
odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202–741–6000 or write
to the Director, Office of the Federal Register, National Archives and Records
Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail
fedreg.info@nara.gov.
SALES
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ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of CFR Sections
Affected), The United States Government Manual, the Federal Register, Public
Laws, Public Papers of the Presidents of the United States, Compilation of Presi-
dential Documents and the Privacy Act Compilation are available in electronic
format via www.ofr.gov. For more information, contact the GPO Customer Con-
tact Center, U.S. Government Publishing Office. Phone 202-512-1800, or 866-512-
1800 (toll-free). E-mail, ContactCenter@gpo.gov.
The Office of the Federal Register also offers a free service on the National
Archives and Records Administration’s (NARA) World Wide Web site for public
law numbers, Federal Register finding aids, and related information. Connect
to NARA’s web site at www.archives.gov/federal-register.
The e-CFR is a regularly updated, unofficial editorial compilation of CFR ma-
terial and Federal Register amendments, produced by the Office of the Federal
Register and the Government Publishing Office. It is available at www.ecfr.gov.
OLIVER A. POTTS,
Director,
Office of the Federal Register.
January 1, 2019.
vii
THIS TITLE
Title 1—GENERAL PROVISIONS is composed of one volume. This volume is com-

prised of Chapter I—Administrative Committee of the Federal Register, Chapter
II—Office of the Federal Register, Chapter III—Administrative Conference of the
United States, Chapter IV—Miscellaneous Agencies, and Chapter VI— National
Capital Planning Commission. The contents of this volume represents all current
regulations codified under this title of the CFR as of January 1, 2019.
Chapter IV contains the current Privacy Act, Freedom of Information Act,

and Rehabilitation Act regulations issued by miscellaneous agencies.
For this volume, Ann Worley was Chief Editor. The Code of Federal Regula-
tions publication program is under the direction of John Hyrum Martinez, as-
sisted by Stephen J. Frattini.
ix
Title 1—General
Provisions
Part
CHAPTER I—Administrative Committee of the Federal Reg-

ister .................................................................................... 1
CHAPTER II—Office of the Federal Register ........................... 51
CHAPTER III—Administrative Conference of the United
States ................................................................................. 301
CHAPTER IV—Miscellaneous Agencies .................................... 425
CHAPTER V [Reserved]
CHAPTER VI—National Capital Planning Commission ........... 602

CHAPTER I—ADMINISTRATIVE COMMITTEE OF
THE FEDERAL REGISTER
SUBCHAPTER A—GENERAL
Part Page
1 Definitions .............................................................. 5
2 General information ................................................ 5
3 Services to the public .............................................. 6
SUBCHAPTER B—THE FEDERAL REGISTER
5 General .................................................................... 8
6 Indexes and ancillaries ............................................ 9
SUBCHAPTER C—SPECIAL EDITIONS OF THE FEDERAL REGISTER
8 Code of Federal Regulations ................................... 11

9 The United States Government Manual .................. 12
10 Presidential Papers ................................................. 13
SUBCHAPTER D—AVAILABILITY OF OFFICE OF THE FEDERAL REGISTER
PUBLICATIONS
11 Subscriptions .......................................................... 15
12 Official distribution within Federal Government ... 16
SUBCHAPTER E—PREPARATION, TRANSMITTAL, AND PROCESSING OF
DOCUMENTS
15 Services to Federal agencies ................................... 19

16 Agency representatives ........................................... 19
17 Filing for public inspection and publication sched-
ules ....................................................................... 20
18 Preparation and transmittal of documents gen-
erally .................................................................... 22
19 Executive orders and Presidential proclamations .. 25
20 Handling of The United States Government Man-
ual statements ..................................................... 26
21 Preparation of documents subject to codification .. 28
22 Preparation of notices and proposed rules .............. 32

23–49 [Reserved]
SUBCHAPTER A—GENERAL
PART 1—DEFINITIONS 2.2 Administrative Committee of the Fed-

eral Register.
2.3 Office of the Federal Register; location;
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, office hours.
19 FR 2709; 3 CFR, 1954–1958 Comp., p.189. 2.4 General authority of Director.
2.5 Publication of statutes, regulations, and
§ 1.1 Definitions. related documents.
As used in this chapter, unless the 2.6 Unrestricted use.
context requires otherwise— AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530,
Administrative Committee means the 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189; 1
Administrative Committee of the Fed- U.S.C. 112; 1 U.S.C. 113.
eral Register established under section
SOURCE: 37 FR 23603, Nov. 4, 1972, unless
1506 of title 44, United States Code; otherwise noted.
Agency means each authority, wheth-
er or not within or subject to review by § 2.1 Scope and purpose.
another agency, of the United States,
other than the Congress, the courts, (a) This chapter sets forth the poli-
the District of Columbia, the Common- cies, procedures, and delegations under
wealth of Puerto Rico, and the terri- which the Administrative Committee
tories and possessions of the United of the Federal Register carries out its
States; general responsibilities under chapter
Document includes any Presidential 15 of title 44, United States Code.
proclamation or Executive order, and (b) A primary purpose of this chapter
any rule, regulation, order, certificate, is to inform the public of the nature
code of fair competition, license, no- and uses of Federal Register publica-
tice, or similar instrument issued, pre- tions.
scribed, or promulgated by an agency;
Document having general applicability § 2.2 Administrative Committee of the
and legal effect means any document Federal Register.
issued under proper authority pre- (a) The Administrative Committee of
scribing a penalty or course of conduct, the Federal Register is established by
conferring a right, privilege, authority, section 1506 of title 44, United States
or immunity, or imposing an obliga- Code.
tion, and relevant or applicable to the
(b) The Committee consists of—
general public, members of a class, or
(1) The Archivist, or Acting Archi-
persons in a locality, as distinguished
from named individuals or organiza- vist, of the United States, who is the
tions; and Chairman;
Filing means making a document (2) An officer of the Department of
available for public inspection at the Justice designated by the Attorney
Office of the Federal Register during General; and
official business hours. A document is (3) The Public Printer or Acting Pub-
filed only after it has been received, lic Printer.
processed and assigned a publication (c) The Director of the Federal Reg-
date according to the schedule in part ister is the Secretary of the Com-
17 of this chapter. mittee.
Regulation and rule have the same (d) Any material required by law to
meaning. be filed with the Committee, and any
[37 FR 23603, Nov. 4, 1972, as amended at 50 correspondence, inquiries, or other ma-
FR 12466, Mar. 28, 1985] terial intended for the Committee or
which relate to Federal Register publi-
PART 2—GENERAL INFORMATION cations shall be sent to the Director of
the Federal Register.
Sec.
2.1 Scope and purpose.
§ 2.3 1 CFR Ch. I (1–1–19 Edition)
§ 2.3 Office of the Federal Register; lo- (c) Based on source materials that
cation; office hours. are officially related to the acts and
(a) The Office of the Federal Register documents filed under paragraph (a) of
is a component of the National Ar- this section, the Office also publishes
chives and Records Administration. ‘‘The United States Government Man-
(b) The Office is located at 800 North ual,’’ the ‘‘Public Papers of the Presi-
Capitol, NW., suite 700, Washington, dents of the United States,’’ the ‘‘Daily
DC. Compilation of Presidential Docu-
(c) The mailing address is: Office of ments,’’ the ‘‘FEDERAL REGISTER
the Federal Register, National Ar- Index,’’ and the ‘‘LSA (List of CFR
chives and Records Administration, Sections Affected).’’
Washington, DC 20408.
(d) Office hours are 8:45 a.m. to 5:15 [37 FR 23603, Nov. 4, 1972, as amended at 54
FR 9676, Mar. 7, 1989; 74 FR 3952, Jan. 21, 2009]
p.m., Monday through Friday, except
for official Federal holidays. § 2.6 Unrestricted use.
[37 FR 23603, Nov. 4, 1972, as amended at 54
Any person may reproduce or repub-
FR 9676, Mar. 7, 1989; 57 FR 40024, Sept. 1,
1992] lish, without restriction, any material
appearing in any regular or special edi-
§ 2.4 General authority of Director. tion of the FEDERAL REGISTER.
(a) The Director of the Federal Reg-
ister is delegated authority to admin- PART 3—SERVICES TO THE PUBLIC
ister generally this chapter, the related
provisions of chapter 15 of title 44, Sec.
United States Code, and the pertinent 3.1 Information services.
provisions of statutes and regulations 3.2 Public inspection of documents.
contemplated by section 1505 of title 44, 3.3 Reproduction and certification of copies
United States Code. of acts and documents.
(b) The Director may return to the AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530,
issuing agency any document sub- 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189.
mitted for publication in the FEDERAL
REGISTER, or a special edition thereof, SOURCE: 37 FR 23604, Nov. 4, 1972, unless
if in the Director’s judgment the docu- otherwise noted.
ment does not meet the minimum re-
§ 3.1 Information services.
quirements of this chapter.
Except in cases where the time re-
FR 9676, Mar. 7, 1989] quired would be excessive, information
concerning the publications described
§ 2.5 Publication of statutes, regula- in § 2.5 of this chapter and the original
tions, and related documents. acts and documents filed with the Of-
(a) The Director of the Federal Reg- fice of the Federal Register is provided
ister is responsible for the central fil- by the staff of that Office. However,
ing of the original acts enacted by Con- the staff may not summarize or inter-
gress and the original documents con- pret substantive text of any act or doc-
taining Executive orders and proclama- ument.
tions of the President, other Presi-
dential documents, regulations, and § 3.2 Public inspection of documents.
notices of proposed rulemaking and (a) Documents filed with the Office of
other notices, submitted to the Direc- the Federal Register pursuant to law
tor by officials of the executive branch are available for public inspection at
of the Federal Government. 800 North Capitol Street, NW., suite
(b) Based on the acts and documents
700, Washington, DC, during the Office
filed under paragraph (a) of this sec-
of the Federal Register office hours.
tion, the Office of the Federal Register
There are no formal inspection proce-
publishes the ‘‘slip laws,’’ the ‘‘United
States Statutes at Large,’’ the daily dures or requirements.
FEDERAL REGISTER and the ‘‘Code of

Federal Regulations.’’
Admin. Comm. of the Federal Register § 3.3
(b) The Director of the Federal Reg- § 3.3 Reproduction and certification of
ister shall cause each document re- copies of acts and documents.
ceived by the office to be filed for pub-
The regulations for the public use of
lic inspection not later than the work-
records in the National Archives (36
ing day preceding the publication day
for that document. CFR parts 1252–1258) govern the fur-
(c) The Director shall cause to be nishing of reproductions of acts and
placed on the original and certified documents and certificates of authen-
copies of each document a notation of tication for them. Section 1258.14 of
the day and hour when it was filed and those regulations provides for the ad-
made available for public inspection. vance payment of appropriate fees for
(d) Photocopies of documents or ex- reproduction services and for certi-
cerpts may be made at the inspection fying reproductions.
desk.
[51 FR 27017, July 29, 1986, as amended at 54
[37 FR 23604, Nov. 4, 1972, as amended at 54 FR 9676, Mar. 7, 1989]
FR 9676, Mar. 7, 1989; 57 FR 40025, Sept. 1,
1992]
SUBCHAPTER B—THE FEDERAL REGISTER
PART 5—GENERAL (a) Presidential proclamations and

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

There shall be an edition of the FED- Federal Regulations, begin a rule-
ERAL REGISTER published for each offi-
making proceeding, and affect or relate
cial Federal working day. to other documents previously pub-
lished in the proposed rules section.
[54 FR 9676, Mar. 7, 1989] (d) Notices. This category contains
miscellaneous documents applicable to
§ 5.7 Delivery and mailing. the public and not covered by para-
The Government Printing Office graphs (a), (b), and (c) of this section.
shall distribute the FEDERAL REGISTER This category includes announcements
by delivery or by deposit at a post of- of meetings and other information of
fice at or before 9 a.m. on the publica- public interest.
tion day, except that each FEDERAL
REGISTER dated for a Monday shall be FR 9676, Mar. 7, 1989]
deposited at a post office at or before 9
a.m. on the preceding Saturday. § 5.10 Forms of publication.
§ 5.8 Form of citation. Pursuant to section 1506 of title 44,
United States Code, the Administrative
Without prejudice to any other form Committee publishes the FEDERAL
of citation, FEDERAL REGISTER mate- REGISTER in the following formats:
rial may be cited by volume and page paper; microfiche; and online on GPO
number, and the short form ‘‘FR’’ may Access (44 U.S.C. 4101).
be used for ‘‘FEDERAL REGISTER’’. For
example, ‘‘37 FR 6803’’ refers to mate- [61 FR 68118, Dec. 27, 1996]
rial beginning on page 6803 of volume 37
of the daily issues. PART 6—INDEXES AND
ANCILLARIES
§ 5.9 Categories of documents.
Each document published in the FED- Sec.
ERAL REGISTER shall be placed under 6.1 Index to daily issues.
one of the following categories, as indi- 6.2 Analytical subject indexes.
cated: 6.3 Daily lists of parts affected.
6.4 Monthly list of sections affected.
(a) The President. This category con- 6.5 Indexes, digests, and guides.
tains each Executive order or Presi-
dential proclamation and each other AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530,
19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189.
Presidential document that the Presi-
dent submits for publication or orders SOURCE: 37 FR 23605, Nov. 4, 1972, unless
to be published. otherwise noted.
(b) Rules and regulations. This cat-
§ 6.1 Index to daily issues.
egory contains each document having
general applicability and legal effect, Each daily issue of the FEDERAL REG-
except those covered by paragraph (a) ISTER shall be appropriately indexed.
of this section. This category includes
documents subject to codification, gen- § 6.2 Analytical subject indexes.
eral policy statements concerning reg- Analytical subject indexes covering
ulations, interpretations of agency reg- the contents of the FEDERAL REGISTER
ulations, statements of organization shall be published as currently as prac-
and function, and documents that af- ticable and shall be cumulated and sep-
fect other documents previously pub- arately published at least once each
lished in the rules and regulations sec- calendar year.
tion.
(c) Proposed rules. This category con- § 6.3 Daily lists of parts affected.
tains each notice of proposed rule- (a) Each daily issue of the FEDERAL
making submitted pursuant to section REGISTER shall carry a numerical list
553 of title 5, United States Code, or of the parts of the Code of Federal Reg-
any other law, which if promulgated as ulations specifically affected by docu-
a rule, would have general applica- ments published in that issue.
bility and legal effect. This category (b) Beginning with the second issue
includes documents that suggest of each month, each daily issue shall
§ 6.4 1 CFR Ch. I (1–1–19 Edition)
also carry a cumulated list of the parts publication of indexes, digests, and
affected by documents published dur- similar guides, based on laws, Presi-
ing that month. dential documents, regulatory docu-
ments, and notice materials published
§ 6.4 Monthly list of sections affected. by the Office, which will serve users of
A monthly list of sections of the the FEDERAL REGISTER. Indexes, di-
Code of Federal Regulations affected gests, and similar guides will be pub-
shall be separately published on a cu- lished yearly or at other intervals as
mulative basis during each calendar necessary to keep them current and
year. The list shall identify the sec- useful.
tions of the Code specifically affected
(b) Each index, digest, and guide is
by documents published in the FED-
considered to be a special edition of the
ERAL REGISTER during the period it
covers. FEDERAL REGISTER whenever the public
need requires special printing or spe-
§ 6.5 Indexes, digests, and guides. cial binding in substantial numbers.
(a) The Director of the Federal Reg- [54 FR 9676, Mar. 7, 1989]
ister may order the preparation and
10
SUBCHAPTER C—SPECIAL EDITIONS OF THE FEDERAL
REGISTER
PART 8—CODE OF FEDERAL notation to that effect may serve as

REGULATIONS the supplement for that year. More fre-
quent updating of any unit of the Code
Sec. may be made whenever the Director of
8.1 Policy. the Federal Register determines that
8.2 Orderly development. the content of the unit has been sub-
8.3 Periodic updating. stantially superseded or otherwise de-
8.4 Indexes. termines that such action would be
8.5 Ancillaries. consistent with the intent and purpose
8.6 Forms of publication. of the Administrative Committee as
8.7 Agency cooperation.
8.9 Form of citation.
stated in § 8.1.
(b) Staggered publication. The Code
AUTHORITY: 44 U.S.C. 1506, 1510; sec. 6, E.O. will be produced over a 12-month period
10530, 19 FR 2709, 3 CFR, 1954–1958 Comp., p. under a staggered publication system
189.
to be determined by the Director of the
SOURCE: 37 FR 23605, Nov. 4, 1972, unless Federal Register.
otherwise noted. (c) Cutoff dates. Each updated title of
the Code will reflect each amendment
§ 8.1 Policy.
to that title published as a codified
(a) Pursuant to chapter 15 of title 44, regulation in the FEDERAL REGISTER on
United States Code, the Director of the or before the ‘‘As of’’ date. Thus, each
Federal Register shall publish periodi- title updated as of July 1 each year will
cally a special edition of the FEDERAL reflect all amendatory documents ap-
REGISTER to present a compact and pearing in the daily FEDERAL REGISTER
practical code called the ‘‘Code of Fed- on or before July 1.
eral Regulations’’, to contain each Fed-
eral regulation of general applicability
FR 9677, Mar. 7, 1989]
and legal effect.
(b) The Administrative Committee § 8.4 Indexes.
intends that every practical means be
A subject index to the entire Code
used to keep the Code as current and
shall be annually revised and sepa-
readily usable as possible, within limi-
rately published. An agency-prepared
tations imposed by dependability and
index for any individual book may be
reasonable costs.
published with the approval of the Di-
[37 FR 23605, Nov. 4, 1972, as amended at 54 rector of the Federal Register.
FR 9677, Mar. 7, 1989]
§ 8.5 Ancillaries.
§ 8.2 Orderly development.
The Code shall provide, among oth-
To assure orderly development of the ers, the following-described finding
Code of Federal Regulations along aids:
practical lines, the Director of the Fed- (a) Parallel tables of statutory authori-
eral Register may establish new titles ties and rules. In the Code of Federal
in the Code and rearrange existing ti- Regulations Index or at such other
tles and subordinate assignments. How- place as the Director of the Federal
ever, before taking an action under Register considers appropriate, numer-
this section, the Director shall consult ical lists of all sections of the current
with each agency directly affected by edition of the United States Code (ex-
the proposed change. cept section 301 of title 5) which are
cited by issuing agencies as rule-
§ 8.3 Periodic updating. making authority for currently effec-
(a) Criteria. Each book of the Code tive regulations in the Code of Federal
shall be updated at least once each cal- Regulations. The lists shall be ar-
endar year. If no change in its contents ranged in the order of the titles and
has occurred during the year, a simple sections of the United States Code with
11
§ 8.6 1 CFR Ch. I (1–1–19 Edition)
parallel citations to the pertinent ti- essary, set requirements for microfiche
tles and parts of the Code of Federal images, and oversee the organization
Regulations. and means of access to material in the
(b) Parallel tables of Presidential docu- online edition.
ments and agency rules. In the Code of
[65 FR 8843, Feb. 23, 2000]
Federal Regulations Index, or at such
other place as the Director of the Fed- § 8.7 Agency cooperation.
eral Register considers appropriate, ta-
bles of proclamations, Executive or- Each agency shall cooperate in keep-
ders, and similar Presidential docu- ing publication of the Code current by
ments which are cited as rulemaking complying promptly with deadlines set
authority in currently effective regula- by the Director of the Federal Register
tions in the Code of Federal Regula- and the Public Printer.
tions. § 8.9 Form of citation.
(c) List of CFR sections affected. Fol-
lowing the text of each Code of Federal The Code of Federal Regulations may
Regulations volume, a numerical list be cited by title and section, and the
of sections which are affected by docu- short form ‘‘CFR’’ may be used for
ments published in the FEDERAL REG- ‘‘Code of Federal Regulations.’’ For ex-
ISTER. (Separate volumes, ‘‘List of Sec- ample, ‘‘1 CFR 10.2’’ refers to title 1,
tions Affected, 1949–1963’’ and ‘‘List of Code of Federal Regulations, part 10,
CFR Sections Affected, 1964–1972’’, list section 2.
all sections of the Code which have
been affected by documents published PART 9—THE UNITED STATES
during the period January 1, 1949, to GOVERNMENT MANUAL
December 31, 1963, and January 1, 1964,
to December 31, 1972, respectively.) 1 Sec.
Listings shall refer to FEDERAL REG- 9.1 Publication required.
ISTER pages and shall be designed to en- 9.2 Scope.
able the user of the Code to find the AUTHORITY: 5 U.S.C. 552; 44 U.S.C. 1506; sec.
precise text that was in effect on a 6, E.O. 10530, 19 FR 2709; 3 CFR, 1954–1958
given date in the period covered. Comp., p. 189.
[37 FR 23605, Nov. 4, 1972, as amended at 54 SOURCE: 76 FR 6312, Feb. 4, 2011, unless oth-
FR 9677, Mar. 7, 1989] erwise noted.
§ 8.6 Forms of publication. § 9.1 Publication required.

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

Code which have been affected during the pe- mation and make submittals or re-
riod January 1, 1973 to December 31, 1985. quests; and
12
(3) Lists of officials heading major (1) Announcements of Presidential

operating units. appointments and nominations;
(b) The Manual will also contain brief (2) White House statements and an-
information about quasi-official agen- nouncements on miscellaneous sub-
cies and supplemental information jects;
that, in the opinion of the Director, is (3) Statements by the Press Sec-
of enough public interest to warrant. retary or Deputy Press Secretary;
(4) Statements and news conferences
PART 10—PRESIDENTIAL PAPERS by senior administration officials; and
(5) Fact sheets.
Subpart A—Regular Publication
[50 FR 12467, Mar. 28, 1985, as amended at 74
Sec. FR 3952, Jan. 21, 2009]
10.1 Publication required.
10.2 Scope and sources. § 10.3 Format.
10.3 Format. The Daily Compilation of Presi-
Subpart B—Annual Publication dential Documents is published online
on the Government Printing Office ac-
10.10 Publication required. cess system.
10.11 Scope and sources.
10.12 Format, indexes, and ancillaries. [74 FR 3952, Jan. 21, 2009]
10.13 Coverage of prior years.
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, Subpart B—Annual Publication
19 FR 2709, 3 CFR, 1954–1958 Comp., p. 189.
§ 10.10 Publication required.
SOURCE: 50 FR 12467, Mar. 28, 1985, unless
otherwise noted. The Director of the Federal Register
shall publish annually a special edition
Subpart A—Regular Publication of the FEDERAL REGISTER called the
‘‘Public Papers of the Presidents of the
§ 10.1 Publication required. United States’’.
The Director publishes a special edi- § 10.11 Scope and sources.
tion of the FEDERAL REGISTER com-
piling recent presidential documents, The basic text of the Public Papers
called ‘‘The Daily Compilation of Pres- consists of the documents compiled
idential Documents.’’ under subpart A of this part.
[74 FR 3952, Jan. 21, 2009] [74 FR 3952, Jan. 21, 2009]
§ 10.2 Scope and sources. § 10.12 Format, indexes, and ancil-

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

the Press Office. authorize the publication of volumes of
13
§ 10.13 1 CFR Ch. I (1–1–19 Edition)
papers of the Presidents covering speci- with the National Historical Publica-
fied years before 1945 after consulting tions and Records Commission.
14
SUBCHAPTER D—AVAILABILITY OF OFFICE OF THE FEDERAL
REGISTER PUBLICATIONS
PART 11—SUBSCRIPTIONS pages; and $33 for an issue containing

more than 400 pages. Single issues of
Sec. the microfiche edition may be pur-
11.1 Subscription by the public. chased for $3 per copy, including post-
11.2 Federal Register. age.
11.3 Code of Federal Regulations. (b) The online edition of the FEDERAL
11.4 The United States Government Manual. REGISTER, issued under the authority
11.5 Public Papers of the Presidents of the of the Administrative Committee, is
United States.
11.6 [Reserved]
available on GPO Access, a service of
11.7 Federal Register Index. the Government Printing Office (44
11.8 LSA (List of CFR Sections Affected). U.S.C. 4101).
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, [61 FR 68119, Dec. 27, 1996, as amended at 65
19 FR 2709, 3 CFR, 1954–1958 Comp., p. 189. FR 8843, Feb. 23, 2000; 66 FR 44524, Aug. 24,
2001; 69 FR 12783, Mar. 18, 2004]
SOURCE: 54 FR 9677, Mar. 7, 1989, unless oth-
erwise noted.
§ 11.3 Code of Federal Regulations.
§ 11.1 Subscription by the public. (a) The subscription price for a com-
The Government Printing Office pro- plete set of the Code of Federal Regula-
duces the paper and microfiche editions is $1,019 per year for the bound,
tions of the publications described in paper edition, or $247 per year for the
§ 2.5 of this chapter, and the Super- microfiche edition. Those prices ex-
intendent of Documents, Government clude postage. The prevailing postal
Printing Office, Washington, DC 20402, rates will be applied to orders accord-
makes them available for sale to the ing to the delivery method requested.
public. All fees are payable in advance The Government Printing Office sells
to the Superintendent of Documents, individual volumes of the paper edition
Government Printing Office. They are of the Code of Federal Regulations at
not available for free distribution to prices determined by the Super-
the public. intendent of Documents under the gen-
eral direction of the Administrative
[54 FR 9677, Mar. 7, 1989, as amended at 61 FR Committee. The price of a single vol-
68118, Dec. 27, 1996]
ume of the microfiche edition is $4 per
§ 11.2 Federal Register. copy, including postage.
(b) The online edition of the Code of
(a) The subscription price for the Federal Regulations, issued under the
paper edition of the daily FEDERAL authority of the Administrative Com-
REGISTER is $749 per year. A combined mittee, is available on GPO Access, a
subscription to the daily FEDERAL REG- service of the Government Printing Of-
ISTER, the monthly FEDERAL REGISTER
fice (44 U.S.C. 4101).
Index, and the monthly LSA (List of
CFR Sections Affected) is $808 per year [65 FR 8843, Feb. 23, 2000, as amended at 66
for the paper edition, or $165 per year FR 44524, Aug. 24, 2001; 69 FR 12783, Mar. 18,
for the microfiche edition. Six-month 2004]
subscriptions for the paper and micro-
fiche editions are also available at one- § 11.4 The United States Government
Manual.
half the annual rate. Those prices ex-
clude postage. The prevailing postal (a) The online edition of the Manual,
rates will be applied to orders accord- issued under the authority of the Ad-
ing to the delivery method requested. ministrative Committee, is available
The price of a single copy of the daily through the Government Printing Of-
FEDERAL REGISTER, including postage, fice’s Web site.
is based on the number of pages: $11 for (b) Copies of a bound, paper edition of
an issue containing less than 200 pages; the Manual may be sold at a price de-
$22 for an issue containing 200 to 400 termined by the Superintendent of
15
§ 11.5 1 CFR Ch. I (1–1–19 Edition)
Documents under the general direction more than five copies of each daily
of the Administrative Committee. issue based on a written request to the
[76 FR 6313, Feb. 4, 2011]
Director of the Federal Register.
(2) Congressional committees. Each
§ 11.5 Public Papers of the Presidents committee of the Senate and the House
of the United States. of Representatives will be provided
Copies of annual clothbound volumes with the number of copies needed for
are sold at a price determined by the official use based on a written request
Superintendent of Documents under from the chairperson, or authorized
the general direction of the Adminis- delegate, to the Director of the Federal
trative Committee. Register.
(3) Supreme Court. The Supreme Court
§ 11.6 [Reserved] will be provided with the number of
copies needed for official use based on
§ 11.7 Federal Register Index. a written request to the Director of the
The annual subscription price for the Federal Register.
monthly FEDERAL REGISTER Index, pur- (4) Other courts. Other constitutional
chased separately, in paper form, is $29. or legislative courts of the United
The price excludes postage. The pre- States will be provided with the num-
vailing postal rates will be applied to ber of copies needed for official use
orders according to the delivery meth- based on a written request from the Di-
od requested. rector of the Administrative Office of
[69 FR 12783, Mar. 18, 2004] the U.S. Courts, or authorized delegate,
to the Director of the Federal Register.
§ 11.8 LSA (List of CFR Sections Af- (5) Executive agencies. Each Federal
fected). executive agency will be provided with
The annual subscription price for the the number of copies needed for official
monthly LSA (List of CFR Sections Af- use based on a written request from the
fected), purchased separately, in paper agency Federal Register authorizing
form, is $30. The price excludes post- officer, or the alternate, designated
age. The prevailing postal rates will be under § 16.1 of this chapter, to the Di-
applied to orders according to the de- rector of the Federal Register.
livery method requested. (b) Requisitions for quantity over-
[69 FR 12783, Mar. 18, 2004]
runs of specific issues to be paid for by
the agency are available as follows:
(1) To meet its needs for special dis-
PART 12—OFFICIAL DISTRIBUTION tribution of the FEDERAL REGISTER in
WITHIN FEDERAL GOVERNMENT substantial quantity, any agency may
request an overrun of a specific issue.
Sec.
12.1 Federal Register.
(2) An advance printing and binding
12.2 Code of Federal Regulations. requisition on Standard Form 1 must
12.4 Weekly Compilation of Presidential be submitted by the agency directly to
Documents. the Government Printing Office, to be
12.5 Public Papers of the Presidents of the received not later than 12 noon on the
United States. working day before publication.
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, (c) Requisitions for quantity over-
19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. runs of separate part issues to be paid
SOURCE: 54 FR 9678, Mar. 7, 1989, unless oth- for by the agency are available as fol-
erwise noted. lows:
(1) Whenever it is determined by the
§ 12.1 Federal Register. Director of the Federal Register to be
(a) Copies of the daily FEDERAL REG- in the public interest, one or more doc-
ISTER in paper or microfiche form shall uments may be published as a separate
be made available to the following part (e.g., part II, part III) of the FED-
without charge: ERAL REGISTER.
(1) Members of Congress. Each Senator (2) Advance arrangements for this
and each Member of the House of Rep- service must be made with the Office of
resentatives will be provided with not the Federal Register.
16
(3) Any agency may request an over- press run, of a printing and binding
run of such a separate part by submit- requisition to the Government Print-
ting an advance printing and binding ing Office on Standard Form 1.
requisition on Standard Form 1 di- (c) After the press run, each request
rectly to the Government Printing Of- for extra copies of selected units of the
fice, to be received not later than 12 Code must be addressed to the Super-
noon on the working day before the intendent of Documents, to be paid for
publication date. by the agency making the request.
(d) An agency may order limited
quantities of extra copies of a specific § 12.4 Weekly Compilation of Presi-
issue of the FEDERAL REGISTER for offi- dential Documents.
cial use, from the Superintendent of (a) Copies of the Weekly Compilation
Documents, to be paid for by that of Presidential Documents shall be
agency. made available to the following with-
(e) Copies of the Federal Register out charge:
Index and LSA (List of CFR Sections (1) Members of Congress. Each Senator
Affected) are included with each FED- and each Member of the House of Rep-
ERAL REGISTER official distribution. resentatives will be provided with the
number of copies needed for official use
§ 12.2 Code of Federal Regulations. based on a written request to the Di-
(a) Copies of the Code of Federal Reg- rector of the Federal Register.
ulations in paper or microfiche form (2) Congressional committees. Each
shall be made available to the fol- committee of the Senate and the House
lowing without charge: of Representatives will be provided
(1) Congressional committees. Each with the number of copies needed for
committee of the Senate and House of official use based on a written request
Representatives will be provided with from the chairperson, or authorized
the number of copies needed for official delegate, to the Director of the Federal
use based on a written request from the Register.
chairperson, or authorized delegate, to (3) Supreme Court. The Supreme Court
the Director of the Federal Register. will be provided with the number of
(2) Supreme Court. The Supreme Court copies needed for official use based on
will be provided with the number of a written request to the Director of the
copies needed for official use based on Federal Register.
a written request to the Director of the (4) Other courts. Other constitutional
Federal Register. and legislative courts of the United
(3) Other courts. Other constitutional States will be provided with the num-
and legislative courts of the United ber of copies needed for official use
States will be provided with the num- based on a written request from the Di-
ber of copies needed for official use rector of the Administrative Office of
based on a written request from the Di- the U.S. Courts, or authorized delegate,
rector of the Administrative Office of to the Director of the Federal Register.
the U.S. Courts, or authorized delegate, (5) Executive agencies. Each Federal
to the Director of the Federal Register. executive agency will be provided with
(4) Executive agencies. Each Federal the number of copies needed for official
executive agency will be provided with use based on a written request from the
the number of copies needed for official agency Federal Register authorizing
use, not to exceed 300 copies of indi- officer, or the alternate designated
vidual titles per agency, based on a under § 16.1 of this chapter, to the Di-
written request from the agency Fed- rector of the Federal Register.
eral Register authorizing officer, or the (b) Legislative, judicial, and execu-
alternate, designated under § 16.1 of tive agencies of the Federal Govern-
this chapter, to the Director of the ment may obtain additional copies of
Federal Register. selected issues of the Weekly Compila-
(b) Legislative, judicial, and execu- tion of Presidential Documents, at
tive agencies of the Federal Govern- cost, for official use, by submission, be-
ment may obtain additional copies of fore the press run, of a printing and
selected units of the Code, at cost, for binding requisition to the Government
official use, by submission, before the Printing Office on a Standard Form 1.
17
§ 12.5 1 CFR Ch. I (1–1–19 Edition)
(c) After the press run, each request written request to the Director of the
for extra copies of selected issues must Federal Register.
be addressed to the Superintendent of (3) Executive agencies. Each head of a
Documents, to be paid for by the agen- Federal executive agency will be pro-
cy making the request. vided with one copy of each annual
publication based on a written request
§ 12.5 Public Papers of the Presidents from the agency Federal Register au-
of the United States. thorizing officer, or the alternate, des-
(a) Copies of the Public Papers of the ignated under § 16.1 of this chapter, to
Presidents of the United States shall the Director of the Federal Register.
be made available to the following (b) Legislative, judicial, and execu-
without charge: tive agencies of the Federal Govern-
(1) Members of Congress. Each Senator ment may obtain additional copies, at
and each Member of the House of Rep- cost, for official use, by submission be-
resentatives will be provided with one fore the press run, of a printing and
copy of each annual publication pub- binding requisition to the Government
lished during the Member’s term in of- Printing Office on Standard Form 1.
fice based on a written request to the (c) After the press run, each request
Director of the Federal Register. for extra copies must be addressed to
(2) Supreme Court. The Supreme Court the Superintendent of Documents, to
will be provided with not more than 12 be paid for by the agency making the
copies of each publication based on a request.
18
SUBCHAPTER E—PREPARATION, TRANSMITTAL, AND
PROCESSING OF DOCUMENTS
PART 15—SERVICES TO FEDERAL § 15.4 Reproduction and certification

AGENCIES of copies of acts and documents.
The Director of the Federal Register
Subpart A—General shall furnish to requesting agencies, at
cost, reproductions or certified copies
Sec. of original acts and documents filed
15.1 Cooperation. with that Office that are needed for of-
15.2 Information services. ficial use unless funds are appropriated
15.3 Staff assistance. for that purpose.
15.4 Reproduction and certification of cop-
ies of acts and documents. [50 FR 12468, Mar. 28, 1985, as amended at 54
FR 9679, Mar. 7, 1989]
Subpart B—Special Assistance
15.10 Information on drafting and publica-
Subpart B—Special Assistance
tion.
§ 15.10 Information on drafting and
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, publication.
19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. The Director of the Federal Register
SOURCE: 37 FR 23607, Nov. 4, 1972, unless may prepare, and distribute to agen-
otherwise noted. cies, information and instructions de-
signed to promote effective compliance
Subpart A—General with the purposes of chapter 15 of title
44, United States Code, sections 552–553
§ 15.1 Cooperation. of title 5, United States Code, related
statutes, and this chapter. The Direc-
The Director of the Federal Register
tor may also develop and conduct pro-
shall assist each agency in complying
grams of technical instruction.
with the pertinent publication laws to
assure efficient public service in pro-
mulgating administrative documents PART 16—AGENCY
having the effect of legal notice or of REPRESENTATIVES
law.
Sec.
§ 15.2 Information services. 16.1 Designation.
16.2 Liaison duties.
The Director of the Federal Register 16.3 Certifying duties.
shall provide for the answering of each 16.4 Authorizing duties.
appropriate inquiry presented in per- AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530,
son, by telephone, or in writing. Each 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189.
written communication and each mat-
ter involving the Administrative Com-
otherwise noted.
mittee shall be sent to the Director,
Office of the Federal Register, National § 16.1 Designation.
Archives and Records Administration,
Washington, DC 20408. (a) Each agency shall designate, from
its officers or employees, persons to
[50 FR 12468, Mar. 28, 1985] serve in the following capacities with
relation to the Office of the Federal
§ 15.3 Staff assistance. Register:
The staff of the Office of the Federal (1) A liaison officer and an alternate.
Register shall provide informal assist- (2) A certifying officer and an alter-
ance and advice to officials of the var- nate.
ious agencies with respect to general or (3) An authorizing officer and an al-
specific programs of regulatory draft- ternate.
ing, procedures, and promulgation The same person may be designated to

practices. serve in one or more of these positions.
19
§ 16.2 1 CFR Ch. I (1–1–19 Edition)
(b) In choosing its liaison officer, Compilation of Presidential Documents

each agency should consider that this for official use.
officer will be the main contact be-
[54 FR 9679, Mar. 7, 1989]
tween that agency and the Office of the
Federal Register and that the liaison
officer will be charged with the duties PART 17—FILING FOR PUBLIC IN-
set forth in § 16.2. Therefore, the agency SPECTION AND PUBLICATION
should choose a person who is directly SCHEDULES
involved in the agency’s regulatory
program. Sec.
(c) Each agency shall notify the Di-
rector of the name, title, address, and Subpart A—Receipt and Processing
telephone number of each person it des- 17.1 Receipt and processing.
ignates under this section and shall
promptly notify the Director of any Subpart B—Regular Schedule
changes.
17.2 Procedure and timing for regular sched-
§ 16.2 Liaison duties. ule.
Each agency liaison officer shall— Subpart C—Emergency Schedule
(a) Represent the agency in all mat-
ters relating to the submission of docu- 17.3 Criteria for emergency publication.
ments to the Office of the Federal Reg- 17.4 Procedure and timing for emergency
ister, and respecting general compli- publication.
ance with this chapter; 17.5 Criteria for emergency filing for public
inspection.
(b) Be responsible for the effective
17.6 Procedure and timing for emergency
distribution and use within the agency filing for public inspection.
of Federal Register information on
document drafting and publication as- Subpart D—Deferred Schedule
sistance authorized by § 15.10 of this
chapter; 17.7 Criteria for deferred schedule.
(c) Promote the agency’s participa- AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530,
tion in the technical instruction au- 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189.
thorized by § 15.10 of this chapter; and
(d) Be available to discuss documents otherwise noted.
submitted for publication with the edi-
tors of the FEDERAL REGISTER.
Subpart A—Receipt and
[54 FR 9679, Mar. 7, 1989] Processing
§ 16.3 Certifying duties. § 17.1 Receipt and processing.
The agency certifying officer is re- Unless special arrangements are
sponsible for attaching the required made with the Director of the Federal
number of true copies of each original Register, the Office of the Federal Reg-
document submitted by the agency to ister receives documents only during
the Office of the Federal Register and official working hours. Upon receipt,
for making the certification required each document shall be held for con-
by §§ 18.5 and 18.6 of this chapter. fidential processing until it is filed for
[54 FR 9679, Mar. 7, 1989] public inspection.
§ 16.4 Authorizing duties. Subpart B—Regular Schedule

The agency authorizing officer is re-
sponsible for furnishing, to the Direc- § 17.2 Procedure and timing for reg-
tor of the Federal Register, a current ular schedule.
mailing list of officers or employees of (a) Each document received shall be
the agency who are authorized to re- filed for public inspection only after it
ceive the FEDERAL REGISTER, the Code has been received, processed and as-
of Federal Regulations, and the Weekly signed a publication date.
20
(b) Except as provided in paragraph § 17.4 Procedure and timing for emer-
(d) of this section, each document re- gency publication.
ceived by 2:00 p.m. which meets the re- (a) Each agency requesting publica-
quirements of this chapter shall be as- tion on the emergency schedule shall
signed to the regular schedule. Unless briefly describe the emergency and the
the issuing agency makes special ar- benefits to be attributed to immediate
rangements otherwise, or the Office de- publication in the FEDERAL REGISTER.
termines that the document requires a The request must be made by letter.
deferred schedule (see 1 CFR 17.7), re- (b) The Director of the Federal Reg-
ceipt of a document by 2:00 p.m. is con- ister shall assign a document to the
sidered to be a request for filing for emergency schedule whenever the Di-
public inspection and publication on rector concurs with a request for that
the regular schedule. Documents re- action and it is feasible.
ceived after 2:00 p.m. which meet the (c) Each document assigned to the
requirements of this chapter shall be emergency schedule shall be published
assigned to the next working day’s reg- as soon as possible.
ular schedule. (d) Each document assigned to the
(c) The regular schedule for filing for emergency schedule for publication
public inspection and publication is as will be filed for public inspection on
follows: the working day before publication un-
less emergency filing for public inspec-
Received before Filed for public in- Published tion is also requested.
2:00 p.m. spection
Monday ................. Wednesday .......... Thursday FR 9680, Mar. 7, 1989]
Tuesday ................ Thursday .............. Friday
Wednesday ........... Friday ................... Monday § 17.5 Criteria for emergency filing for
Thursday ............... Monday ................ Tuesday public inspection.
Friday .................... Tuesday ............... Wednesday
An agency may request emergency
filing for public inspection for docu-
Where a legal Federal holiday inter-
ments to be published under the reg-
venes, one additional work day is
ular, emergency or deferred publica-
added.
tion schedules. Emergency filing for
(d) Each notice of meeting issued public inspection provides for the fast-
under the ‘‘Government in the Sun- est possible public access to a docu-
shine Act’’ (5 U.S.C. 552b(e)(3)) is placed ment after it has been received, proc-
on immediate public inspection after it essed and assigned a publication date.
has been received, processed, and as- Emergency filing for public inspection
signed a publication date. is considered a special arrangement
(1) Each notice received before 4:00 under § 17.2 of this part that results in
p.m. is scheduled to be published 2 deviation from the regular schedule for
working days later. filing for public inspection. A docu-
(2) Each notice received after 4:00 ment receiving emergency filing for
p.m. is scheduled to be published 3 public inspection remains on public in-
working days later. spection until it is published according
[54 FR 9680, Mar. 7, 1989]
to the schedule for publication.
[54 FR 9680, Mar. 7, 1989]
Subpart C—Emergency Schedule § 17.6 Procedure and timing for emer-
gency filing for public inspection.
§ 17.3 Criteria for emergency publica-
tion. (a) Each agency requesting emer-
gency filing for public inspection shall
The emergency schedule is designed
briefly describe the emergency and the
to provide the fastest possible publica-
benefits to be attributed to immediate
tion of a document involving the pre-
public access. The request must be
vention, alleviation, control, or relief
made by letter.
of an emergency situation.
[37 FR 23608, Nov. 4, 1972, as amended at 54 ister shall approve an emergency filing
FR 9680, Mar. 7, 1989] for public inspection request whenever
21
§ 17.7 1 CFR Ch. I (1–1–19 Edition)
the Director concurs with a request for § 18.1 Original and copies required.
that action and it is feasible. Except as provided in § 19.2 of this
(c) Each document approved for subchapter for Executive orders and
emergency filing for public inspection proclamations, each agency submitting
shall be filed as soon as possible fol- a document to be filed and published in
lowing processing and scheduling. the FEDERAL REGISTER shall send an
[54 FR 9680, Mar. 7, 1989] original and two duplicate originals or
certified copies. 1 However, if the docu-
Subpart D—Deferred Schedule ment is printed or processed on both
sides, one of the copies sent by the
§ 17.7 Criteria for deferred schedule. agency must be a collated, single-sided
copy.
(a) A document may be assigned to
the deferred schedule under the fol- [54 FR 9680, Mar. 7, 1989]
lowing conditions:
(1) There are technical problems, un- § 18.2 Prohibition on combined cat-
egory documents.
usual or lengthy tables, or illustra-
tions, or the document is of such size (a) The Director of the Federal Reg-
as to require extraordinary processing ister will not accept a document for fil-
time. ing and publication if it combines ma-
(2) The agency concerned requests a terial that must appear under more
deferred publication date. than one category in the FEDERAL REG-
(b) The Office of the Federal Register ISTER. For example, a document may
staff will notify the agency if its docu- not contain both rulemaking and no-
ments must be assigned to a deferred tice of proposed rulemaking material.
schedule. (b) Where two related documents are
to be published in the same FEDERAL
[37 FR 23608, Nov. 4, 1972, as amended at 54 REGISTER issue, the agency may insert
FR 9680, Mar. 7, 1989; 54 FR 23343, May 31, a cross-reference in each document.
1989]
[54 FR 9680, Mar. 7, 1989]
PART 18—PREPARATION AND § 18.3 Submission of documents and
TRANSMITTAL OF DOCUMENTS letters of transmittal.
GENERALLY (a) Each document authorized or re-
quired by law to be filed for public in-
Sec. spection with the Office of the Federal
18.1 Original and copies required. Register and published in the FEDERAL
18.2 Prohibition on combined category doc- REGISTER shall be sent to the Director
uments.
18.3 Submission of documents and letters of
of the Federal Register.
transmittal. (b) Except for cases involving special
18.4 Form of document. handling or treatment, there is no need
18.5 Certified copies. for a letter of transmittal for a docu-
18.6 Form of certification. ment submitted for filing and FEDERAL
18.7 Signature. REGISTER publication.
18.8 Seal. (c) Receipt dates are determined at
18.9 Style. the time a signed original and clear
18.10 Illustrations, tabular material, and and legible copies are received.
forms.
18.12 Preamble requirements. [37 FR 23609, Nov. 4, 1972, as amended at 54
18.13 Withdrawal or correction of filed docu- FR 9680, Mar. 7, 1989]
ments.
18.15 Correction of errors in printing. § 18.4 Form of document.
18.16 Reinstatement of expired regulations. (a) A printed or processed document
18.17 Effective dates and time periods.
may be accepted for filing for public in-
18.20 Identification of subjects in agency
regulations. spection and publication if it is on
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, 1 Agencies with computer processed data
19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189.
are urged to consult with the Office of the

SOURCE: 37 FR 23609, Nov. 4, 1972, unless Federal Register staff about possible use of
otherwise noted. the data in the publication process.
22
bond or similar quality paper, legible, original documents by digital signa-

and free of adhesive or correction tures.
tape. 2
(b) A document in the form of a let- FR 9681, Mar. 7, 1989; 61 FR 68119, Dec. 27,
ter or press release may not be accept- 1996]
ed for filing for public inspection or
publication in the rules and regula- § 18.8 Seal.
tions, proposed rules, or notices cat- Use of a seal on an original document
egories of the FEDERAL REGISTER. or certified copy is optional with the
(c) Original documents submitted by issuing agency.
telecommunication and authenticated
by digital signatures consistent with § 18.9 Style.
applicable Federal standards and Office
Each document submitted by an
of the Federal Register technical speci-
agency for filing and publication shall
fications may be accepted for publica-
conform to the current edition of the
tion. 3
U.S. Government Printing Office Style
[54 FR 9681, Mar. 7, 1989, as amended at 61 FR Manual in punctuation, capitalization,
68119, Dec. 27, 1996] spelling, and other matters of style.
§ 18.5 Certified copies. [54 FR 9681, Mar. 7, 1989]
The certified copies or duplicate § 18.10 Illustrations, tabular material,

originals of each document must be and forms.
submitted with the original. Each copy
(a) If it is necessary to publish a form
or duplicate must be entirely clear and
or illustration, a clear and legible
legible.
original form or illustration, or a clear
[54 FR 9681, Mar. 7, 1989] and completely legible reproduction
approximately 8 1⁄2 by 11 inches, shall
§ 18.6 Form of certification. be included in the original document
Each copy of each document sub- and each certified copy.
mitted for filing and publication, ex- (b) A document that includes tabular
cept a Presidential document or a du- material may be assigned to the de-
plicate original, must be certified as ferred publication schedule. See § 17.7.
follows: [54 FR 9681, Mar. 7, 1989]
(Certified to be a true copy of the original)
§ 18.12 Preamble requirements.
The certification must be signed by a (a) Each agency submitting a pro-
certifying officer designated under posed or final rule document for publi-
§ 16.1 of this chapter. cation shall prepare a preamble which
[54 FR 9681, Mar. 7, 1989] will inform the reader, who is not an
expert in the subject area, of the basis
§ 18.7 Signature. and purpose for the rule or proposal.
The original and each duplicate (b) The preamble shall be in the fol-
original document must be signed in lowing format and contain the fol-
ink, with the name and title of the offi- lowing information:
cial signing the document typed or AGENCY: llllllllllllllllll
stamped beneath the signature. Ini- (Name of issuing agency)
tialed or impressed signatures will not ACTION: llllllllllllllllll
be accepted. Documents submitted (Notice of Intent), (Advance Notice of Pro-
under § 18.4(c) may be authenticated as posed Rulemaking), (Proposed Rule),
(Final Rule), (Other).
2 Agencies with computer processed data SUMMARY: lllllllllllllllll
are urged to consult with the Office of the (Brief statements, in simple language, of: (i)
Federal Register staff about possible use of the action being taken; (ii) the cir-
the data in the publication process. cumstances which created the need for the
action; and (iii) the intended effect of the
3 At present, submission of documents by
telecommunication is limited to selected action.)

pilot projects. DATES: lllllllllllllllllll
23
§ 18.13 1 CFR Ch. I (1–1–19 Edition)
(Comments must be received on or before: REGISTER shall be corrected by inser-
lllll.) (Proposed effective date: tion of an appropriate notation or a re-
lllll.) (Effective date: lllll.) printing in the FEDERAL REGISTER pub-
(Hearing: lllll.) (Other: lllll.)
lished without further agency docu-
ADDRESSES: llllllllllllllll mentation, if the Director of the Fed-
(Any relevant addresses.)
eral Register determines that—
FOR FURTHER INFORMATION CONTACT: (1) The error would tend to confuse or
llllllllllllllllllllllll
(For Executive departments and agencies,
mislead the reader; or
the name and telephone number of a per- (2) The error would affect text sub-
son in the agency to contact for additional ject to codification.
information about the document [Presi- (b) The issuing agency shall review
dential Memorandum, 41 FR 42764, Sep- published documents and notify the Of-
tember 28, 1976].) fice of the Federal Register of printing
SUPPLEMENTARY INFORMATION: llll errors found in published documents.
llllllllllllllllllllllll (c) If the error was in the document
(See paragraph (c) of this section.) as submitted by the agency, the issuing
(c) The agency may include the fol- agency must prepare and submit for
lowing information in the preamble, as publication a correction document.
applicable: [50 FR 12468, Mar. 28, 1985]
(1) A discussion of the background
and major issues involved; § 18.16 Reinstatement of expired regu-
(2) In the case of a final rule, any sig- lations.
nificant differences between it and the Agencies may reinstate regulations
proposed rule; removed from the Code of Federal Reg-
(3) A response to substantive public ulations data base which have expired
comments received; and by their own terms only by repub-
(4) Any other information the agency lishing the regulations in full text in
considers appropriate. the FEDERAL REGISTER.
[41 FR 56624, Dec. 29, 1976, as amended at 54 [54 FR 9681, Mar. 7, 1989]
FR 9681, Mar. 7, 1989]
§ 18.17 Effective dates and time peri-
§ 18.13 Withdrawal or correction of ods.
filed documents.
(a) Each document submitted for
(a) A document that has been filed publication in the FEDERAL REGISTER
for public inspection with the Office of that includes an effective date or time
the Federal Register but not yet pub- period should either set forth a date
lished, may be withdrawn from publica- certain or a time period measured by a
tion or corrected by the submitting certain number of days after publica-
agency. Withdrawals or minor correction in the FEDERAL REGISTER. When a
tions may be made with a timely let- document sets forth a time period
ter, signed by a duly authorized rep- measured by a certain number of days
resentative of the agency. Extensive after publication, Office of the Federal
corrections may require agency with- Register staff will compute the date to
drawal of the document from publica- be inserted in the document as set
tion. forth in paragraph (b) of this section.
(b) Both the originally filed docu- (b) Dates certain will be computed by
ment and the withdrawing or cor- counting the day after the publication
recting letter shall remain on file. The day as one, and by counting each suc-
original document and the withdrawing ceeding day, including Saturdays, Sun-
or correcting letter will be retained by days, and holidays. However, where the
the Office of the Federal Register after final count would fall on a Saturday,
the public inspection period expires. Sunday, or holiday, the date certain
[54 FR 9681, Mar. 7, 1989] will be the next succeeding Federal
business day.
§ 18.15 Correction of errors in print- (c) In the event an effective date is
ing. dependent upon Congressional action,
(a) Typographical or clerical errors or an act of Congress or a dispositive

made in the printing of the FEDERAL Federal court decision establishes or
24
changes the effective date of an agen- § 19.1 Form.

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

SOURCE: 37 FR 23610, Nov. 4, 1972, unless Federal Register staff about possible use of
otherwise noted. the data in the publication process.
25
§ 19.3 1 CFR Ch. I (1–1–19 Edition)
by the head or other properly author- or by some person authorized by him to

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

graph (a) of this section the following 20.6 Form, style, arrangement and appor-
notation, to be signed by the Director tionment of space.
26
20.7 Deadline dates. charts or by lists of officials will not be
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, published in the Manual.
19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189.
SOURCE: 37 FR 23611, Nov. 4, 1972, unless FR 9682, Mar. 7, 1989]
otherwise noted.
§ 20.4 Description of program activi-
§ 20.1 Liaison officers. ties.
(a) Each of the following shall ap- (a) Descriptions should clearly state
point an officer to maintain liaison the public purposes that the agency
with the Office on matters relating to serves, and the programs that carry
The United States Government Man- out those purposes.
ual: (b) Descriptions of the responsibil-
(1) Agencies of the legislative and ju- ities of individuals or of administrative
dicial branches. units common to most agencies will
(2) Executive agencies that do not not be accepted for publication in the
have a liaison officer designated under Manual.
§ 16.1 of this chapter or who wish to ap-
point a liaison officer for Manual mat- [54 FR 9682, Mar. 7, 1989]
ters other than the one designated
§ 20.5 Sources of information.
under such § 16.1.
(3) Quasi-official agencies rep- Pertinent sources of information use-
resented in the Manual. ful to the public, in areas of public in-
(4) Any other agency that the Direc- terest such as employment, consumer
tor believes should be included in the activities, contracts, services to small
Manual. business, and other topics of public in-
(b) Each liaison officer will insure terest should be provided with each
agency compliance with part 9 of this agency statement. These sources of in-
chapter and this part 20. formation shall plainly identify the
places at which the public may obtain
FR 12468, Mar. 28, 1985; 54 FR 9682, Mar. 7,
information or make submittals or re-
1989] quests.
§ 20.2 Preparation of agency state- § 20.6 Form, style, arrangement and

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

duplicate information conveyed by bers of the public of information they
27
Pt. 21 1 CFR Ch. I (1–1–19 Edition)
have a right to expect in a particular AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530,
edition of the Manual. 19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189.
PART 21—PREPARATION OF DOCU- otherwise noted.
MENTS SUBJECT TO CODIFICA-
TION Subpart A—General
Subpart A—General § 21.1 Drafting.
(a) Each agency that prepares a docu-
Sec. ment that is subject to codification
21.1 Drafting.
21.6 Notice of expiration of codified mate- shall draft it as an amendment to the
rial. Code of Federal Regulations, in accord-
ance with this subchapter, before sub-
CODE STRUCTURE mitting it to the Office of the Federal
21.7 Titles and subtitles. Register.
21.8 Chapters and subchapters. (b) Each agency that prepares a docu-
21.9 Parts, subparts, and undesignated cen- ment that is subject to codification
ter heads. shall include words of issuance and
21.10 Sections. amendatory language that precisely
NUMBERING describes the relationship of the new
provisions to the Code.
21.11 Standard organization of the Code of
Federal Regulations. [37 FR 23611, Nov. 4, 1972, as amended at 54
21.12 Reservation of numbers. FR 9682, Mar. 7, 1989]
21.14 Deviations from standard organization
of the Code of Federal Regulations. § 21.6 Notice of expiration of codified
material.
HEADINGS
Whenever a codified regulation ex-
21.16 Required document headings.
21.18 Tables of contents. pires after a specified period by its own
21.19 Composition of part headings. terms or by law, the issuing agency
shall submit a notification by docu-
AMENDMENTS ment for publication in the FEDERAL
21.20 General requirements. REGISTER.
REFERENCES [54 FR 9682, Mar. 7, 1989]
21.21 General requirements: References. CODE STRUCTURE
21.23 Parallel citations of Code and Federal
Register. § 21.7 Titles and subtitles.
21.24 References to 1938 edition of Code.
(a) The major divisions of the Code
EFFECTIVE DATE STATEMENT are titles, each of which brings to-
21.30 General. gether broadly related Government
functions.
OMB CONTROL NUMBERS (b) Subtitles may be used to distin-
21.35 OMB control numbers. guish between materials emanating
from an overall agency and the mate-
Subpart B—Citations of Authority rial issued by its various components.
21.40 General requirements: Authority cita- Subtitles may also be used to group
tions. chapters within a title.
21.41 Agency responsibility.
21.42 Exceptions. § 21.8 Chapters and subchapters.
PLACEMENT (a) The normal divisions of a title are
chapters, assigned to the various agen-
21.43 Placing and amending authority cita- cies within a title descriptive of the
tions.
21.45 Nonstatutory authority. subject matter covered by the agencies’
regulations.
FORM (b) Subchapters may be used to group
related parts within a chapter.
21.51 General.
21.52 Statutory material. (c) Chapter and subchapter assign-
21.53 Nonstatutory materials. ments are made by the Office of the
28
Federal Register after agency consulta- (h) Paragraphs, which are designated
tion. as follows:
[37 FR 23611, Nov. 4, 1972, as amended at 54 level 1 (a), (b), (c), etc.
FR 9682, Mar. 7, 1989] level 2 (1), (2), (3), etc.
level 3 (i), (ii), (iii), etc.
§ 21.9 Parts, subparts, and undesig- level 4 (A), (B), (C), etc.
nated center heads. level 5 (1), (2), (3), etc.
level 6 (i), (ii), (iii), etc.
(a) The normal divisions of a chapter
[54 FR 9682, Mar. 7, 1989; 54 FR 23343, May 31,
are parts, consisting of a unified body
1989]
of regulations applying to a specific
function of an issuing agency or de- § 21.12 Reservation of numbers.
voted to specific subject matter under
In a case where related parts or re-
the control of that agency.
lated sections are grouped under a
(b) Subparts or undesignated center heading, numbers may be reserved at
heads may be used to group related sec- the end of each group to allow for ex-
tions within a part. Undesignated cen- pansion.
ter heads may also be used to group
sections within a subpart. [37 FR 23611, Nov. 4, 1972, as amended at 54
FR 9682, Mar. 7, 1989]
§ 21.10 Sections.
§ 21.14 Deviations from standard orga-
(a) The normal divisions of a part are nization of the Code of Federal Reg-
sections. Sections are the basic units of ulations.
the Code. (a) Any deviation from standard Code
(b) When internal division is nec- of Federal Regulations designations
essary, a section may be divided into must be approved in advance by the Of-
paragraphs, and paragraphs may be fice of the Federal Register. Requests
further subdivided using the lettering for approval must be submitted in writ-
indicated in § 21.11. ing at least five working days before
the agency intends to submit the final
NUMBERING rule document for publication and in-
§ 21.11 Standard organization of the clude a copy of the final rule docu-
Code of Federal Regulations. ment.
The standard organization consists of ister may allow the keying of section
the following structural units: numbers to correspond to a particular
(a) Titles, which are numbered con- numbering system used by an agency
secutively in Arabic throughout the only when the keying will benefit both
Code; that agency and the public.
(b) Subtitles, which are lettered con-
[54 FR 9682, Mar. 7, 1989]
secutively in capitals throughout the
title; HEADINGS
(c) Chapters, which are numbered
consecutively in Roman capitals § 21.16 Required document headings.
throughout each title; (a) Each rule and proposed rule docu-
(d) Subchapters, which are lettered ment submitted to the Office of the
consecutively in capitals throughout Federal Register shall contain the fol-
the chapter; lowing headings, when appropriate, on
(e) Parts, which are numbered in Ara- separate lines in the following order:
bic throughout each title; (1) Agency name;
(f) Subparts, which are lettered in (2) Subagency name;
capitals; (3) Numerical references to the CFR
(g) Sections, which are numbered in title and parts affected;
Arabic throughout each part. A section (4) Agency numbers of identifying
number includes the number of the symbol in brackets, if used;
part followed by a period and the num- (5) Brief subject heading describing
ber of the section. For example, the the document.
section number for section 15 of part 21 (b) Each CFR section in the regu-
is ‘‘§ 21.15’’; and latory text of the document shall have
29
§ 21.18 1 CFR Ch. I (1–1–19 Edition)
a brief descriptive heading, preceding (c) Each agency shall publish its own
the text, on a separate line. regulations in full text. Cross-ref-
erences to the regulations of another
[50 FR 12468, Mar. 28, 1985]
agency may not be used as a substitute
§ 21.18 Tables of contents. for publication in full text, unless the
Office of the Federal Register finds
A table of contents shall be used at that the regulation meets any of the
the beginning of the part whenever a following exceptions:
new part is introduced, an existing part (1) The reference is required by court
is completely revised, or a group of sec- order, statute, Executive order or reor-
tions is revised or added and set forth ganization plan.
as a subpart or otherwise separately (2) The reference is to regulations
grouped under a center head. The table promulgated by an agency with the ex-
shall follow the part heading and pre- clusive legal authority to regulate in a
cede the text of the regulations in that subject matter area, but the ref-
part. It shall also list the headings for erencing agency needs to apply those
the subparts, undesignated center regulations in its own programs.
headings, sections in the part, and ap- (3) The reference is informational or
pendix headings to the part or subpart. improves clarity rather than being reg-
[37 FR 23611, Nov. 4, 1972, as amended at 54 ulatory.
FR 9682, Mar. 7, 1989] (4) The reference is to test methods
or consensus standards produced by a
§ 21.19 Composition of part headings. Federal agency that have replaced or
Each part heading shall indicate preempted private or voluntary test
briefly the general subject matter of methods or consensus standards in a
the part. Phrases such as ‘‘Regulations subject matter area.
under the Act of July 28, 1955’’ or other (5) The reference is to the Depart-
expressions that are not descriptive of ment level from a subagency.
the subject matter may not be used. In- [37 FR 23611, Nov. 4, 1972, as amended at 50
troductory expressions such as ‘‘Regu- FR 12468, Mar. 28, 1985]
lations governing’’ and ‘‘Rules applica-
ble to’’ may not be used. § 21.23 Parallel citations of Code and
Federal Register.
AMENDMENTS
For parallel reference, the Code of
§ 21.20 General requirements. Federal Regulations and the FEDERAL
REGISTER may be cited in the following
(a) Each amendatory document shall forms, as appropriate:
identify in specific terms the unit
amended, and the extent of the changes lll CFR lll (lll FR lll). § lll
made. of this chapter (lll FR lll).
(b) The number and heading of each
§ 21.24 References to 1938 edition of
section amended shall be set forth in Code.
full on a separate line.
When reference is made to material
REFERENCES codified in the 1938 edition of the Code
of Federal Regulations, or a supple-
§ 21.21 General requirements: Ref- ment thereto, the following forms may
erences. be used, as appropriate:
(a) Each reference to the Code of Fed- lll CFR, 1938 Ed., lll.
eral Regulations shall be in terms of lll CFR, 1943, Cum. Supp., lll.
the specific titles, chapters, parts, sec- lll CFR, 1946 Supp., lll.
tions, and paragraphs involved. Ambig-
uous references such as ‘‘herein’’, EFFECTIVE DATE STATEMENT
‘‘above’’, ‘‘below’’, and similar expres-
sions may not be used. § 21.30 General.
(b) Each document that contains a Each document subject to codifica-
reference to material published in the tion shall include a clear statement as
Code shall include the Code citation as to the date or dates upon which its
a part of the reference. contents become effective.
30
OMB CONTROL NUMBERS (1) If a document sets out an entire

CFR part, the agency shall place the
§ 21.35 OMB control numbers. complete authority citation directly
To display OMB control numbers in after the table of contents and before
agency regulations, those numbers the regulatory text.
shall be placed parenthetically at the (2) If a document amends only cer-
end of the section or displayed in a tain sections within a CFR part, the
table or codified section. agency shall present the complete au-
thority citation to this part as the first
[50 FR 12468, Mar. 28, 1985] item in the list of amendments.
(i) If the authority for issuing an
Subpart B—Citations of Authority amendment is the same as the author-
ity listed for the whole CFR part, the
§ 21.40 General requirements: Author- agency shall simply restate the author-
ity citations. ity.
Each section in a document subject (ii) If the authority for issuing an
to codification must include, or be cov- amendment changes the authority ci-
ered by, a complete citation of the au- tation for the whole CFR part, the
thority under which the section is agency shall revise the authority cita-
issued, including— tion in its entirety. The agency may
(a) General or specific authority dele- specify the particular authority under
gated by statute; and which certain sections are amended in
(b) Executive delegations, if any, nec- the revised authority citation.
essary to link the statutory authority (b) The agency shall present a cen-
to the issuing agency. tralized authority citation. The au-
thority citation shall appear at the end
[50 FR 12468, Mar. 28, 1985] of the table of contents for a part or
after each subpart heading within the
§ 21.41 Agency responsibility. text of a part. Citations of authority
(a) Each issuing agency is responsible for particular sections may be specified
for the accuracy and integrity of the within the centralized authority cita-
citations of authority in the docu- tion.
ments it issues. [50 FR 12469, Mar. 28, 1985, as amended at 54
(b) Each issuing agency shall for- FR 9682, Mar. 7, 1989]
mally amend the citations of authority
in its codified material to reflect any § 21.45 Nonstatutory authority.
changes therein. Citation to a nonstatutory document
as authority shall be placed after the
§ 21.42 Exceptions.
statutory citations. For example:
The Director of the Federal Register AUTHORITY: Sec. 9, Pub. L. 89–670, 80 Stat.
may make exceptions to the require- 944 (49 U.S.C. 1657). E.O. 11222, 30 FR 6469, 3
ments of this subpart relating to place- CFR, 1965 Comp., p. 10.
ment and form of citations of author-
ity whenever the Director determines FR 9682, Mar. 7, 1989]
that strict application would impair
the practical use of the citations. FORM
[37 FR 23611, Nov. 4, 1972, as amended at 54 § 21.51 General.
FR 9682, Mar. 7, 1989]
(a) Formal citations of authority
PLACEMENT shall be in the shortest form compat-
ible with positive identification and
§ 21.43 Placing and amending author- ready reference.
ity citations. (b) The Office of the Federal Register
(a) The requirements for placing au- shall assist agencies in developing
thority citations vary with the type of model citations.
amendment the agency is making in a
document. The agency shall set out the § 21.52 Statutory material.
full text of the authority citation for (a) United States Code. All citations to
each part affected by the document. statutory authority shall include a
31
§ 21.53 1 CFR Ch. I (1–1–19 Edition)
United States Code citation, where Subpart A—Notices

available. Citations to titles of the
United States Code, whether or not en- § 22.1 Name of issuing agency and sub-
acted into positive law, may be cited division.
without Public Law or U.S. Statutes at (a) The name of the agency issuing a
Large citation. For example: notice shall be placed at the beginning
AUTHORITY: 10 U.S.C. 501. of the document.
(b) Whenever a specific bureau, serv-
(b) Public Laws and U.S. Statutes at ice, or similar unit within an agency
Large. Citations to Public Laws and issues a notice, the name of that bu-
U.S. Statutes at Large are optional reau, service, or unit shall be placed on
when the United States Code is cited. a separate line below the name of the
Citations to current public laws and to agency.
the U.S. Statutes at Large shall refer
(c) An agency that uses file numbers,
to the section of the public law and the
docket numbers, or similar identifying
volume and page of the U.S. Statutes
symbols shall place them in brackets
at Large to which they have been as-
immediately below the other headings
signed. The page number shall refer to
required by this section.
the page on which the section cited be-
(d) A suitable short title identifying
gins. For example:
the subject shall be provided beginning
AUTHORITY: Sec. 5, Pub. L. 89–670, 80 Stat. on a separate line immediately after
935 (49 U.S.C. 1654); sec. 313, Pub. L. 85–726, 72 the other required caption or captions.
Stat. 752 (49 U.S.C. 1354).
Whenever appropriate, an additional
[54 FR 9682, Mar. 7, 1989] brief caption indicating the nature of
the document shall be used.
§ 21.53 Nonstatutory materials.
Nonstatutory documents shall be § 22.2 Authority citation.
cited by document designation and by The authority under which an agency
FEDERAL REGISTER volume and page, issues a notice shall be cited in nar-
followed, if possible, by the parallel ci- rative form within text or in paren-
tation to the Code of Federal Regula- theses on a separate line following
tions. For example: text.
AUTHORITY: Special Civil Air Reg. SR–422A,
28 FR 6703, 14 CFR part 4b. E.O. 11130, 28 FR Subpart B—Proposed Rules
12789; 3 CFR 1959–1963 Comp.
[37 FR 23611, Nov. 4, 1972, as amended at 54 § 22.5 General requirements.
FR 9683, Mar. 7, 1989] Each proposed rule required by sec-
tion 553 of title 5, United States Code,
PART 22—PREPARATION OF or any other statute, and any similar
NOTICES AND PROPOSED RULES document voluntarily issued by an
agency shall include a statement of—
Subpart A—Notices (a) The time, place, and nature of
public rulemaking proceedings; and
Sec. (b) Reference to the authority under
22.1 Name of issuing agency and subdivi- which the regulatory action is pro-
sion. posed.
22.2 Authority citation.
Subpart B—Proposed Rules FR 9683, Mar. 7, 1989]
22.5 General requirements. § 22.6 Code designation.

22.6 Code designation.
22.7 Codification.
The area of the Code of Federal Regu-
lations directly affected by a proposed
AUTHORITY: 44 U.S.C. 1506; sec. 6, E.O. 10530, regulatory action shall be identified by
19 FR 2709; 3 CFR, 1954–1958 Comp., p. 189. placing the appropriate CFR citation
SOURCE: 37 FR 23614, Nov. 4, 1972, unless immediately below the name of the
otherwise noted. issuing agency. For example:
32
1 CFR part 22 posed regulation shall also conform to

the pertinent provisions of part 21 of
FR 9683, Mar. 7, 1989] this chapter.
§ 22.7 Codification. FR 9683, Mar. 7, 1989]
Any part of a proposed rule document
that contains the full text of a pro- PARTS 23–49 [RESERVED]
33
CHAPTER II—OFFICE OF THE FEDERAL
REGISTER
Part Page
50 [Reserved]
51 Incorporation by reference ...................................... 37
52–299 [Reserved]
35
PART 50 [RESERVED] istrative Committee of the Federal
Register, and the acts which require
publication in the FEDERAL REGISTER.
PART 51—INCORPORATION BY (d) The Director will carry out the
REFERENCE responsibilities by applying the stand-
ards of part 51 fairly and uniformly.
Sec. (e) Publication in the FEDERAL REG-
51.1 Policy.
ISTER of a document containing an in-
51.3 When will the Director approve a publi-
cation? corporation by reference does not of
51.5 How does an agency request approval? itself constitute an approval of the in-
51.7 What publications are eligible? corporation by reference by the Direc-
51.9 What is the proper language of incorpo- tor.
ration? (f) Incorporation by reference of a
51.11 How does an agency change or remove publication is limited to the edition of
an approved incorporation? the publication that is approved. Fu-
AUTHORITY: 5 U.S.C. 552(a). ture amendments or revisions of the
SOURCE: 47 FR 34108, Aug. 6, 1982, unless publication are not included.
otherwise noted.
§ 51.3 When will the Director approve
§ 51.1 Policy. a publication?
(a) Section 552(a) of title 5, United (a)(1) The Director will informally
States Code, provides, in part, that approve the proposed incorporation by
‘‘matter reasonably available to the reference of a publication when the
class of persons affected thereby is preamble of a proposed rule meets the
deemed published in the FEDERAL REG- requirements of this part (See § 51.5(a)).
ISTER when incorporated by reference (2) If the preamble of a proposed rule
therein with the approval of the Direc- does not meet the requirements of this
tor of the Federal Register.’’ part, the Director will return the docu-
(b) The Director will interpret and ment to the agency (See 1 CFR 2.4).
apply the language of section 552(a) to- (b) The Director will formally ap-
gether with other requirements which prove the incorporation by reference of
govern publication in the FEDERAL a publication in a final rule when the
REGISTER and the Code of Federal Reg- following requirements are met:
ulations. Those requirements which (1) The publication is eligible for in-
govern publication include— corporation by reference (See § 51.7).
(1) The Federal Register Act (44 (2) The preamble meets the require-
U.S.C. 1501 et seq.) ments of this part (See § 51.5(b)(2)).
(2) The Administrative Procedure Act (3) The language of incorporation
(5 U.S.C. 551 et seq.); meets the requirements of this part
(3) The regulations of the Adminis- (See § 51.9).
trative Committee of the Federal Reg- (4) The publication is on file with the
ister under the Federal Register Act (1 Office of the Federal Register.
CFR Ch. I); and (5) The Director has received a writ-
(4) The acts which require publica- ten request from the agency to approve
tion in the FEDERAL REGISTER (See the incorporation by reference of the
CFR volume entitled ‘‘CFR Index and publication.
Finding Aids.’’) (c) The Director will notify the agen-
(c) The Director will assume in car- cy of the approval or disapproval of an
rying out the responsibilities for incor- incorporation by reference in a final
poration by reference that incorpora- rule within 20 working days after the
tion by reference— agency has met all the requirements
(1) Is intended to benefit both the for requesting approvals (See § 51.5).
Federal Government and the members [79 FR 66278, Nov. 7, 2014]
of the class affected; and
(2) Is not intended to detract from § 51.5 How does an agency request ap-
the legal or practical attributes of the proval?
system established by the Federal Reg- (a) For a proposed rule, the agency
ister Act, the Administrative Proce- does not request formal approval but
dure Act, the regulations of the Admin- must:
37
§ 51.7 1 CFR Ch. II (1–1–19 Edition)
(1) Discuss, in the preamble of the (ii) Whether it is bound, numbered,

proposed rule, the ways that the mate- and organized, as applicable.
rials it proposes to incorporate by ref- (b) The Director will assume that a
erence are reasonably available to in- publication produced by the same agen-
terested parties or how it worked to cy that is seeking its approval is inap-
make those materials reasonably avail- propriate for incorporation by ref-
able to interested parties; and erence. A publication produced by the
(2) Summarize, in the preamble of the agency may be approved, if, in the
proposed rule, the material it proposes judgment of the Director, it meets the
to incorporate by reference. requirements of paragraph (a) and pos-
(b) For a final rule, the agency must sesses other unique or highly unusual
request formal approval. The formal qualities. A publication may be ap-
request package must: proved if it cannot be printed using the
(1) Send a letter that contains a writ- FEDERAL REGISTER/Code of Federal
ten request for approval at least 20
Regulations printing system.
working days before the agency intends
(c) The following materials are not
to submit the final rule document for
publication; appropriate for incorporation by ref-
(2) Discuss, in the preamble of the erence:
final rule, the ways that the materials (1) Material published previously in
it incorporates by reference are reason- the FEDERAL REGISTER.
ably available to interested parties and (2) Material published in the United
how interested parties can obtain the States Code.
materials; [47 FR 34108, Aug. 6, 1982, as amended at 79
(3) Summarize, in the preamble of the FR 66278, Nov. 7, 2014]
final rule, the material it incorporates
by reference; § 51.9 What is the proper language of
(4) Send a copy of the final rule docu- incorporation?
ment that uses the proper language of (a) The language incorporating a pub-
incorporation with the written request
lication by reference must be precise,
(See § 51.9); and
complete, and clearly state that the in-
(5) Ensure that a copy of the incor-
corporation by reference is intended
porated material is on file at the Office
and completed by the final rule docu-
of the Federal Register.
ment in which it appears.
(c) Agencies may consult with the Of-
fice of the Federal Register at any time (b) The language incorporating a pub-
with respect to the requirements of lication by reference is precise and
this part. complete if it—
(1) Uses the words ‘‘incorporated by
[79 FR 66278, Nov. 7, 2014] reference;’’
§ 51.7 What publications are eligible? (2) States the title, date, edition, au-
thor, publisher, and identification
(a) A publication is eligible for incor- number of the publication;
poration by reference under 5 U.S.C. (3) Informs the user that the incor-
552(a) if it—
porated publication is a requirement;
(1) Conforms to the policy stated in
(4) Makes an official showing that
§ 51.1;
the publication is in fact available by
(2)(i) Is published data, criteria,
standards, specifications, techniques, stating where and how copies may be
illustrations, or similar material; and examined and readily obtained with
(ii) Does not detract from the useful- maximum convenience to the user; and
ness of the FEDERAL REGISTER publica- (5) Refers to 5 U.S.C. 552(a).
tion system; and (c) If the Director approves a publica-
(3) Is reasonably available to and usa- tion for incorporation by reference in a
ble by the class of persons affected. In final rule, the agency must include—
determining whether a publication is (1) The following language under the
usable, the Director will consider— DATES caption of the preamble to the
(i) The completeness and ease of han- final rule document (See 1 CFR 18.12
dling of the publication; and Preamble requirements):
38
Office of the Federal Register § 51.11
The incorporation by reference of (1) Publish notice of the change in

certain publications listed in the regu- the FEDERAL REGISTER and amend the
lations is approved by the Director of Code of Federal Regulations;
the Federal Register as of llll. (2) Ensure that a copy of the amend-
(2) The preamble requirements set ment or revision is on file at the Office
out in 51.5(b). of the Federal Register; and
(3) The term ‘‘incorporation by ref- (3) Notify the Director of the Federal
erence’’ in the list of index terms (See Register in writing that the change is
1 CFR 18.20 Identification of subjects in being made.
agency regulations). (b) If a regulation containing an in-
[47 FR 34108, Aug. 6, 1982, as amended at 79 corporation by reference fails to be-
FR 66278, Nov. 7, 2014] come effective or is removed from the
Code of Federal Regulations, the agen-
§ 51.11 How does an agency change or cy must notify the Director of the Fed-
remove an approved incorporation? eral Register in writing of that fact
(a) An agency that seeks approval for within 5 working days of the occur-
a change to a publication that is ap- rence.
proved for incorporation by reference
must— PARTS 52–299 [RESERVED]
39
CHAPTER III—ADMINISTRATIVE CONFERENCE
OF THE UNITED STATES
Part Page
300 [Reserved]
301 Organization and purpose ........................................ 43
302–303 [Reserved]
304 Disclosure of records or information ...................... 45
41
PART 300 [RESERVED] (c) To reduce unnecessary litigation
in the regulatory process;
PART 301—ORGANIZATION AND (d) To improve the use of science in
the regulatory process; and
PURPOSE
(e) To improve the effectiveness of
Sec. laws applicable to the regulatory proc-
301.1 Establishment and location. ess.
301.2 Purposes.
301.3 Organization. § 301.3 Organization.
301.4 Activities. (a) The Chairman of the Administra-
301.5 Office of the Chairman. tive Conference of the United States is
AUTHORITY: 5 U.S.C. 552, 591–96. appointed by the President, with the
SOURCE: 75 FR 68941, Nov. 10, 2010, unless advice and consent of the Senate, for a
otherwise noted. five-year term.
(b) The Council consists of the Chair-
§ 301.1 Establishment and location. man and 10 other members who are ap-
The Administrative Conference of the pointed by the President for three-year
United States was established as a per- terms, of whom not more than one-half
manent independent agency of the Fed- may be employees of Federal regu-
eral Government by the Administra- latory agencies or Executive depart-
tive Conference Act (5 U.S.C. 591–96), as ments.
amended. The Conference offices are lo- (c) The total membership of the Con-
cated at 1120 20th Street, NW., South ference may not, by statute, be lower
Lobby, Suite 706, Washington, DC 20036. than 75 or higher than 101. It com-
The offices are open from 8:30 a.m. to 5 prises, in addition to the Council, ap-
p.m., Monday through Friday, exclud- proximately 50 Government members
ing legal holidays, unless otherwise (from Executive departments and agen-
stated. General correspondence and fil- cies designated by the President and
ings should be delivered to the fore- independent regulatory boards or com-
going address. Electronic filings should missions) and approximately 40 non-
be transmitted as specified by the Con- Government or public members ap-
ference. The public may obtain infor- pointed by the Chairman with the ap-
mation about the Conference either by proval of the Council (lawyers in pri-
accessing its Web site at http:// vate practice, scholars in the field of
www.acus.gov, by calling the Con- administrative law or government, or
ference offices at (202) 480–2080, or by others specially informed by knowl-
contacting info@acus.gov. The Con- edge and experience with respect to
ference’s recommendations may be ob- Federal administrative procedure).
tained by accessing its Web site or by Public members are selected so as to
visiting the reading room at its offices. provide broad representation of the
views of private citizens and utilize di-
§ 301.2 Purposes. verse experience.
The purposes of the Administrative (d) Members of the Conference, ex-
Conference are— cept the Chairman, are not entitled to
(a) To provide suitable arrangements pay for service; although public mem-
through which Federal agencies, as- bers are entitled to travel reimburse-
sisted by outside experts, may coopera- ment.
tively study mutual problems, ex- (e) The membership is divided into
change information, and develop rec- six standing committees, each assigned
ommendations for action by proper au- a broad area of interest as follows: Ad-
thorities to the end that private rights judication, Administration, Public
may be fully protected and regulatory Processes, Judicial Review, Regula-
activities and other Federal respon- tion, and Rulemaking.
sibilities may be carried out expedi- (f) The membership meeting in ple-
tiously in the public interest; nary session is called the Assembly of
(b) To promote more effective public the Administrative Conference. The
participation and efficiency in the Council must call at least one plenary
rulemaking process; session each year. The Assembly has
43
§ 301.4 1 CFR Ch. III (1–1–19 Edition)
authority to adopt bylaws for carrying ministrative procedure, and the design
out the functions of the Conference. or improvement of administrative pro-
cedure, where the expertise of members
§ 301.4 Activities. of the Conference is indicated; and
(a) The Conference may study the ef- (2) Such assistance may only be un-
ficiency, adequacy, and fairness of the dertaken on a fully reimbursable basis,
administrative procedure used by ad- including all direct and indirect admin-
ministrative agencies in carrying out istrative costs.
administrative programs. Subjects for (d) For purposes of this section:
inquiry by the Conference are devel- (1) ‘‘Administrative program’’ in-
oped by the Chairman, the Council, the cludes a Federal function which in-
committees, and the Assembly. The volves protection of the public interest
committees, with the assistance of and the determination of rights, privi-
staff and consultants, conduct thor- leges, and obligations of private per-
ough studies of these subjects and de- sons through rulemaking, adjudication,
velop proposed recommendations and licensing, or investigation, except that
supporting reports. Reports and rec- it does not include a military or for-
ommendations are considered by the eign affairs function of the United
Council and distributed to the member- States; and
ship, with the views and recommenda- (2) ‘‘Administrative procedure’’
tions of the Council, to be placed on means procedure used in carrying out
the agenda of a plenary session. The an administrative program and is to be
Assembly has complete authority to broadly construed to include any as-
approve, amend, remand, or reject rec- pect of agency organization, procedure,
ommendations presented by the com- or management which may affect the
mittees. The deliberations of the As- equitable consideration of public and
sembly are public. Recommendations private interests, the fairness of agen-
may be made to administrative agency decisions, the speed of agency ac-
cies, collectively or individually, and tion, and the relationship of operating
to the President, Congress, or the Judi- methods to later judicial review, but
cial Conference of the United States, as does not include the scope of agency re-
the Conference considers appropriate. sponsibility as established by law or
(b) The Conference may arrange for matters of substantive policy com-
interchange among administrative mitted by law to agency discretion.
agencies of information potentially
useful in improving administrative § 301.5 Office of the Chairman.
procedure, collect information and sta- The Chairman is the chief executive
tistics from administrative agencies of the Conference. The Chairman pre-
and publish such reports as it considers sides at meetings of the Council and at
useful for evaluating and improving ad- each plenary session of the Conference.
ministrative procedure, and enter into Among his powers is the authority to
arrangements with any administrative encourage Federal agencies to adopt
agency or major organizational unit the recommendations of the Con-
within an administrative agency pursu- ference. The Chairman is also author-
ant to which the Conference performs ized to make inquiries into matters he
any of the functions described in this considers important for Conference
section. consideration, including matters pro-
(c) The Conference may provide as- posed by individuals inside or outside
sistance in response to requests relat- the Federal Government. The purpose
ing to the improvement of administra- of such inquiries is not to review the
tive procedure in foreign countries, results in particular cases, but rather
subject to the concurrence of the Sec- to determine whether the problems
retary of State or the Administrator of should be made the subject of Con-
the Agency for International Develop- ference study in the interests of devel-
ment, as appropriate, except that: oping fair and effective procedures for
(1) Such assistance shall be limited such cases. Upon request of the head of
to the analysis of issues relating to ad- an agency, the Chairman is authorized
ministrative procedure, the provision to furnish assistance and advice on

of training of foreign officials in ad- matters of administrative procedure.
44
Adminstrative Conference of the U.S. § 304.1
The Chairman may request agency Subpart A—Procedures for Disclo-

heads to provide information needed by sure of Records Under the
the Conference, which information Freedom of Information Act
shall be supplied to the extent per-
mitted by law.
AUTHORITY: 5 U.S.C. 552, 591–96.
PARTS 302–303 [RESERVED] § 304.1 General provisions.

(a) This subpart contains the rules
PART 304—DISCLOSURE OF that the Administrative Conference of
RECORDS OR INFORMATION the United States (‘‘ACUS’’ or ‘‘the
agency’’) follows in processing requests
Subpart A—Procedures for Disclosure of for disclosure of records under the
Records Under the Freedom of Infor- Freedom of Information Act (‘‘FOIA’’
mation Act or ‘‘the Act’’), 5 U.S.C. 552, as amended,
and in meeting its responsibilities
Sec. under the Act. Note that electronic
304.1 General provisions. records are treated as records for the
304.2 Proactive disclosures. purposes of the FOIA. These rules
304.3 Requirements for making requests. should be read together with the text
304.4 Responsibility for responding to re- of the FOIA itself and the Uniform
quests. Freedom of Information Fee Schedule
304.5 Timing of responses to requests.
and Guidelines published by the Office
304.6 Responses to requests.
of Management and Budget (OMB
304.7 Business information.
Guidelines). They also may be read in
304.8 Appeals.
conjunction with the agency’s ‘‘Free-
304.9 Fees.
dom of Information Act Reference
304.10 Preservation of records.
Guide,’’ which provides basic informa-
304.11 Other rights and services.
tion about use of the Act in relation to
Subpart B—Protection of Privacy and Ac- the agency’s records. Requests made by
cess to Individual Records Under the individuals for records about them-
Privacy Act of 1974 selves under the Privacy Act of 1974, 5
U.S.C. 552a, are processed in accord-
304.20 General provisions. ance with the agency’s Privacy Act
304.21 Requests for access to records. regulations as well as under this sub-
304.22 Responsibility for responding to re- part.
quests for access to records. (b) The agency will withhold records
304.23 Responses to requests for access to or information only when it reasonably
records. foresees that disclosure would harm an
304.24 Appeals from denials of requests for interest protected by an exemption of
access to records. the FOIA or when disclosure is prohib-
304.25 Requests for amendment or correc- ited by law. Where full disclosure is not
tion of records.
possible, the agency will consider
304.26 Requests for an accounting of record
whether partial disclosure is possible
disclosures.
304.27 Fees.
and, if so, will take reasonable steps to
304.28 Notice of court-ordered and emer-
segregate and release nonexempt infor-
gency disclosures. mation. These policies do not create
304.29 Security of systems of records. any right enforceable in court.
304.30 Contracts for the operation of record (c) The agency has designated its
systems. General Counsel as its Chief FOIA Offi-
304.31 Use and collection of social security cer, who has agency-wide responsibility
numbers and other information. for efficient and appropriate compli-
304.32 Employee standards of conduct. ance with the FOIA and these imple-
304.33 Preservation of records. menting regulations. The Chief FOIA
304.34 Other rights and services. Officer has designated the agency’s
FOIA Public Liaison, who can assist in-
SOURCE: 76 FR 18635, Apr. 5, 2011, unless
dividuals in locating and obtaining par-
otherwise noted.
ticular agency records. Contact infor-
mation for the Chief FOIA Officer and
45
the FOIA Public Liaison are clearly in- site and in paper form—helpful in mak-
dicated on the agency’s Web site at ing your request.) If you are making a
https://www.acus.gov/foia. request for records about yourself, see
[82 FR 7632, Jan. 23, 2017] § 304.21(d) for additional requirements.
If you are making a request for records
§ 304.2 Proactive disclosures. about another individual, then either a
(a) Records that the FOIA requires written authorization signed by that
ACUS to make regularly available for individual permitting disclosure of
public inspection in an electronic for- those records to you or proof that that
mat, including any records that have individual is deceased (for example, a
been requested three or more times, or copy of a death certificate or an obit-
were previously released and are likely uary notice) will help the processing of
to become the subject of subsequent re- your request. Your request will be con-
quests or appear to be of general inter- sidered received as of the date upon
est, may be accessed through the agen- which it is logged in as received by the
cy’s Web site at https://www.acus.gov. A agency’s FOIA Public Liaison.
subject matter index of such records (b) Description of records sought. (1)
(or comparable tool) may also be You must describe the records that you
accessed through the agency’s Web site seek in enough detail to enable agency
and will be updated on an ongoing personnel to locate them with a rea-
basis. sonable amount of effort. Whenever
(b) Information routinely provided to possible, your request should include
the public as part of a regular agency specific information about each record
activity, including information posted sought, such as the date, title or name,
on the agency’s Web site (for example, author, recipient, and subject matter
press releases or recommendations of the record. If known, you should in-
adopted by the Conference pursuant to clude any file designations or similar
the Administrative Conference Act, 5 descriptions for the records that you
U.S.C. 591 et seq.), may be provided to want. As a general rule, the more spe-
the public without following this sub-
cific you are about the records or type
part.
of records that you want, the more
(c) Any requester needing assistance
likely that the agency will be able to
in locating proactively disclosed or
other agency records may contact the locate those records in response to
agency’s FOIA Public Liaison at (202) your request. Before submitting your
480–2080. request, you may contact the agency’s
FOIA Public Liaison at (202) 480–2080
[82 FR 7632, Jan. 23, 2017] for assistance in describing the records.
§ 304.3 Requirements for making re- (2) If the agency determines that
quests. your request does not reasonably de-
scribe records, then it will tell you ei-
(a) How made and addressed. You may
ther what additional information is
make a request for records by using the
needed or why your request is other-
FOIA Request form on the ACUS Web
wise insufficient. It also will give you
site at https://www.acus.gov/foia. You
an opportunity to discuss your request
may also send a written request letter
to the agency either by mail addressed by telephone so that you may modify it
to FOIA Public Liaison, Administra- to meet the requirements of this sec-
tive Conference of the United States, tion. Additionally, if your request does
1120 20th Street NW., Suite 706 South, not reasonably describe the records
Washington, DC 20036, or by fax deliv- you seek, the agency’s response to it
ery to (202) 386–7190. For the quickest may be delayed as an initial matter.
possible handling of a mail request, (c) Format of records sought. Requests
you should mark both your request let- may specify the preferred form or for-
ter and the envelope ‘‘Freedom of In- mat (including electronic formats) for
formation Act Request.’’ (You may find the records you seek. The agency will
the agency’s ‘‘Freedom of Information accommodate your request if the
Act Reference Guide’’—which is avail- record is readily reproducible in that

able in electronic format on its Web form or format.
46
(d) Agreement to pay fees. When you will be presumed to be best able to de-
make a FOIA request, it will be consid- termine whether to disclose it.
ered to be an agreement by you to pay (c) Notice of referral. When the agency
all applicable fees charged under § 304.9, refers all or any part of the responsi-
up to $50.00, unless you specifically re- bility for responding to a request to an-
quest a waiver of fees. The agency ordi- other agency, it ordinarily will notify
narily will confirm this agreement in the requester of the referral and inform
an acknowledgment letter. When mak- the requester of the name of the agen-
ing a request, you may specify a will- cy to which the request has been re-
ingness to pay a greater or lesser ferred and of the part of the request
amount. Your agreement will not prej- that has been referred.
udice your ability to seek a waiver or
(d) Timing of responses to consultations
reduction of any applicable fee at a
and referrals. All consultations and re-
later time.
ferrals will be handled according to the
[82 FR 7632, Jan. 23, 2017] date upon which the FOIA request ini-
tially was received by the first agency,
§ 304.4 Responsibility for responding and not any later date.
to requests. (e) Agreements regarding consultations
(a) In general. The agency will be re- and referrals. The agency may make
sponsible for responding to a request in agreements with other agencies de-
all respects, except in the case of a re- signed to eliminate the need for con-
ferral to another agency as is described sultations or referrals regarding par-
in paragraphs (b), (c), and (d) of this ticular types of records.
section. In determining which records
are responsive to a request, the agency § 304.5 Timing of responses to re-
ordinarily will include only records in quests.
its possession and control as of the (a) In general. The agency ordinarily
date upon which it begins its search for will respond to requests according to
them. If any other date is used, the their order of receipt.
agency will inform the requester of
(b) Multi-track processing. The agency
that date.
generally uses two processing tracks
(b) Consultations and referrals. When
that distinguish between simple and
the agency receives a request for a
complex requests. In determining the
record in its possession and control, it
will determine whether another agency appropriate track for a request, the
of the Federal Government is better agency considers, among other factors,
able to determine whether the record is the number of records requested, the
exempt from disclosure under the FOIA number of pages involved in processing
and, if so, whether it should be dis- the request and the need for consulta-
closed as a matter of administrative tions or referrals. When a request is
discretion. If the agency determines placed on the complex track, the agen-
that it is best able to process the cy will provide the requester with an
record in response to the request, then opportunity to narrow or modify the
it will do so. If the agency determines request so that it can be placed on the
that it is not best able to process the simple track. The agency will contact
record, then it will either: the requester by telephone, email or
(1) Respond to the request regarding letter, whichever is most efficient, in
that record, after consulting with the each case.
agency that is best able to determine (c) Unusual circumstances. (1) Where
whether to disclose it and with any the statutory time limit of 20 days for
other agency that has a substantial in- processing a request cannot be met be-
terest in it; or cause of ‘‘unusual circumstances,’’ as
(2) Refer the responsibility for re- defined in the FOIA, and the agency ex-
sponding to the request regarding that tends the time limits on that basis, it
record to another agency that origi- will, before expiration of the 20-day pe-
nated the record (but only if that agen- riod, notify the requester in writing of
cy is subject to the FOIA). Ordinarily, the unusual circumstances and of the

the agency that originated a record date by which the agency estimates
47
processing of the request can be ex- quester also must establish a par-
pected to be completed. Where the ex- ticular urgency to inform the public
tension is likely to exceed ten working about the government activity in-
days, the agency will provide the re- volved in the request, beyond the
quester with an opportunity to modify public’s right to know about govern-
the request or arrange an alternative ment activity generally. The formality
time period for processing the original of certification may be waived by the
or modified request. In such instances, agency as a matter of administrative
the agency’s FOIA Public Liaison will discretion.
contact the requester, and the re- (4) Within ten calendar days of its re-
quester will be informed of the medi- ceipt of a request for expedited proc-
ation services offered by the Office of essing, the agency will decide whether
Government Information Services to grant it and will notify the re-
(‘‘OGIS’’)—see https://www.archives.gov/ quester of the decision. If a request for
ogis. expedited treatment is granted, then
(2) Where the agency reasonably be- the request will be given priority and
lieves that multiple requests submitted will be processed as soon as prac-
by a requester, or by a group of re- ticable. If a request for expedited proc-
questers acting in concert, constitute a essing is denied, then any appeal of
single request that would otherwise in- that decision will be acted on expedi-
volve unusual circumstances, and the tiously.
requests involve clearly related mat- [76 FR 18635, Apr. 5, 2011, as amended at 82
ters, they may be aggregated. Multiple FR 7632, Jan. 23, 2017]
requests involving unrelated matters
will not be aggregated. § 304.6 Responses to requests.
(d) Expedited processing. (1) Requests (a) Acknowledgments of requests. On
and appeals will be taken out of order receipt of a request, if the agency can-
and given expedited treatment when- not provide the requested information
ever it is determined that they involve: within two working days, then an ac-
(i) Circumstances in which the lack knowledgment letter or email message
of expedited treatment could reason- will be sent to the requester that will
ably be expected to pose an imminent confirm the requester’s agreement to
threat to the life or physical safety of pay fees under § 304.3(d) and will pro-
an individual; vide a request tracking number for fur-
(ii) An urgency to inform the public ther reference. Requesters may use this
concerning actual or alleged federal tracking number to determine the sta-
government activity, if made by a per- tus of their request—including the date
son primarily engaged in disseminating of its receipt and the estimated date on
information; or which action on it will be completed—
(iii) Other circumstances as deter- by calling the agency’s FOIA Public Li-
mined by the agency. aison at (202) 480–2080. In some cases,
(2) A request for expedited processing the agency may seek further informa-
may be made at the time of the initial tion or clarification from the re-
request for records (i.e., as part of the quester.
initial request) or at any later time. (b) Grants of requests. Ordinarily, the
(3) A requester who seeks expedited agency will have 20 working days from
processing must submit a statement, when a request is received to determine
certified to be true and correct to the whether to grant or deny the request.
best of that person’s knowledge and be- Once the agency makes such a deter-
lief, explaining in detail the basis for mination, it will immediately notify
requesting expedited processing. For the requester in writing. The agency
example, a requester within the cat- will inform the requester in the notice
egory in paragraph (d)(1)(ii) of this sec- of any fee charged under § 304.9 and will
tion, if not a full-time member of the disclose records to the requester
news media, must establish that he or promptly upon payment of any applica-
she is a person whose main professional ble fee. The agency will also inform the
activity or occupation is information requester of the availability of its
dissemination, though it need not be FOIA Public Liaison to offer assist-

his or her sole occupation. That re- ance.
48
(c) Adverse determinations of requests. § 304.7 Business information.

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

[82 FR 7633, Jan. 23, 2017] from disclosure under Exemption 4; or
49
(2) The agency has reason to believe FOIA) or by a regulation issued in ac-
that the information may be protected cordance with the requirements of Ex-
from disclosure under Exemption 4. ecutive Order 12,600; or
(f) Opportunity to object to disclosure. (4) The designation made by the sub-
The agency will allow a submitter a mitter under paragraph (c) of this sec-
reasonable time to respond to the no- tion appears obviously frivolous—ex-
tice described in paragraph (d) of this cept that, in such a case, the agency
section and will specify that time pe- will, within a reasonable time prior to
riod within the notice. If a submitter a specified disclosure date, give the
has any objection to disclosure, it is re- submitter written notice of any final
quired to submit a detailed written decision to disclose the information.
statement. The statement must specify (i) Notice of FOIA lawsuit. Whenever a
all grounds for withholding any portion requester files a lawsuit seeking to
of the information under any exemp- compel the disclosure of business infor-
tion of the FOIA and, in the case of Ex- mation, the agency will promptly no-
emption 4, it must show why the infor- tify the submitter.
mation is a trade secret or commercial (j) Corresponding notice to requesters.
or financial information that is privi- Whenever the agency provides a sub-
leged or confidential. In the event that mitter with notice and an opportunity
a submitter fails to respond to the no- to object to disclosure under paragraph
tice within the time specified in it, the (d) of this section, it will also notify
submitter will be considered to have no the requester(s). Whenever the agency
objection to disclosure of the informa- notifies a submitter of its intent to dis-
tion. Information provided by the sub- close requested information under
mitter that is not received by the agen- paragraph (g) of this section, it will
cy until after its disclosure decision also notify the requester(s). Whenever
has been made will not be considered a submitter files a lawsuit seeking to
by the agency. Information provided by prevent the disclosure of business in-
a submitter under this paragraph may formation, the agency will notify the
itself be subject to disclosure under the requester(s).
FOIA.
(g) Notice of intent to disclose. The § 304.8 Appeals.
agency will consider a submitter’s ob- (a) Appeals of adverse determinations.
jections and specific grounds for non- If you are dissatisfied with the re-
disclosure in deciding whether to dis- sponse to your request, you may appeal
close business information. Whenever an adverse determination denying your
the agency decides to disclose business request, in any respect, to the Chair-
information over the objection of a man of the agency. You must make
submitter, it will give the submitter your appeal in writing, by email or let-
written notice, which will include: ter, and it must be received by the
(1) A statement of the reason(s) why agency within 90 calendar days of the
each of the submitter’s disclosure ob- date of the agency’s response denying
jections was not sustained; your request. Your appeal should pro-
(2) A description of the business in- vide reasons and supporting informa-
formation to be disclosed; and tion as to why the initial determina-
(3) A specified disclosure date, which tion was incorrect. The appeal should
will be a reasonable time subsequent to clearly identify the particular deter-
the notice. mination (including the assigned re-
(h) Exceptions to notice requirements. quest number, if known) that you are
The notice requirements of paragraphs appealing. For the quickest possible
(d) and (g) of this section will not apply handling of a mail request, you should
if: mark your appeal ‘‘Freedom of Infor-
(1) The agency determines that the mation Act Appeal.’’ The Chairman or
information should not be disclosed; his or her designee will act on the ap-
(2) The information lawfully has been peal, except that an appeal ordinarily
published or has been officially made will not be acted on if the request be-
available to the public; comes a matter of FOIA litigation.
(3) Disclosure of the information is (b) Responses to appeals. The decision

required by statute (other than the on your appeal will be communicated
50
to you by email or letter, ordinarily doubt a requester’s stated use, the

within 20 working days of receipt of agency will provide the requester a rea-
your appeal. A decision affirming an sonable opportunity to submit further
adverse determination in whole or in clarification.
part will contain a statement of the (2) ‘‘Direct costs’’ means those ex-
reason(s) for the affirmance, including penses that an agency actually incurs
any FOIA exemption(s) applied, and in searching for and duplicating (and,
will inform you of the FOIA provisions in the case of commercial use requests,
for court review of the decision. The reviewing) records to respond to a
decision will also inform you of the FOIA request. Direct costs include, for
mediation services offered by OGIS as example, the salary of the employee
a non-exclusive alternative to FOIA performing the work (the basic rate of
litigation. If the adverse determination pay for the employee, plus 16 percent of
is reversed or modified on appeal, in that rate to cover benefits) and the
whole or in part, then you will be noti- cost of operating duplication machin-
fied in a written decision and your re- ery. Not included in direct costs are
quest will be reprocessed in accordance overhead expenses such as the costs of
with that appeal decision. space and heating or lighting of the fa-
(c) Engaging in dispute resolution serv- cility in which the records are kept.
ices provided by OGIS. Mediation is a (3) ‘‘Duplication’’ means the making
voluntary process. If the agency agrees of a copy of a record, or of the informa-
to participate in the mediation serv- tion contained in it, necessary to re-
ices provided by OGIS, it will actively spond to a FOIA request. Copies can
engage in the process in an attempt to take the form of paper, audiovisual ma-
resolve the dispute. terials, or electronic records, among
(d) When appeal is required. As a gen- others. The agency will honor a re-
eral rule, if you wish to seek review by quester’s specified preference of form
a court of any adverse determination, or format of disclosure if the record is
you must first appeal it in a timely readily reproducible with reasonable
fashion under this section. efforts in the requested form or format.
[82 FR 7633, Jan. 23, 2017] (4) ‘‘Educational institution’’ means
a preschool, a public or private elemen-
§ 304.9 Fees. tary or secondary school, an institu-
(a) In general. The agency will charge tion of undergraduate higher edu-
for processing requests under the FOIA cation, an institution of graduate high-
in accordance with paragraph (c) of er education, an institution of profes-
this section and with the OMB Guide- sional education, or an institution of
lines. The agency ordinarily will col- vocational education, that operates a
lect all applicable fees before sending program of scholarly research. To qual-
copies of requested records to a re- ify under this category, a requester
quester. Requesters must pay fees by must show that the request is author-
check or money order made payable to ized by and is made under the auspices
the Treasury of the United States. of a qualifying institution and that the
(b) Definitions. For purposes of this records are not sought for a commer-
section: cial use but are sought to further
(1) ‘‘Commercial use request’’ means scholarly research.
a request from or on behalf of a person (5) ‘‘Noncommercial scientific insti-
who seeks information for a use or pur- tution’’ means an institution that is
pose that furthers his or her commer- not operated on a ‘‘commercial’’ basis,
cial, trade, or profit interests, includ- as that term is defined in paragraph
ing furthering those interests through (b)(1) of this section, and that is oper-
litigation. The agency will determine, ated solely for the purpose of con-
whenever reasonably possible, the use ducting scientific research the results
to which a requester will put the re- of which are not intended to promote
quested records. When it appears that any particular product or industry. To
the requester will put the records to a qualify under this category, a re-
commercial use, either because of the quester must show that the request is
nature of the request itself or because authorized by and is made under the
the agency has reasonable cause to auspices of a qualifying institution and
51
that the records are not sought for a made by a business submitter under
commercial use but are sought to fur- § 304.7 but does not include time spent
ther scientific research. resolving general legal or policy issues
(6) ‘‘Representative of the news regarding the application of exemp-
media,’’ or ‘‘news-media requester,’’ tions.
means any person or entity that gath- (8) ‘‘Search’’ means the process of
ers information of potential interest to looking for and retrieving records or
a segment of the public, uses its edi- information responsive to a request. It
torial skills to turn the raw materials includes page-by-page or line-by-line
into a distinct work, and distributes identification of information within
that work to an audience. For this pur- records and also includes reasonable ef-
pose, the term ‘‘news’’ means informa- forts to locate and retrieve information
tion that is about current events or from records maintained in electronic
that would be of current interest to the form or format. The agency will con-
public. Examples of news-media enti- duct searches in the most efficient and
ties are television or radio stations least expensive manner reasonably pos-
broadcasting to the public at large and sible. For example, it will not search
publishers of periodicals (but only if on a line-by-line basis where dupli-
such entities qualify as disseminators cating an entire document would be
of ‘‘news’’) who make their products quicker and less expensive.
available for purchase by or subscrip- (c) Fees charged. In responding to
tion by or free distribution to the gen- FOIA requests, the agency will charge
eral public. These examples are not all- the following fees unless a waiver or re-
inclusive. Moreover, as methods of duction of fees has been granted under
news delivery evolve (for example, the paragraph (k) of this section:
adoption of the electronic dissemina- (1) Search. (i) Search fees will be
tion of newspapers through tele- charged for all requests (other than re-
communications services), such alter- quests made by educational institu-
native media shall be considered to be tions, noncommercial scientific insti-
news-media entities. A freelance jour- tutions, or representatives of the news
nalist shall be regarded as working for media) subject to the limitations of
a news-media entity if the journalist paragraph (d) of this section. The agen-
can demonstrate a solid basis for ex- cy may charge for time spent searching
pecting publication through that enti- even if it does not locate any respon-
ty, whether or not the journalist is ac- sive record or if it withholds the
tually employed by the entity. A publi- record(s) located as entirely exempt
cation contract would present a solid from disclosure.
basis for such an expectation; the agen- (ii) For each quarter hour spent by
cy may also consider the past publica- clerical personnel in searching for and
tion record of the requester in making retrieving a requested record, the fee
such a determination. To qualify under will be $5.00. Where a search and re-
this category, a requester must not be trieval cannot be performed entirely by
seeking the requested records for a clerical personnel (for example, where
commercial use. A request for records the identification of records within the
supporting the news-dissemination scope of a request requires the use of
function of the requester will not be professional personnel) the fee will be
considered to be for a commercial use. $10.00 for each quarter hour of search
(7) ‘‘Review’’ means the examination time spent by professional personnel.
of a record located in response to a re- Where the time of managerial per-
quest in order to determine whether sonnel is required, the fee will be $15.00
any portion of it is exempt from disclo- for each quarter hour of time spent by
sure. It also includes processing any those personnel.
record for disclosure—for example, (iii) For computer searches of
doing all that is necessary to redact it records, requesters will be charged the
and prepare it for disclosure. Review direct costs of conducting the search,
costs are recoverable even if a record although certain requesters (as pro-
ultimately is not disclosed. Review vided in paragraph (d)(1) of this sec-
time includes time spent considering tion) will be charged no search fee and
any formal objection to disclosure certain other requesters (as provided in
52
paragraph (d)(3) of this section) will be $20.00 or less for any request, no fee
entitled to the cost equivalent of two will be charged.
hours of manual search time without (5) The provisions of paragraphs (d)(3)
charge. These direct costs will include and (4) of this section work together.
the costs of operator/programmer sal- This means that for requesters other
ary apportionable to the search. than those seeking records for a com-
(2) Duplication. Duplication fees will mercial use, no fee will be charged un-
be charged to all requesters, subject to less the cost of search in excess of two
the limitations of paragraph (d) of this hours plus the cost of duplication in
section. For a paper photocopy of a excess of 100 pages totals more than
record (no more than one copy of which $20.00.
need be supplied), the fee will be ten (6) (i) If the agency fails to comply
cents per page. For copies produced by with the FOIA’s time limits in which
computer, such as tapes, disks, or to respond to a request, it may not
printouts, the agency will charge the charge search fees, or, in the instances
direct costs, including operator time, of requests from requesters described
of producing the copy. For other forms in paragraph (d)(1) of this section, may
of duplication, the agency will charge not charge duplication fees, except as
the direct costs of that duplication. described in (d)(6)(ii)–(iv).
(3) Review. Review fees will be (ii) If the agency has determined that
charged to requesters who make a com- unusual circumstances as defined by
mercial use request. Review fees will the FOIA apply and the agency pro-
be charged only for the initial record vided timely written notice to the re-
review, when the agency determines quester in accordance with the FOIA, a
whether an exemption applies to a par- failure to comply with the time limit
ticular record or record portion at the will be excused for an additional 10
initial request level. No charge will be working days.
made for review at the administrative (iii) If the agency has determined
appeal level regarding an exemption al- that unusual circumstances, as defined
ready applied. However, records or by the FOIA, apply and more than 5,000
record portions withheld under an ex- pages are necessary to respond to the
emption that is subsequently deter- request, the agency may charge search
mined not to apply may be reviewed fees, or, in the case of requesters de-
again to determine whether any other scribed in paragraph (d)(1) of this sec-
exemption not previously considered tion, may charge duplication fees, if
applies; the costs of that review are the following steps are taken. The
chargeable where it is made necessary agency must have provided timely
by such a change of circumstances. Re- written notice of unusual cir-
view fees will be charged at the same cumstances to the requester in accord-
rates as those used for a search under ance with the FOIA and the agency
paragraph (c)(1)(ii) of this section. must have discussed with the requester
(d) Limitations on charging fees. (1) No via written mail, email, or telephone
search fee will be charged for requests (or made not less than three good-faith
by educational institutions, non- attempts to do so) how the requester
commercial scientific institutions, or could effectively limit the scope of the
representatives of the news media. request in accordance with 5 U.S.C.
(2) No search fee or review fee will be 552(a)(6)(B)(ii). If this exception is sat-
charged for a quarter-hour period un- isfied, the agency may charge all appli-
less more than half of that period is re- cable fees incurred in the processing of
quired for search or review. this request.
(3) Except for requesters seeking (iv) If a court has determined that
records for a commercial use, the agen- exceptional circumstances exist, as de-
cy will provide without charge: fined by the FOIA, a failure to comply
(i) The first 100 pages of duplication with the time limits will be excused for
(or the cost equivalent); and the length of time provided by the
(ii) The first two hours of search (or court order.
the cost equivalent). (e) Notice of anticipated fees in excess
(4) Whenever a total fee calculated of $50.00. (1) When the agency deter-
under paragraph (c) of this section is mines or estimates that the fees to be
53
charged under this section will amount rate provided in 31 U.S.C. 3717 and will
to more than $50.00, it will notify the accrue from the date of the billing
requester of the actual or estimated until payment is received by the agen-
amount of the fees, unless the re- cy. The agency will follow the provi-
quester has indicated a willingness to sions of the Debt Collection Act of 1982,
pay fees as high as those anticipated. If Public Law 97–365, 96 Stat. 1749, as
only a portion of the fee can be esti- amended, and regulations pursuant
mated readily, the agency will advise thereto.
the requester that the estimated fee (h) Aggregating requests. Wherever the
might be only a portion of the total agency reasonably believes that a re-
fee. In cases in which a requester has quester or a group of requesters acting
been notified that actual or estimated together is attempting to divide a re-
fees amount to more than $50.00, the quest into a series of requests for the
request will not be considered received purpose of avoiding fees, it may aggre-
and further work will not be done on it gate those requests and charge accord-
until the requester agrees to pay the ingly. In so doing, it will presume that
total anticipated fee. Any such agree- multiple requests of this type made
ment should be memorialized in writ- within a 30-day period have been made
ing. A notice under this paragraph will in order to avoid fees. Where requests
offer the requester an opportunity to are separated by a longer period, the
discuss the matter with agency per- agency will aggregate them only where
sonnel in order to reformulate the re- there exists a solid basis for deter-
quest to meet the requester’s needs at mining that aggregation is warranted
a lower cost. under all the circumstances involved.
(2) If the requester has indicated a Multiple requests involving unrelated
willingness to pay some designated matters will not be aggregated.
amount of fees, but the agency esti- (i) Advance payments. (1) For requests
mates that the total fee will exceed other than those described in para-
that amount, the agency will suspend graphs (i)(2) and (i)(3) of this section,
the processing of the request when it the agency will not require the re-
notifies the requester of the estimated quester to make an advance payment—
fees in excess of the amount the re- in other words, a payment made before
quester has indicated a willingness to work is begun or continued on a re-
pay. The agency will inquire whether quest. Payment owed for work already
the requester wishes to revise the completed (i.e., a prepayment before
amount of fees the requester is willing copies are sent to a requester) is not an
to pay or modify the request. Once the advance payment.
requester responds, the time to respond (2) Where the agency determines or
will resume from where it was at the estimates that a total fee to be charged
date of the notification. under this section will be more than
(3) The agency will make its FOIA $250.00, it may require the requester to
Public Liaison available to assist any make an advance payment of an
requester in reformulating a request to amount up to the amount of the entire
meet the requester’s needs at a lower anticipated fee before beginning to
cost. process the request, except where it re-
(f) Charges for other services. Apart ceives a satisfactory assurance of full
from the other provisions of this sec- payment from a requester that has a
tion, when the agency chooses as a history of prompt payment.
matter of administrative discretion to (3) Where a requester has previously
provide a special service—such as certi- failed to pay a properly charged FOIA
fying that records are true copies or fee to the agency within 30 calendar
sending them by other than ordinary days of the date of billing, the agency
mail—the direct costs of providing the may require the requester to pay the
service ordinarily will be charged. full amount due, plus any applicable
(g) Charging interest. The agency may interest, and to make an advance pay-
charge interest on any unpaid bill ment of the full amount of any antici-
starting on the 31st day following the pated fee, before it begins to process a
date of the billing of the requester. In- new request or continues to process a
terest charges will be assessed at the pending request from that requester.
54
(4) In cases in which the agency re- tially identical form, would not be
quires advance payment or payment meaningfully informative if nothing
due under paragraph (i)(2) or (i)(3) of new would be added to the public’s un-
this section, the request will not be derstanding.
considered received and further work (B) The disclosure must contribute to
will not be done on it until the re- the understanding of a reasonably
quired payment is received. broad audience of persons interested in
(j) Other statutes specifically providing the subject, as opposed to the indi-
for fees. The fee schedule of this section vidual understanding of the requester.
does not apply to fees charged under A requester’s expertise in the subject
any statute that specifically requires area as well as the requester’s ability
an agency to set and collect fees for and intention to convey information
particular types of records. In cases in effectively to the public will be consid-
which records responsive to requests ered. The agency will presume that a
are maintained for distribution by an- representative of the news media satis-
other agency under such a statutorily fies this consideration.
based fee schedule program, ACUS will (iii) The disclosure must not be pri-
inform the requesters of the steps for marily in the commercial interest of
obtaining records from those sources so the requester. To determine whether
that they may do so most economi- disclosure of the requested information
cally. is primarily in the commercial interest
(k) Requirements for waiver or reduc- of the requester, the agency will con-
tion of fees. (1) Requesters may seek a sider the following criteria:
waiver of fees by submitting a written
(A) Whether the requester has any
application demonstrating how disclo-
commercial interest that would be
sure of the requested information is in
furthered by the requested disclosure.
the public interest because it is likely
A commercial interest includes any
to contribute significantly to public
commercial, trade, or profit interest.
understanding of the operations or ac-
Requesters will be given an oppor-
tivities of the government and is not
tunity to provide explanatory informa-
primarily in the commercial interest of
the requester. tion regarding this consideration.
(2) The agency will furnish records (B) Whether any identified commer-
responsive to a request without charge cial interest is the primary interest
or at a reduced rate when it deter- furthered by the request. A waiver or
mines, based on all available informa- reduction of fees is justified when the
tion, that the factors described in para- requirements of paragraphs (k)(2)(i)
graphs (k)(2)(i) through (iii) of this sec- and (ii) of this section are satisfied and
tion are satisfied: any commercial interest is not the pri-
(i) Disclosure of the requested infor- mary interest furthered by the request.
mation would shed light on the oper- The agency ordinarily will presume
ations or activities of the government. that when a news media requester has
The subject of the requested records satisfied factors in paragraphs (k)(2)(i)
must concern identifiable operations or and (ii) of this section, the request is
activities of the Federal Government not primarily in the commercial inter-
with a connection that is direct and est of the requester. Disclosure to data
clear, not remote or attenuated. brokers or others who merely compile
(ii) Disclosure of the requested infor- and market government information
mation is likely to contribute signifi- for direct economic return will not be
cantly to public understanding of those presumed primarily to serve the public
operations or activities. This factor is interest.
satisfied when the following criteria (3) Where only some of the records to
are met: be released satisfy the requirements for
(A) Disclosure of the requested a waiver of fees, a waiver will be grant-
records must be meaningfully informed for those records.
ative about government operations or (4) Requests for a waiver or reduction
activities. The disclosure of informa- of fees should ordinarily be made when
tion that already is in the public do- the request is first submitted to the
main, in either the same or a substan- agency and should address the criteria
55
referenced above. A requester may sub- under the Privacy Act of 1974 (‘‘the Pri-
mit a fee waiver request at a later time vacy Act’’), 5 U.S.C. 552a, as amended,
so long as the underlying record re- regarding the protection of, and indi-
quest is pending or on administrative vidual access to, certain records about
appeal. When a requester who has com- individuals. These rules should be read
mitted to pay fees subsequently asks together with and are governed by the
for a waiver of those fees and that Privacy Act itself, which provides addi-
waiver is denied, the requester must tional information about records main-
pay any costs incurred up to the date tained on individuals. The rules in this
the fee waiver request was received. subpart apply to all records in Privacy
[76 FR 18635, Apr. 5, 2011, as amended at 82 Act systems of records maintained by
FR 7633, Jan. 23, 2017] the agency, which are retrieved by an
individual’s name or personal identi-
§ 304.10 Preservation of records. fier. They describe the procedures by
(a) The agency will preserve all cor- which individuals may request access
respondence pertaining to the requests to records about themselves, request
that it receives under this subpart, as amendment or correction of those
well as copies of all requested records, records, and request an accounting of
until disposition or destruction is au- disclosures of those records by the
thorized by title 44 of the United agency. In addition, the agency proc-
States Code or the National Archives esses all Privacy Act requests for ac-
and Records Administration’s General cess to records under the Freedom of
Records Schedule 4.2. Records will not Information Act (‘‘FOIA’’), 5 U.S.C. 552,
be disposed of while they are the sub- as amended, following the rules con-
ject of a pending request, appeal, or tained in subpart A of this part. Thus,
lawsuit under the FOIA. all Privacy Act requests will be subject
(b) In the event that the agency con- to exemptions for access to records
tracts with another agency, entity, or only applicable under both FOIA and
person to maintain records for the the Privacy Act.
agency for the purposes of records (b) Definitions. As used in this sub-
management, it will promptly identify part:
such records in its ‘‘Freedom of Infor- (1) ‘‘Request for access to a record’’
mation Reference Guide’’ and specify means a request made under Privacy
the particular means by which request Act, 5 U.S.C. 552a(d)(1).
for such records can be made. (2) ‘‘Request for amendment or cor-
rection of a record’’ means a request
[76 FR 18635, Apr. 5, 2011, as amended at 82
FR 7635, Jan. 23, 2017] made under Privacy Act, 5 U.S.C.
552a(d)(2).
§ 304.11 Other rights and services. (3) ‘‘Request for an accounting’’
Nothing in this subpart shall be con- means a request made under Privacy
strued to entitle any person, as of Act, 5 U.S.C. 552a(c)(3).
right, to any service or to the disclo- (4) ‘‘Requester’’ means an individual
sure of any record to which such person who makes a request for access, a re-
is not entitled under the FOIA. quest for amendment or correction, or
a request for an accounting under the
Privacy Act.
Subpart B—Protection of Privacy
and Access to Individual § 304.21 Requests for access to records.
Records Under the Privacy (a) How made and addressed. You may
Act of 1974 make a request for access to a record
about yourself by appearing in person
AUTHORITY: 5 U.S.C. 552a, 591–96. or by sending an e-mail message ad-
dressed to info@acus.gov. You may also
§ 304.20 General provisions. send a written request letter to the
(a) Purpose and scope. This subpart agency either by mail addressed to 1120
contains the rules that the Administra- 20th Street, NW., South Lobby, Suite
tive Conference of the United States 706, Washington, DC 20036, or by fax de-
(‘‘ACUS’’ or ‘‘the agency’’) follows livery to (202) 386–7190. For the
56
quickest possible handling of a mail re- ordinarily will include only records in
quest, you should mark both your re- its possession and control as of the
quest letter and the envelope ‘‘Privacy date upon which it begins its search for
Act Request.’’ them. If any other date is used, the
(b) Description of records sought. You agency will inform the requester of
must describe the records that you that date.
want in enough detail to enable agency (b) Consultations and referrals. When
personnel to locate the system of the agency receives a request for access
records containing them with a reason- to a record in its possession and con-
able amount of effort. Whenever pos- trol, it will determine whether another
sible, your request should describe the agency of the Federal Government, is
records sought, the time periods in better able to determine whether the
which you believe they were compiled,
record is exempt from access under the
and the name or identifying number of
Privacy Act. If the agency determines
each system of records in which you
that it is the agency best able to proc-
believe they are kept. The agency pub-
ess the record in response to the re-
lishes a notice in the FEDERAL REG-
ISTER that describes its systems of
quest, then it will do so. If it deter-
records. mines that it is not best able to process
(c) Agreement to pay fees. If you make the record, then it will either:
a Privacy Act request for access to (1) Respond to the request regarding
records, it will be considered an agree- that record, after consulting with the
ment by you to pay all applicable fees agency that is best able to determine
charged under § 304.27, up to $50.00. Du- whether the record is exempt from ac-
plication fees in excess of $50.00 are cess and with any other agency that
subject to the requirements of § 304.27 has a substantial interest in it; or
of this subpart and the notification re- (2) Refer the responsibility for re-
quirements in § 304.9 of subpart A. The sponding to the request regarding that
agency ordinarily will confirm this record to the agency that is best able
agreement in an acknowledgment let- to determine whether it is exempt from
ter. When making a request, you may access, or to another agency that origi-
specify a willingness to pay a greater nated the record (but only if that agen-
or lesser amount. cy is subject to the Privacy Act). Ordi-
(d) Verification of identity. When you narily, the agency that originated a
make a request for access to records record will be presumed to be best able
about yourself, you must verify your to determine whether it is exempt from
identity. You must state your full access.
name, current address, and date and (c) Notice of referral. When the agency
place of birth. You must sign your re- refers all or any part of the responsi-
quest and your signature must either
bility for responding to a request to an-
be notarized or submitted by you under
other agency, it ordinarily will notify
28 U.S.C. 1746, a law that permits state-
the requester of the referral and inform
ments to be made under penalty of per-
the requester of the name of the agen-
jury as a substitute for notarization. In
cy to which the request has been re-
order to help the identification and lo-
cation of requested records, you may ferred and of the part of the request
also, entirely at your option, include that has been referred.
the last four digits of your social secu- (d) Timing of responses to consultations
rity number. and referrals. All consultations and re-
ferrals will be handled according to the
§ 304.22 Responsibility for responding date upon which the Privacy Act ac-
to requests for access to records. cess request was initially received by
(a) In general. The agency will be re- the first agency, not any later date.
sponsible for responding to a request in (e) Agreements regarding consultations
all respects, except in the case of a re- and referrals. The agency may make
ferral to another agency as is described agreements with other agencies de-
in paragraphs (b), (c), and (d) of this signed to eliminate the need for con-
section. In determining which records sultations or referrals for particular

are responsive to a request, the agency types of records.
57
§ 304.23 Responses to requests for ac- § 304.24 Appeals from denials of re-
cess to records. quests for access to records.
(a) Acknowledgments of requests. On (a) Appeals. If you are dissatisfied
receipt of a request, the agency ordi- with the response to your request, you
narily will send an acknowledgment may appeal an adverse determination
letter to the requester that will con- denying your request, in any respect,
firm the requester’s agreement to pay to the Chairman of the agency. You
fees under § 304.21(c) and provide an as- must make your appeal in writing, by
signed request number for further ref- e-mail or letter, and it must be re-
erence. In some cases, the agency may ceived by the agency within 60 days of
seek further information or clarifica- the date of the denial of your request.
tion from the requester. Your appeal letter should provide rea-
(b) Grants of requests for access. Once sons and supporting information as to
the agency makes a determination to why the initial determination was in-
grant a request for access in whole or correct. The appeal should clearly
in part, it will notify the requester in identify the particular determination
writing. The agency will inform the re- (including the assigned request num-
quester in the notice of any fee charged ber, if known) that you are appealing.
under § 304.27 and will disclose records For the quickest possible handling of a
to the requester promptly on payment mail request, you should mark your ap-
of any applicable fee. If a request is peal letter and the envelope ‘‘Privacy
made in person, the agency may dis- Act Appeal.’’ The Chairman of the
close records to the requester directly, agency or his or her designee will act
in a manner not unreasonably disrup- on the appeal, except that an appeal or-
tive of its operations, on payment of dinarily will not be acted on if the re-
any applicable fee and with a written quest becomes a matter of FOIA or Pri-
record made of the grant of the re- vacy Act litigation.
quest. If a requester is accompanied by (b) Responses to appeals. The decision
another person, the requester will be on your appeal will be made in writing.
required to authorize in writing any A decision affirming an adverse deter-
discussion of the records in the pres- mination in whole or in part will in-
ence of the other person. clude a brief statement of the reason(s)
(c) Adverse determinations of requests for the affirmance, including any ex-
for access. Upon making an adverse de- emption applied, and will inform you of
termination denying a request for ac- the Privacy Act provisions for court re-
cess in any respect, the agency will no- view of the decision. If the adverse de-
tify the requester of that determina- termination is reversed or modified on
tion in writing. Adverse determina- appeal in whole or in part, then you
tions, or denials of requests consist of: will be notified in a written decision
a determination to withhold any re- and your request will be reprocessed in
quested record in whole or in part; a accordance with that appeal decision.
determination that a requested record (c) When appeal is required. As a gen-
does not exist or cannot be located; a eral rule, if you wish to seek review by
determination that what has been re- a court of any adverse determination
quested is not a record subject to the or denial of a request, you must first
Privacy Act; a determination on any appeal it under this section.
disputed fee matter; and a denial of a
request for expedited treatment. The § 304.25 Requests for amendment or
notification letter will include: correction of records.
(1) The name and title or position of (a) How made and addressed. Unless
the person responsible for the denial; the record is not subject to amendment
(2) A brief statement of the reason(s) or correction as stated in paragraph (f)
for the denial, including any Privacy of this section, you may make a re-
Act exemption(s) applied in denying quest for amendment or correction of
the request; and an ACUS record about yourself by fol-
(3) A statement that the denial may lowing same procedures as in § 304.21.
be appealed under § 304.24(a) and a de- Your request should identify each par-
scription of the requirements of ticular record in question, state the

§ 304.24(a). amendment or correction that you
58
want, and state why you believe that ment in the system of records in which
the record is not accurate, relevant, the disputed record is maintained and
timely, or complete. You may submit will mark the disputed record to indi-
any documentation that you think cate that a Statement of Disagreement
would be helpful. If you believe that has been filed and exactly where in the
the same record is maintained in more system of records it may be found.
than one system of records, you should (e) Notification of amendment/correction
state that. or disagreement. Within 30 business days
(b) Agency responses. Within ten busi- of the amendment or correction of a
ness days of receiving your request for record, the agency will notify all per-
amendment or correction of records, sons, organizations, or agencies to
the agency will send you a written ac- which it previously disclosed the
knowledgment of its receipt of your re- record, if an accounting of that disclo-
quest. The agency will promptly notify sure was made, that the record has
you whether your request is granted or been amended or corrected. If an indi-
denied. If the agency grants your re- vidual has filed a Statement of Dis-
quest in whole or in part, it will de- agreement, the agency will append a
scribe the amendment or correction copy of it to the disputed record when-
made and will advise you of your right ever the record is disclosed and may
to obtain a copy of the corrected or also append a concise statement of its
amended record, in disclosable form. If reason(s) for denying the request to
the agency denies your request in amend or correct the record.
whole or in part, it will send you a let- (f) Records not subject to amendment or
ter that will state: correction. The following records are
(1) The reason(s) for the denial; and not subject to amendment or correc-
(2) The procedure for appeal of the tion:
denial under paragraph (c) of this sec- (1) Transcripts of testimony given
tion, including the name and business under oath or written statements made
address of the official who will act on under oath;
your appeal. (2) Transcripts of grand jury pro-
(c) Appeals. You may appeal a denial ceedings, judicial proceedings, or
of a request for amendment or correc- quasi-judicial proceedings, which are
tion in the same manner as a denial of the official record of those proceedings;
a request for access to records (see and
§ 304.24(a)) and the same procedures will (3) Any other record that originated
be followed. The agency will ordinarily with the courts.
act on the appeal within 30 business
days of receipt of the appeal, except § 304.26 Requests for an accounting of
that the Chairman of the agency may record disclosures.
extend the time for response for good (a) How made and addressed. Except
cause shown. If your appeal is denied, where accountings of disclosures are
you will be advised of your right to file not required to be kept (as stated in
a Statement of Disagreement as de- paragraph (b) of this section), you may
scribed in paragraph (d) of this section make a request for an accounting of
and of your right under the Privacy any disclosure that has been made by
Act for court review of the decision. the agency to another person, organi-
(d) Statements of Disagreement. If your zation, or agency of any record about
appeal under this section is denied in you. This accounting contains the
whole or in part, you have the right to date, nature, and purpose of each dis-
file a Statement of Disagreement that closure, as well as the name and ad-
states your reason(s) for disagreeing dress of the person, organization, or
with the agency’s denial of your re- agency to which the disclosure was
quest for amendment or correction. made. Your request for an accounting
Statements of Disagreement must be should identify each particular record
concise, must clearly identify each in question and should be made in writ-
part of any record that is disputed, and ing to the agency, following the proce-
should be no longer than one typed dures in § 304.21.
page for each fact disputed. The agency (b) Where accountings are not required.
will place your Statement of Disagree- The agency is not required to provide
59
accountings to you where they relate disclosed; the date of disclosure; and
to: the compelling circumstances justi-
(1) Disclosures for which accountings fying the disclosure.
are not required to be kept (i.e., disclo-
sures that are made to officers and em- § 304.29 Security of systems of records.
ployees of the agency and disclosures (a) Administrative and physical con-
required under the FOIA); or trols. The agency will have administra-
(2) Disclosures made to law enforce- tive and physical controls to prevent
ment agencies for authorized law en- unauthorized access to its systems of
forcement activities in response to records, to prevent unauthorized dis-
written requests from a duly author- closure of records, and to prevent phys-
ized representative of any such law en- ical damage to or destruction of
forcement agency specifying portion of records. The stringency of these con-
the record desired and the law enforce- trols corresponds to the sensitivity of
ment activity for which the record is the records that the controls protect.
sought. At a minimum, these controls are de-
(c) Appeals. You may appeal a denial signed to ensure that:
of a request for an accounting in the
(1) Records are protected from public
same manner as a denial of a request
view;
for access to records (see § 304.24(a)) and
(2) The area in which records are
the same procedures will be followed.
kept is supervised during business
§ 304.27 Fees. hours in order to prevent unauthorized
persons from having access to them;
The agency will charge fees for dupli-
(3) Records are inaccessible to unau-
cation of records under the Privacy Act
thorized persons outside of business
in the same way in which it charges
hours; and
duplication fees under § 304.9 of subpart
A. No search or review fee may be (4) Records are not disclosed to unau-
charged for any record under the Pri- thorized persons or under unauthorized
vacy Act. circumstances in oral, written or any
other form.
§ 304.28 Notice of court-ordered and (b) Restrictive procedures. The agency
emergency disclosures. will implement practices and proce-
(a) Court-ordered disclosures. When a dures that restrict access to records to
record pertaining to an individual is re- only those individuals within the agen-
quired to be disclosed by a court order, cy who must have access to those
the agency will make reasonable ef- records in order to perform their duties
forts to provide notice of such order to and that prevent inadvertent disclo-
the individual. Notice will be given sure of records.
within a reasonable time after the
agency’s receipt of the order, except § 304.30 Contracts for the operation of
record systems.
that in a case in which the order is not
a matter of public record, the notice Any approved contract for the oper-
will be given only after the order be- ation of a record system will contain
comes public. This notice will be appropriate requirements issued by the
mailed to the individual’s last known General Services Administration in
address and will contain a copy of the order to ensure compliance with the re-
order and a description of the informa- quirements of the Privacy Act for that
tion disclosed. record system. The contracting officer
(b) Emergency disclosures. Upon dis- of the agency will be responsible for
closing a record pertaining to an indi- ensuring that the contractor complies
vidual made under compelling cir- with these contract requirements.
cumstances affecting health or safety,
the agency will notify that individual § 304.31 Use and collection of social se-
of the disclosure. This notice will be curity numbers and other informa-
mailed to the individual’s last known tion.
address and will state the nature of the The agency will ensure that employ-
information disclosed; the person, or- ees authorized to collect information

ganization, or agency to which it was are aware:
60
(a) That individuals may not be de- (c) Inform each individual from
nied any right, benefit, or privilege as whom information is collected of the
a result of refusing to provide their so- information set forth in § 304.31(b);
cial security numbers, unless the col- (d) Ensure that the agency maintains
lection is authorized either by a stat- no system of records without public no-
ute or by a regulation issued prior to tice and also notify appropriate agency
1975; officials of the existence or develop-
(b) That individuals requested to pro- ment of any system of records that is
vide their social security numbers, or not the subject of a current or planned
any other information collected from public notice;
them, must be informed, before pro- (e) Maintain all records that are used
viding such information, of: by it in making any determination
(1) Whether providing social security about an individual with such accu-
numbers (or such other information) is racy, relevance, timeliness, and com-
mandatory or voluntary; pleteness as is reasonably necessary to
(2) Any statutory or regulatory au- ensure fairness to the individual in the
thority that authorizes the collection determination;
of social security numbers (or such (f) Except as to disclosures made to
other information); an agency or made under the FOIA,
(3) The principal purpose(s) for which make reasonable efforts, prior to dis-
the information is intended to be used; seminating any record about an indi-
vidual, to ensure that the record is ac-
(4) The routine uses that may be
curate, relevant, timely, and complete;
made of the information; and
(g) Maintain no record describing
(5) The effects, in any, on the indi-
how an individual exercises his or her
vidual of not providing all or any part
First Amendment rights unless such
of the requested information; and maintenance is expressly authorized by
(c) That, where the information re- statute or by the individual about
ferred to above is requested on a form, whom the record is maintained or is
the requirements for informing such pertinent to and within the scope of an
individuals are set forth on the form authorized law enforcement activity;
used to collect the information, or on a (h) When required by the Privacy
separate form that can be retained by Act, maintain an accounting in the
such individuals. specified form of all disclosures of
records by the agency to persons, orga-
§ 304.32 Employee standards of con- nizations, or agencies;
duct.
(i) Maintain and use records with
The agency will inform its employees care in order to prevent the unauthor-
of the provisions of the Privacy Act, ized or inadvertent disclosure of a
including the scope of its restriction record to anyone; and
against disclosure of records main- (j) Notify the appropriate agency of-
tained in a system of records without ficial of any record that contains infor-
the prior written consent of the indi- mation that the Privacy Act does not
vidual involved, and the Act’s civil li- permit the agency to maintain.
ability and criminal penalty provi-
sions. Unless otherwise permitted by § 304.33 Preservation of records.
law, an employee of the agency will: The agency will preserve all cor-
(a) Collect from individuals and respondence pertaining to the requests
maintain only the information that is that it receives under this subpart, as
relevant and necessary to discharge the well as copies of all requested records,
agency’s responsibilities; until disposition or destruction is au-
(b) Collect information about an indi- thorized by title 44 of the United
vidual directly from that individual to States Code or the National Archives
the greatest extent practicable when and Records Administration’s General
the information may result in an ad- Records Schedule 14. Records will not
verse determination about an individ- be disposed of while they are the sub-
ual’s rights, benefits, or privileges ject of a pending request, appeal, or

under Federal programs; lawsuit under the Act.
61
§ 304.34 Other rights and services. sure of any record to which such person
is not entitled under the Privacy Act.
Nothing in this subpart shall be con-
strued to entitle any person, as of
right, to any service or to the disclo- PARTS 305–399 [RESERVED]
62
CHAPTER IV—MISCELLANEOUS AGENCIES
EDITORIAL NOTE: Federal agencies are required to publish regulations implementing the
provisions of the Freedom of Information Act (5 U.S.C. 552(a)), the Privacy Act of 1974 (Pub.
L. 93–579, 5 U.S.C. 552a), the Government in the Sunshine Act (Pub. L. 94–409, 5 U.S.C. 552b),
and section 504 of the Rehabilitation Act of 1973, as amended by section 119 of the Rehabilita-
tion, Comprehensive Services, and Developmental Disabilities Amendments of 1978 (29 U.S.C.
794). While most agencies have existing chapter assignments in the Code of Federal Regula-
tions, a few agencies do not. Since certain of these agencies are unlikely to be issuing regula-
tions other than those relating to the acts mentioned above, the Director of the Office of the
Federal Register has grouped these miscellaneous agencies into this chapter as an efficient
means of administering the CFR system.
Part Page
425 President’s Commission on White House Fellow-
ships ..................................................................... 65
426 National Commission on Military, National, and
Public Service ...................................................... 67
457 Enforcement of nondiscrimination on the basis of
handicap in programs or activities conducted by
the National Capital Planning Commission ......... 82
500 Enforcement of nondiscrimination on the basis of
handicap in programs or activities conducted by
the National Commission for Employment Pol-
icy ........................................................................ 88
63
PARTS 400–424 [RESERVED] made: (1) By the individual to whom
the record pertains or (2) by such indi-
PART 425—PRESIDENT’S COMMIS- vidual’s legal guardian if the individual
has been declared to be incompetent
SION ON WHITE HOUSE FELLOW- due to physical or mental incapacity or
SHIPS age by a court of competent jurisdic-
tion.)
Sec. (c) The Commission will acknowledge
425.1 Purpose and scope.
425.2 Procedures for notification of exist-
requests for the existence of records
ence of records pertaining to individuals. within 10 working days from the time
425.3 Procedure for requests for access to or it receives the request and will nor-
disclosure of records pertaining to indi- mally notify the requester of the exist-
viduals. ence or non-existence of records within
425.4 Correction of records. 30 working days from receipt of re-
425.5 Disclosure of records to agencies or quest.
persons other than the individual to (d) No special identity verification is
whom the record pertains.
required for individuals who wish to
AUTHORITY: 5 U.S.C. 552a(f). know whether a specific system of
SOURCE: 40 FR 52416, Nov. 10, 1975; 40 FR records pertains to them.
56651, Dec. 4, 1975, unless otherwise noted. [40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec.
4, 1975, as amended at 40 FR 59187, Dec. 22,
§ 425.1 Purpose and scope. 1975]
This part sets forth the President’s
Commission on White House Fellow- § 425.3 Procedure for requests for ac-
ships procedures under the Privacy Act cess to or disclosure of records per-
of 1974 as required by 5 U.S.C. 552a(f). taining to individuals.
Information to applicants regarding (a) Any person may request review of
the implementation of this Act is con- records pertaining to him by appearing
tained in the White House Fellowships at Room 1308, 1900 E Street, NW., Wash-
Application Instructions. ington, DC on work days between the
hours of 8:30 a.m. and 5 p.m. or by writ-
§ 425.2 Procedures for notification of ing to the Commission on White House
existence of records pertaining to Fellowships Administrative Officer,
individuals. Washington, DC 20415. (See paragraph
(a) The system of records, as defined (b) of this section for identification re-
in the Privacy Act of 1974, maintained quirements.) The Commission will
by the President’s Commission on strive either to make the record avail-
White House Fellowships is listed an- able within 15 working days of the re-
nually in the FEDERAL REGISTER as request or to inform the requester of the
quired by that Act. Any person who need for additional identification.
wishes to know whether a system of (b) In the case of persons making re-
records contains a record pertaining to quests by appearing at the Commis-
him or her may either appear in person sion, reasonable identification such as
at Room 1308, 1900 E Street, NW., on employment identification cards, driv-
work days between the hours of 8:30 ers licenses, or credit cards will nor-
a.m. and 5 p.m. or may write to the mally be accepted as sufficient evi-
President’s Commission on White dence of identity in the absence of any
House Fellowships Administrative Offi- indications to the contrary.
cer, Washington, DC 20415 (Phone 202– (c) Charges for copies of records will
382–4661). It is recommended that re- be at the rate of $0.10 per photocopy of
quests be made in writing. each page. No charge will be made un-
(b) Requests for notification of the less the charge as computed above
existence of a record should state, if would exceed $3 for each request or re-
the requester is other than the indi- lated series of requests. If a fee in ex-
vidual to whom the record pertains, cess of $25 would be required, the re-
the relationship of the requester to quester shall be notified and the fee
that individual. (Note that requests must be tendered before the records
will not be honored by the Commission will be copied. Remittances shall be in

pursuant to the Privacy Act unless the form either of a personal check or
65
§ 425.4 1 CFR Ch. IV (1–1–19 Edition)
bank draft drawn on a bank in the (iii) After an accounting of disclo-

United States, or a money order. Re- sures has been kept pursuant to 5
mittances shall be made payable to the U.S.C. 552a(c), advise all previous re-
order of the Treasury of the United cipients of the record, who, the Com-
States and mailed or delivered to the mission believes, still retain a copy
Administrative Officer, President’s thereof, of the fact that the amend-
Commission on White House Fellow- ment was made and the substance of
ships, 1900 E Street, NW., Washington, the amendment.
DC 20415. (f) If, after review of the record, the
(d) Individuals will not be denied ac- Administrative Officer determines that
cess to records pertaining to them. the requested amendment is not in con-
[40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec. formity with the requirements of the
4, 1975, as amended at 40 FR 59187, Dec. 22, Act, he shall:
1975] (1) Advise the requester in writing
within thirty days of written request of
§ 425.4 Correction of records. such determination together with spe-
(a) An individual may request that a cific reasons therefor; and
record or records pertaining to him or (2) Inform the requester that further
her be amended or corrected. Such re- review of the request by the Director of
quests shall be submitted in writing to the Commission is available if a writ-
the Administrative Officer at the Com- ten request therefor is made within 30
mission’s business address. days after date of denial.
(b) The signature of the requester (g) Within 30 working days of receipt
will be sufficient identification for re- of a written request for review pursu-
questing correction of records. ant to § 425.4(f)(2) the Director shall
(c) A request for amendment shall make an independent review of the
contain an exact description of the record, using the criteria of § 425.4(e) (1)
item or items sought to be amended and (2).
and specific reasons for the requested (1) If the Director determines that
amendment, as well as the individual’s the record should be amended in ac-
birthdate for purposes of verification of cordance with the request, the Admin-
records. istrative Officer shall take the actions
(d) Within 10 working days after re- listed in § 425.4(e)(2) (i), (ii), and (iii).
ceipt of a request to amend a record,
(2) If the Director, after independent
the Administrative Officer shall trans-
review, determines that the record
mit to the requester a written ac-
should not be amended in accordance
knowledgement of receipt of request.
with the request, the Administrative
No acknowledgement is required if the
Officer shall advise the requester:
request can be reviewed and processed
with notification to the individual of (i) Of the determination and the rea-
compliance or denial within the ten- sons therefor;
day period. Requester will be notified (ii) Of his or her right to file with the
within 30 days whether or not his or Administrative Officer a concise state-
her request has been granted. ment of his or her reasons for dis-
(e) If the Administrative Officer de- agreeing with the refusal to amend the
termines that the requested amend- record;
ment is appropriate to insure that the (iii) That the record will be anno-
record is: tated to indicate to anyone subse-
(1) Relevant and necessary to accom- quently having access to it that a
plish the purposes for which the statement of disagreement has been
records were collected; and filed, and that the statement will be
(2) As accurate, timely, and complete made available to anyone to whom the
as are reasonably necessary to assure record is disclosed;
fairness to the requester, the Adminis- (iv) That the Director and the Ad-
trative Officer shall: ministrative Officer may, in their dis-
(i) Change the record accordingly; cretion, include a brief summary of
(ii) Advise the requester that the their reasons for refusing to amend the
change has been made, thirty days record whenever such disclosure is
from receipt of written request; made;
66
Miscellaneous Agencies § 426.102
(v) That any prior recipients of this 426.108 Fees charged to locate, review, or
disputed record, who, the Commission copy records.
believes, still retain a copy thereof, 426.109 Procedures for maintaining accounts
will be sent a copy of the statement of of disclosures.
disagreement, after an accounting of
Subpart B—Disclosure of Records and In-
disclosures has been kept pursuant to 5
formation Under the Freedom of Infor-
U.S.C. 552a(c);
mation Act
(vi) Of his or her right to seek judi-
cial review of the refusal to amend the 426.201 General.
record, pursuant to 5 U.S.C. 426.202 Proactive disclosures.
552a(g)(1)(A). 426.203 Requirements for making requests.
426.204 Responsibility for responding to re-
[40 FR 59187, Dec. 22, 1975] quests.
426.205 Timing of responses to requests.
§ 425.5 Disclosure of records to agen- 426.206 Response to requests.
cies or persons other than the indi- 426.207 Confidential commercial informa-
vidual to whom the record pertains. tion.
Records subject to the Privacy Act 426.208 Appeals.
that are requested by any person other 426.209 Preservation of records.
than the individual to whom they per- 426.210 Fees.
tain will not be made available except 426.211 Other rights and services.
under the following circumstances: AUTHORITY: 5 U.S.C. 552a(f).
(a) Records may be circulated to ap-
SOURCE: 83 FR 19409, May 2, 2018, unless
propriate officials incident to placing
otherwise noted.
Fellows in work assignments for the
Fellowship year.
(b) An accounting of the date, nature, Subpart A—Implementation of the
and purpose of each disclosure of a Privacy Act of 1974
record as well as the name and address
of the person and agency to whom the § 426.101 Purpose and scope.
disclosure was made will be indicated The regulations in this part set forth
on the record. This accounting is avail- the Commission’s procedures under the
able to the individual to whom the Privacy Act, as required by 5 U.S.C.
records pertain on written request to 552a(f), with respect to systems of
the Commission. records maintained by the Commission.
[40 FR 52416, Nov. 10, 1975; 40 FR 56651, Dec.
The rules in this part apply to all
4, 1975, as amended at 40 FR 59187, Dec. 22, records maintained by the Commission
1975] that are retrieved by an individual’s
name or by some identifying number,
symbol, or other identifying particular
PART 426—NATIONAL COMMIS- assigned to the individual. These regu-
SION ON MILITARY, NATIONAL, lations establish procedures by which
AND PUBLIC SERVICE an individual may exercise the rights
granted by the Privacy Act to deter-
Subpart A—Implementation of the Privacy mine whether a Commission system of
Act of 1974 records contains a record pertaining to
Sec. him or her; to gain access to such
426.101 Purpose and scope. records; and to request correction or
426.102 Definitions. amendment of such records. These
426.103 Inquiries about systems of records or rules should be read together with the
implementation of the Privacy Act. Privacy Act, which provides additional
426.104 Procedures for accessing records per- information about records maintained
taining to an individual. on individuals.
426.105 Identification required when re-
questing access to records pertaining to § 426.102 Definitions.
an individual.
426.106 Procedures for amending or cor- The definitions in subsection (a) of
the Privacy Act (5 U.S.C. 552a(a)) apply
recting an individual’s record.

426.107 Procedures for appealing a refusal to to this part. In addition, as used in this
amend or correct a record. part:
67
§ 426.103 1 CFR Ch. IV (1–1–19 Edition)
Business day means a calendar day, U.S.C. 552), as implemented by subpart

excluding Saturdays, Sundays, and B of this part.
legal public holidays. (b) Access to the records, or to any
Chair means the Chair of the Com- other information pertaining to you
mission, or his or her designee; that is contained in the system, shall
Commission means the National Com- be provided if the identification re-
mission on Military, National, and quirements of § 426.105 are satisfied and
Public Service; the records are determined otherwise
Commission system means a system of to be releasable under the Privacy Act
records maintained by the Commission; and these regulations. The Commission
General Counsel means the General shall provide you an opportunity to
Counsel of the Commission, or his or have a copy made of any such records
her designee. about you. Only one copy of each re-
Individual means a citizen of the quested record will be supplied, based
United States or an alien lawfully ad- on the fee schedule in § 426.108.
mitted for permanent residence. (c) The Commission will comply
Privacy Act or Act means the Privacy promptly with requests made in person
Act of 1974, as amended (5 U.S.C. 552a); at scheduled appointments, if the re-
You, your, or other references to the quirements of this section are met and
reader of the regulations in this part the records sought are immediately
are meant to apply to the individual to available. The Commission will ac-
whom a record pertains. knowledge, within 10 business days,
mailed requests or personal requests
§ 426.103 Inquiries about systems of
records or implementation of the for records that are not immediately
Privacy Act. available, and the information re-
quested will be provided promptly
Inquiries about the Commission’s
thereafter.
systems of records or implementation
of the Privacy Act should be sent to (d) If you make your request in per-
the following address: National Com- son at a scheduled appointment, you
mission on Military, National, and may, upon your request, be accom-
Public Service, Office of the General panied by a person of your choice to re-
Counsel, 2530 Crystal Drive, Suite 1000, view your records. The Commission
Box No. 63, Arlington, VA 22202. may require that you furnish a written
statement authorizing discussion of
§ 426.104 Procedures for accessing your records in the accompanying per-
records pertaining to an individual. son’s presence. A record may be dis-
The following procedures apply to closed to a representative chosen by
records that are contained in a Com- you upon your proper written consent.
mission system: (e) Medical or psychological records
(a) You may request to be notified if pertaining to you shall be disclosed to
a system of records that you name con- you unless, in the judgment of the
tains records pertaining to you, and to Commission, access to such records
review any such records, by writing to might have an adverse effect upon you.
the Office of the General Counsel (see When such a determination has been
§ 426.103). You also may call the Office made, the Commission may refuse to
of the General Counsel at 703–571–3742 disclose such information directly to
on business days, between the hours of you. The Commission will, however,
9 a.m. and 5 p.m., to schedule an ap- disclose this information to you
pointment to make such a request in through a licensed physician des-
person. A request for records should be ignated by you in writing.
presented in writing and should iden- (f) If you are unsatisfied with an ad-
tify specifically the Commission sys-
verse determination on your request to
tem(s) involved. Your request to access
access records pertaining to you, you
records pertaining to you will be treat-
ed as a request under both the Privacy may appeal that determination using
Act, as implemented by this part, and the procedures set forth in § 426.107(a).
the Freedom of Information Act (5
68
§ 426.105 Identification required when (b) Your request for amendments or

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

§ 426.103).
69
§ 426.107 1 CFR Ch. IV (1–1–19 Edition)
§ 426.107 Procedures for appealing a statement of disagreement will be dis-

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

sequent disclosure, a copy of your Counsel (see § 426.103) asserting that
70
you are indigent. If the General Coun- formation Fee Schedule and Guidelines
sel determines, based on the petition, published by the Office of Management
that you are indigent and that the and Budget (‘‘OMB Guidelines’’). Re-
Commission’s resources permit a waiv- quests made by individuals for records
er of all or part of the fee, the General about themselves under the Privacy
Counsel may, in his or her discretion, Act of 1974, 5 U.S.C. 552a, are processed
waive or reduce the copying fee. in accordance with the Commission’s
(e) All fees shall be paid before any Privacy Act regulations as well as
copying request is undertaken. under this subpart.
§ 426.109 Procedures for maintaining § 426.202 Proactive disclosures.
accounts of disclosures.
(a) Records that FOIA requires agen-
(a) The Office of the General Counsel cies to make available for public in-
shall maintain a log containing the spection in an electronic format may
date, nature, and purpose of each dis- be accessed through the Commission’s
closure of a record to any person or to website at www.inspire2serve.gov. The
another agency. Such accounting also Commission will ensure that its
shall contain the name and address of website of posted records and indices is
the person or agency to whom each dis- reviewed and updated on an ongoing
closure was made. This log need not in- basis. The Commission has a FOIA
clude disclosures made to the Commis- Public Liaison who can assist individ-
sion’s employees in the course of their uals in locating records particular to
official duties, or pursuant to the pro- the Commission. A list of agency FOIA
visions of the Freedom of Information Public Liaisons is available at http://
Act (5 U.S.C. 552). www.foia.gov/report-makerequest.html.
(b) The Commission will retain the (b) The following types of records
accounting of each disclosure for at shall be available routinely on the
least five years after the disclosure or website, without resort to formal FOIA
for the life of the record that was dis- request procedures, unless such records
closed. fall within one of the exemptions listed
(c) The Commission will make the at 5 U.S.C. 552(b) of the Act:
accounting of disclosures of a record (1) Any formal report issued by the
pertaining to you available to you at
Commission;
your request. Such a request should be
(2) Testimonies and presentations
made in accordance with the proce-
submitted to the Commission;
dures set forth in § 426.104. This para-
(3) Schedules for public meetings and
graph (c) does not apply to disclosures
hearings of the Commission along with
made for law enforcement purposes
transcripts or notes of such public
under 5 U.S.C. 552a(b)(7).
meetings and hearings;
(4) Press statements;
Subpart B—Disclosure of Records (5) Substantive rules of general appli-
and Information Under the cability adopted by the Commission,
Freedom of Information Act procedural rules governing the Com-
mission’s general operations that may
SOURCE: 83 FR 19415, May 2, 2018, unless affect the public, and statements of
otherwise noted. general policy or interpretation of gen-
eral applicability formulated and
§ 426.201 General. adopted by the Commission; and
This subpart contains the regulations (6) Copies of all records, regardless of
of the National Commission on Mili- form or format, that have been re-
tary, National, and Public Service (the leased previously to any person under 5
‘‘Commission’’) implementing the U.S.C. 552(a)(3), and that the Commis-
Freedom of Information Act (‘‘FOIA’’), sion determines have become or are
5 U.S.C. 552, as amended. These regula- likely to become the subject of subse-
tions set forth procedures for request- quent requests for substantially the
ing access to records maintained by the same records. When the Commission
Commission. These regulations should receives three or more requests for sub-
be read together with the text of the stantially the same records, then the
FOIA, and the Uniform Freedom of In- Commission shall make the released
71
§ 426.203 1 CFR Ch. IV (1–1–19 Edition)
records available in the Commission’s tional, and Public Service, 2530 Crystal
reading room and on the Commission’s Drive, Suite 1000, Box No. 63, Arling-
website. ton, VA 22202. As there may be delays
(c) The Commission shall also main- in mail delivery, it is advisable to send
tain a public reading room, at the Com- the request via email to
mission’s offices, containing records FOIA@inspire2serve.gov. The Commis-
available for public inspection that sion will communicate with the re-
cannot be produced in electronic form. quester by email unless he or she speci-
The reading room shall be available for fies otherwise. Requesters may specify
use on workdays during the hours of 9 the preferred form or format for the
a.m. to 4 p.m. Requests for appoint- records sought, and the Commission
ments to review the materials in the will accommodate the request if the
public reading room should be directed record is readily reproducible in that
to the FOIA Public Liaison. form or format.
(d) Based upon applicable exemptions (c) Contents of request. Requests must
in 5 U.S.C. 552(b), the Commission may include the following:
redact certain information contained (1) The requester’s full name, mailing
in any matter described in this section address, a telephone number at which
before making such information avail- the requester can be reached during
able for inspection or publishing it. normal business hours, and an email
The justification for the redaction address for the requester, if the re-
shall be explained in writing, and the quester has one;
extent of such redaction shall be indi- (2) A description of the records
cated on the portion of the record sought in enough detail to allow the
which is made available or published, records to be located with a reasonable
unless including that indication would amount of effort. To the extent pos-
harm an interest protected by the ex- sible, requesters should include specific
emptions under which the redaction is information, such as the date, title or
made. The location of the information name, author, recipient, and subject
deleted must also be indicated on the matter of the records sought. If known,
record, if technically feasible. the requester must include any file des-
ignations or descriptions for the
§ 426.203 Requirements for making re- records requested;
quests. (3) If submitting the request as an
(a) In general. Many documents are educational institution, a non-commer-
available on the Commission’s website cial scientific institution, or a rep-
and the Commission encourages re- resentative of the news media, infor-
questers to visit the website before mation to support being placed in that
making a request for records pursuant category of requester as they are de-
to this subpart. Except for records al- fined in § 426.210(b);
ready available on the website or sub- (4) A fee waiver request, if applicable
ject to the FOIA exemptions and exclu- (see § 426.210(f));
sions, the Commission shall promptly (5) A statement explaining why expe-
provide records to any person in re- dited processing is necessary, if it is
sponse to a request that conforms to being requested (see § 426.205(c)); and
the rules and procedures of this sec- (6) Where the request is making a re-
tion. Requesters may contact the agen- quest for records about himself or her-
cy’s FOIA Public Liaison to discuss the self, verification of the individual’s
records they seek and to receive assist- identity (please see the Commission’s
ance in describing the records. Privacy Act regulations at 1 CFR,
(b) Form of request. For records not chapter IV, part 426, subpart A).
available on the website, requesters (d) Date received. The Commission
wishing to obtain information from the shall deem itself to have received a re-
Commission should submit a written quest on the date that it receives a re-
request to the Commission. It may be quest containing the information re-
submitted by mail or via the internet quired by paragraph (c) of this section.
(website or email). A request by mail If after receiving a request, the Com-
must be addressed to: FOIA Request, mission determines that it does not
National Commission on Military, Na- reasonably describe the records sought,
72
the agency must inform the requester the agency, and the FOIA agency con-
what additional information is needed tact.
or why the request is otherwise insuffi- (3) Coordination. The standard refer-
cient. Requesters who are attempting ral procedure is not appropriate where
to reformulate or modify such a re- disclosure of the identity of the agency
quest may discuss their request with to which the referral would be made
the FOIA Public Liaison. could harm an interest protected by an
applicable exemption, such as the ex-
§ 426.204 Responsibility for responding emptions that protect personal privacy
to requests. or national security interests. In such
(a) In general. In determining which instances, in order to avoid harm to an
records are responsive to a request, an interest protected by an applicable ex-
agency ordinarily will include only emption, the agency that received the
records in its possession as of the date request should coordinate with the
that it begins its search. If any other originating agency to seek its views on
date is used, the agency must inform the disclosability of the record. The re-
the requester of that date. A record lease determination for the record that
that is excluded from the requirements is the subject of the coordination
of the FOIA pursuant to 5 U.S.C. 552(c), should then be conveyed to the re-
is not considered responsive to a requester by the agency that originally
quest. received the request.
(b) Authority to grant or deny requests. (d) Timing of response to consultations
The Chief FOIA Officer or designee is and referrals. All consultations and re-
authorized to grant or to deny any referrals received by the Commission will
quests for records. be handled according to the date that
(c) Consultation, referral, and coordina- the first agency received the perfected
tion. When reviewing records in re- FOIA request.
sponse to a request, the Commission
will determine whether another agency § 426.205 Timing of responses to re-
of the Federal Government is better quests.
able to determine whether the record is (a) In general. The Commission ordi-
exempt from disclosure under the narily will respond to requests accord-
FOIA. As to any such record, the Com- ing to their order of receipt. The fol-
mission will proceed in one of the following timing and steps are the normal
lowing ways: process:
(1) Consultation. When records origi- (1) Acknowledgment. The Commission
nated within the Commission, but con- will provide an acknowledgment notice
tain within them information of inter- with an individualized tracking num-
est to another agency or other Federal ber, the date of receipt of the request,
Government office, the Commission a confirmation of a waiver or reduction
will typically consult with that other of fees (if requested), and a summary of
entity prior to making a release deter- the records requested to each requester
mination. within 10 working days after receiving
(2) Referral. When the Commission be- a request that has all of the requisite
lieves that a different agency is best information.
able to determine whether to disclose (2) Response time. Ordinarily, the
the record, the Commission typically Commission shall have 20 work days
should refer the responsibility for re- from when a request is received to de-
sponding to the request regarding that termine whether to grant or deny a re-
record to that agency. Ordinarily, the quest for records. The 20-day time pe-
agency that originated the record is riod shall not be tolled by the Commis-
presumed to be the best agency to sion except that the Commission may:
make the disclosure determination. (i) Make one reasonable demand to
Whenever an agency refers any part of the requester for clarifying informa-
the responsibility for responding to a tion about the request and toll the 20-
request to another agency, it must doc- day time period while awaiting the
ument the referral, maintain a copy of clarifying information; or
the record that it refers, and notify the (ii) Notify the requester of the fee as-
requester of the referral, the name of sessment for the request and toll the
73
§ 426.206 1 CFR Ch. IV (1–1–19 Edition)
20-day time period while awaiting the shall notify the requester in writing. If
requester’s response. the Commission grants this request,
(3) Appeal. The Commission will then the Commission will give the ex-
make a decision with respect to an ap- pedited request priority over non-expe-
peal of a full or partial denial of a re- dited requests and shall process it as
quest for records within 20 work days soon as practicable. Denials of expe-
after receipt of the appeal. dited processing requests can be ap-
(b) Multi-Track processing. The Com- pealed using the same procedures as de-
mission uses a multi-track system to nials of other FOIA requests. In deter-
process FOIA requests, so that a FOIA mining whether processing should be
request is processed based on its com- expedited, the Chief FOIA Officer may
plexity. Each request will be assigned consider whether:
to the Standard, Complex, or Expedited (1) Failure to obtain the requested
track. records on an expedited basis could rea-
(1) Standard Track. Requests that are sonably be expected to pose an immi-
routine and require little search time, nent threat to a person’s life or phys-
review, or analysis are assigned to the ical safety;
Standard Track. The Commission will (2) With respect to a request made by
respond to these requests in the order a person primarily engaged in dissemi-
in which they are received and make nating information, there is an ur-
every effort to respond no later than 20 gency to inform the public about ac-
working days after receipt of the re- tual or alleged Federal Government ac-
quest. tivity; or
(2) Complex Track. Requests that are (3) A reasonable expectation of an
non-routine are assigned to the Com- imminent loss of a substantial due
plex Track if the response may be volu- process right.
minous; requires an unusually high (d) Unusual circumstances. If the Com-
level of effort for search, review, or du- mission determines that ‘‘unusual cir-
plication; or causes an undue disrup- cumstances’’ exist, as that term is de-
tion to the day-to-day activities of the fined in the FOIA, the time limits for
Commission in carrying out its statu- responding to requests and appeals
tory responsibilities. The requester may be extended by no more than 10
will be notified if the request is as- work days by providing written notice
signed to the Complex Track and will of the extension to the requester. The
be given an estimate of the time for re- requester will be given an opportunity
sponse. The Commission will respond to limit the scope of the request or to
to Complex Track requests as soon as arrange with the Commission an alter-
practicable, and may discuss with the native time frame for processing the
requester the possibility of reformu- request. A FOIA Officer shall include
lating the request to reduce processing with the notice of extension a brief
time. statement of the reason for the exten-
(3) Expedited Track. Requests for ex- sion, the date the FOIA Officer expects
pedited processing that meet the stand- to make a determination, and the
ards set forth in paragraph (c) of this availability of the FOIA Public Liaison
section, will be assigned to the Expe- to assist the requester, and the re-
dited track. In such cases, the process quester’s right to seek dispute resolu-
described in paragraph (c) will be fol- tion services from the Office of Govern-
lowed. ment Information Services (OGIS) of
(c) Expedited processing. A request for the National Archives and Records Ad-
expedited processing must accompany ministration.
the initial request for records, and the
request should be clearly marked ‘‘Ex- § 426.206 Response to requests.
pedited Processing Requested.’’ It must (a) Acknowledgements of requests. The
be a certified, written statement of Commission will send an acknowledge-
compelling need for expedited proc- ment of the request in writing and as-
essing, stating that the facts are true sign it an individualized tracking num-
and correct. The Commission shall de- ber if it will take longer than 10 work-
cide whether to grant the request with- ing days to process. Upon request, the
in 10 calendar days of its receipt, and Commission will provide an estimated
74
date by which the Commission expects § 426.207 Confidential commercial in-

to provide a response to the requester. formation.
If a request involves a voluminous (a) Definitions.
amount of material, or searches in Confidential commercial information
multiple locations, the agency may means commercial or financial infor-
provide interim responses, releasing mation obtained by the Commission
the records on a rolling basis. from a submitter that may be pro-
(b) Grant of request. If a FOIA Officer tected from disclosure under Exemp-
grants a request, in full or in part, the tion 4 of the FOIA, 5 U.S.C. 552(b)(4).
Commission shall promptly provide the Submitter means any person or entity,
requester written notice of the deci- including a corporation, State, or for-
sion, what fees apply under section 10 eign government, but not including an-
of this subpart, and the availability of other Federal Government entity, that
its FOIA Public Liaison to offer assist- provides confidential commercial infor-
ance. The requester will be notified mation, either directly or indirectly to
whether the request has been assigned the Federal Government.
(b) Designation of confidential commer-
to the Standard, Complex, or Expedited
cial information. A submitter of con-
track, pursuant to § 426.205(b).
fidential commercial information must
(c) Request denial. If the Chief FOIA use good faith efforts to designate by
Officer denies a request in any respect, appropriate markings, at the time of
the Commission will notify the resubmission, any portion of its submis-
quester of that determination in writ- sion that it considers to be protected
ing. A denial of request includes deci- from disclosure under Exemption 4.
sions that: Fees will not be waived, no These designations expire 10 years
expedited processing will be done, after the date of the submission unless
there are no responsive records subject the submitter requests and provides
to FOIA, the requested record does not justification for a longer designation
exist or has been destroyed, the re- period.
quested record is exempt in whole or in (c) When notice to submitters is re-
part, or the request does not reason- quired. (1) The Commission must
ably describe the records sought. The promptly provide written notice to the
written notice will include: submitter of confidential commercial
(1) The name and title or position of information whenever records con-
the person responsible for the denial; taining such information are requested
(2) A brief statement of the reasons under the FOIA if the agency deter-
for the denial, including any FOIA ex- mines that it may be required to dis-
emption applied by the agency in deny- close the records, provided the re-
ing the request; quested information has been des-
(3) A description of the material ignated in good faith by the submitter
withheld, such as the approximate or the Commission has a reason to be-
number of pages or some other reason- lieve that the requested information
able form of estimation; may be protected from disclosure under
Exemption 4.
(4) A statement that the denial may
(2) The notice must either describe
be appealed under section 8(a) of this
the commercial information requested
subpart, and a description of the appeal or include a copy of the requested
requirements; and records or portions of records con-
(5) A statement notifying the retaining the information. In cases in-
quester of the assistance available volving a voluminous number of sub-
from the agency’s FOIA Public Liaison mitters, the Commission may post or
and the dispute resolution services of- publish a notice in a place or manner
fered by OGIS. reasonably likely to inform the sub-
(d) Redactions. When a portion of a mitters of the proposed disclosure, in-
record is withheld, the amount of infor- stead of sending individual notifica-
mation redacted and the claimed ex- tions.
emption will be noted at the place in (d) Exceptions to submitter notice re-
the record where the redaction was quirements. The notice requirements of
made. this section do not apply if:
75
§ 426.208 1 CFR Ch. IV (1–1–19 Edition)
(1) The Commission determines that the submitter written notice, which
the information is exempt under the must include:
FOIA, and therefore will not be dis- (1) A statement of the reasons why
closed; each of the submitter’s disclosure ob-
(2) The information has been lawfully jections was not sustained;
published or has been officially made (2) A description of the information
available to the public; to be disclosed or copies of the records
(3) Disclosure of the information is as the Commission intends to release
required by a statute other than the them; and
FOIA or by a regulation issued in ac- (3) A specified disclosure date, which
cordance with the requirements of Ex- must be a reasonable time after the no-
ecutive Order 12,600 of June 23, 1987; or tice.
(4) The designation made by the sub- (g) Notice of FOIA lawsuit. Whenever a
mitter under paragraph (b) of this sec- requester files a lawsuit seeking to
tion appears obviously frivolous. In compel the disclosure of confidential
such case, the Commission must give commercial information, the Commis-
the submitter written notice of any sion must promptly notify the sub-
final decision to disclose the informa- mitter.
tion within a reasonable number of (h) Requester notification. The Com-
days prior to a specified disclosure mission must notify the requester
date. whenever it provides the submitter
(e) Opportunity to object to disclosure. with notice and an opportunity to ob-
(1) The Commission must specify a rea- ject to disclosure; whenever it notifies
sonable time period within which the the submitter of its intent to disclose
submitter must respond to the notice the requested information; and when-
referenced above. ever a submitter files a lawsuit to pre-
(2) If a submitter has any objections vent the disclosure of the information.
to disclosure, it should provide the
§ 426.208 Appeals.
Commission a detailed written state-
ment that specifies all grounds for (a) Grounds for administrative appeals.
withholding the particular information A requester may appeal an initial de-
under any exemption of the FOIA. In termination of the Commission, includ-
order to rely on Exemption 4 as basis ing but not limited to a determination:
for nondisclosure, the submitter must (1) To deny access to records in whole
explain why the information con- or in part (as provided in § 426.206(c));
stitutes a trade secret or commercial (2) To assign a particular fee cat-
or financial information that is con- egory to the requester (as provided in
fidential. § 426.209(d));
(3) A submitter who fails to respond (3) To deny a request for a reduction
within the time period specified in the or waiver of fees (as provided in
notice will be considered to have no ob- § 426.209(f));
jection to disclosure of the informa- (4) That no records could be located
tion. The Commission is not required that are responsive to the request (as
to consider any information received provided in § 426.206(c)); or
after the date of any disclosure deci- (5) To deny a request for expedited
sion. Any information provided by a processing (as provided in § 426.205(c)).
submitter under this subpart may (b) Initiating appeals. Requesters not
itself be subject to disclosure under the satisfied with the FOIA Officer’s deci-
FOIA. sion may make a written request ap-
(4) The Commission must consider a pealing the decision within 90 days of
submitter’s objections and specific the date of the FOIA Officer’s decision.
grounds for nondisclosure in deciding Any appeal requests should be clearly
whether to disclose the requested infor- marked with the words ‘‘Freedom of
mation. Information Act Appeal.’’ Appeals may
(f) Notice of intent to disclose. When- be made through the Commission’s
ever the Commission decides to dis- email, FOIA@inspire2serve.gov; website,
close information over the objection of www.inspire2serve.gov, or through the

a submitter, the agency must provide mail, and may be addressed to: FOIA
76
Appeals, National Commission on Mili- § 426.209 Preservation of records.

tary, National, and Public Service, 2530
The Commission will preserve all
Crystal Drive, Suite 1000, Box No. 63,
correspondence pertaining to the re-
Arlington, VA 22202. As there may be
quests that it receives under this sub-
delays in mail delivery, it is advisable
part, as well as copies of all requested
to send the request via email. The re-
records, until disposition or destruc-
quest should set out the name and con-
tion is authorized pursuant to title 44
tact information of the requester,
of the United States Code or the Gen-
specify the date of the initial request
eral Records Schedule 4.2 of the Na-
and the initial determination, and set
forth why the appeal should be grant- tional Archives and Records Adminis-
ed. tration. The Commission will not dis-
pose of or destroy records while they
(c) Adjudication of appeals. Appeals
are the subject of a pending request,
will be processed in the order of their
appeal, or lawsuit under the FOIA.
receipt. An appeal ordinarily will not
be adjudicated if the request become a § 426.210 Fees.
matter of FOIA litigation. Before seek-
ing review by a court of an agency’s ad- (a) In general. The Commission shall
verse determination, a requester gen- charge the requester for processing a
erally must first submit a timely ad- request under the FOIA in accordance
ministrative appeal. with the provisions of this section and
(d) Appeal decisions. The Commis- with the OMB Guidelines. For purposes
sion’s Chair or his designee shall decide of assessing fees, the FOIA establishes
whether to affirm or reverse the initial three categories of requesters: Com-
determination (in whole or in part), mercial use requesters, non-commer-
and shall notify the requester of this cial scientific or educational institu-
decision in writing within 20 work tions or news media requesters, and all
days, pursuant to § 426.205(c). If the ap- other requesters. Different fees are as-
peal is denied (in whole or in part), the sessed depending on the category. Re-
Commission will notify the requester questers may seek a fee waiver, and the
in writing of the decision, the reasons Commission will consider fee waiver
for the denial (including the FOIA ex- requests in accordance with the re-
emptions relied upon), the name and quirements in paragraph (f) of this sec-
title of the official responsible for the tion. To resolve any fee issues that
determination on appeal, and the pro- arise under this section, the Commis-
visions for judicial review and dispute sion will contact a requester for addi-
resolution services offered by the tional information. No fees shall be
OGIS. If the appeal is granted in full or charged if the amount of fees incurred
in part, the Chief FOIA Officer will no- in processing the request is below $25.
tify the requester in writing and The Commission ordinarily will collect
promptly process the request. all applicable fees before sending copies
(e) Dispute resolution. Dispute resolu- of records to a requester. Requesters
tion is a voluntary process. If the Com- must pay fees by check or money order
mission agrees to participate in the made payable to the Treasury of the
dispute resolution services provided by United States, or by another method as
OGIS, it will actively engage as a part- determined by the Commission.
ner to the process in an attempt to re- (b) Definitions. For purposes of this
solve the dispute. Requesters may seek section:
dispute resolution by contacting the Commercial use request means a re-
FOIA Public Liaison or OGIS at: Office quest that asks for information for a
of Government Information Services, use or a purpose that furthers a com-
National Archives and Records Admin- mercial, trade, or profit interest, which
istration, 8601 Adelphi Road, OGIS, can include furthering those interests
College Park, MD 20740; email: through litigation. The Commission’s
ogis@nara.gov; telephone: (202) 741–5770; decision to place a requester in the
facsimile: (202) 741–5769; toll free tele- commercial use category will be made
phone: (877) 684–6448.
77
§ 426.210 1 CFR Ch. IV (1–1–19 Edition)
on a case-by-case basis based on the re- ated on a ‘‘commercial’’ basis, as de-

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

means an institution that is not oper- are properly charged even if a record
78
ultimately is not disclosed. Review (3) Review of records. The Commission

time also includes time spent both ob- shall only charge review fees to re-
taining and considering any formal ob- questers who make commercial use re-
jection to disclosure made by a con- quests. Review fees will be assessed in
fidential commercial information sub- connection with the initial review of
mitter under § 426.207 of this subpart, the record, but no charge will be made
but it does not include time spent refor review at the administrative appeal
solving general legal or policy issues stage. However, if a particular exemp-
regarding the application of exemption is deemed to no longer apply, any
tions. costs associated with an agency’s re-re-
Search means the process of looking view of the records in order to consider
for and retrieving records or informa- the use of other exemptions may be as-
tion responsive to a request. Search sess as review fees. The Commission
time includes page-by-page or line-by- shall charge a requester for time spent
line identification of information with- reviewing records at the salary rate(s)
in records and the reasonable efforts (i.e., basic pay plus 16 percent) of the
expended to locate and retrieve infor- employees who conduct the review.
mation from electronic records. (4) Inspection of records in the reading
(c) Fees chargeable for specific services. room. Fees for all services provided
In responding to FOIA requests, the shall be charged whether or not copies
Commission will charge the following are made available to the requester for
fees unless a waiver or reduction of fees inspection. However, no fee shall be
has been granted under paragraph (f) of charged for monitoring a requester’s
this section. No additional costs will be inspection of records in the physical
added to charges calculated under this reading room.
section. (5) Other services. Although not re-
(1) Duplicating records. The Commis- quired to provide special services, if
sion shall assess requester fees for the the Commission chooses to do so as a
cost of copying records. The charge matter of administrative discretion,
will be $0.12 per page, up to 81⁄2 x 14, the requested services are charged at
made by photocopy or similar process. the actual cost to the Commission. Ex-
The charge will be the actual cost for amples of such services include certi-
duplicating photographs, films, and fying that records are true copies or
other materials. Where paper docu- sending records by express mail.
ments must be scanned so they can be (d) Fees applicable to each category of
sent electronically, the requester must requester. The Commission shall apply
pay the direct costs associated with the fees set forth in this paragraph, for
scanning those materials. The Commis- each category described in paragraph
sion will honor a requester’s preference (c) of this section, to FOIA requests
for receiving a record in a particular processed by the Commission.
form or format where the agency can (1) Commercial use. A requester seek-
readily reproduce it in the form or for- ing records for commercial use shall be
mat requested. charged the full direct cost of search-
(2) Search services. The Commission ing for, reviewing, and duplicating the
shall charge a requester for all time records they request as set forth in
spent by its employees searching for paragraph (c) of this section. The Com-
records that are responsive to a re- mission is not required to consider a
quest, even if no responsive records are waiver request based upon the asser-
found or the records are exempt from tion that disclosure would be in the
disclosure. For non-electronic public interest from a commercial use
searches, the Commission shall charge requester.
for search time at the salary rate (2) Educational and non-commercial sci-
(basic pay plus 16 percent) of the em- entific uses. A requester seeking records
ployee who conducts the search. For for educational or non-commercial sci-
electronic records, the Commission entific use shall be charged only for the
shall charge the requester for the ac- cost of duplicating the records they re-
tual direct cost of the search, including quest, except that the Commission
computer search time, runs, and the shall provide the first 100 pages of du-
operator’s salary. plication (or cost equivalent for other
79
§ 426.210 1 CFR Ch. IV (1–1–19 Edition)
media) free of charge. To be eligible, request. Then the Commission may

the requester must show that the charge a requester all applicable fees.
records are not sought for a commer- (f) Waiver or reduction of fees. (1) A re-
cial use, but rather in furtherance of quester may request a waiver or reduc-
scholarly or scientific research. tion of fees otherwise applicable to a
(3) News media uses. A requester seek- FOIA request in writing during the ini-
ing records under the news media use tial FOIA request. The waiver must
category shall be charged only the cost demonstrate that the fee reduction or
of duplicating the records they request, waiver is in the public interest because
except that the Commission shall pro- it furnishes information that is likely
vide the requester with the first 100 to contribute significantly to public
pages of duplication (or cost equivalent understanding of the operations or ac-
for the other media) free of charge. tivities of the government, and the in-
(4) Other requests. A requester seeking formation is not primarily in the com-
records for any other use shall be mercial interest of the requester.
charged the full direct cost of search- (2) To determine whether the re-
ing for and duplicating records that are quester has satisfied the waiver request
responsive to the request, as set out in requirements, the Commission shall
paragraph (b) of this section, except consider whether the subject of the re-
that the Commission shall provide the quested records has a direct connection
first 100 pages of duplication and the to government operations or activities;
first two hours of search time free of the disclosable portion of the requested
charge. records is meaningfully informative,
(e) Other circumstances when fees are and is not already in the public do-
not charged. Notwithstanding para- main; the disclosure would contribute
graphs (c) and (d) of this section, the to the understanding of a reasonably
Commission may not charge a re- broad audience, as opposed to the indi-
quester a fee for processing a FOIA re-
vidual requester; and the public’s un-
quest if the total fee is equal to or less
derstanding would be significantly en-
than $25. Additionally, the Commission
hanced by the disclosure. The Commis-
may not charge a requester a search or
sion shall also consider whether the re-
duplication fee if the Commission fails
quester, or any person on whose behalf
to comply with any time limit under
the requester may be acting, has a
§ 426.205 or § 426.208, unless:
commercial interest that would be
(1) A court has determined that ex-
furthered by the disclosure, and wheth-
ceptional circumstances exist, as de-
er the public interest is greater in mag-
fined by the FOIA, then a failure to
comply with such time limit shall be nitude than that of any identified com-
excused for the length of time provided mercial interest in disclosure.
by the court order; (3) Where only some of the records to
(2) The Commission has determined be released satisfy the requirements for
that unusual circumstances, as defined a waiver or reduction of fees, a waiver
by the FOIA, apply and the Commis- or reduction shall be granted for those
sion provides timely written notice to records.
the requester in accordance with (4) The Commission shall notify the
§ 426.205(d), then the time limit shall be requester in writing regarding its de-
excused for an additional 10 days; or termination to reduce or waive fees.
(3) The Commission has determined (5) If the Commission denies a re-
that unusual circumstances apply; quest to reduce or waive fees, then the
more than 5,000 pages are necessary to Commission shall advise the requester,
respond to the request; the Commission in the denial notification letter, that
has provided a timely written notice to the requester may incur fees as a result
the requester in accordance with of processing the request. In the denial
§ 426.205(d), and the Commission has notification letter, the Commission
discussed with the requester via writ- shall advise the requester that the
ten mail, electronic mail, or telephone Commission will not proceed to process
(or made not less than three good-faith the request further unless the re-
attempts to do so) how the requester quester, in writing, directs the Com-
could effectively limit the scope of the mission to do so and either agrees to
80
pay any fees that may apply to proc- that amount, the Commission will toll
essing the request or specifies an upper the processing of the request when it
limit (of not less than $25) that the re- notifies the requester of the estimated
quester is willing to pay to process the fees in excess of the amount the re-
request. If the Commission does not requester has indicated a willingness to
ceive this written direction and agree- pay. The Commission will inquire
ment within 30 days of the date of the whether the requester wishes to revise
denial notification letter, then the the amount of fees the requester is
Commission shall deem the FOIA re- willing to pay or modify the request.
quest to be withdrawn. Once the requester responds, the time
(6) If the Commission denies a re- to respond will resume from where it
quest to reduce or waive fees, then the was at the date of the notification.
requester shall have the right to sub- (4) The FOIA Public Liaison will be
mit an appeal in accordance with available to assist any requester in re-
§ 426.208. The Commission shall commu- formulating a request to meet the re-
nicate this appeal right as part of its quester’s needs at a lower cost.
denial notification to the requester. (h) Advance payment. (1) For requests
(g) Notice of estimated fees. (1) When other than those described in para-
an agency determines or estimates graphs (h)(2) and (3) of this section, the
that the fees to be assessed in accord- Commission will not require the re-
ance with this section will exceed $25, quester to make an advance payment
the agency must notify the requester before work is commenced or contin-
of the actual or estimated amount of ued on a request. Payment owed for
the fees, including a breakdown of the work already completed (i.e., payment
fees for search, review or duplication, before copies are sent to a requester) is
unless the requester has indicated a not an advance payment.
willingness to pay fees as high as those (2) When the Commission determines
anticipated. If only a portion of the fee or estimates that a total fee to be
can be estimated readily the Commis- charged under this section will exceed
sion will advise the requester accord- $250, it may require that the requester
ingly. The notice will specify what du- make an advance payment up to the
plication and search time the requester amount of the entire anticipated fee
is entitled to and how they have been before beginning to process the re-
accounted for in the estimate. quest. An agency may elect to process
(2) If the agency notifies the re- the request prior to collecting fees
quester that the actual or estimated when it receives a satisfactory assur-
fees are in excess of $25, the request ance of full payment from a requester
will not be considered received and fur- with a history of prompt payment.
ther work will not be completed until (3) If a requester previously has failed
the requester commits in writing to to pay a fee within 30 calendar days of
pay the actual or estimated total fee, the date of the billing, the requester
or designates some amount of fees the shall be required to pay the full
requester is willing to pay, or in the amount owed plus any applicable inter-
case of a noncommercial use requester est, and to make an advance payment
who has not yet been provided with the of the full amount of the estimated fee
statutory entitlements, designates before the Commission begins to proc-
that the requester seeks only that ess a new request.
which can be provided by the statutory (4) In cases in which an agency re-
entitlements. The requester must pro- quires advance payment, the request
vide the commitment or designation in will not be considered received and fur-
writing, and must, when applicable des- ther work will not be completed until
ignate an exact dollar amount the re- the required payment is received. If the
quester is willing to pay. Agencies are requester does not pay the advance
not required to accept payments in in- payment within 30 calendar days after
stallments. the date of the agency’s fee determina-
(3) If the requester has indicated a tion, the request will be closed.
willingness to pay some designated (i) Charging interest. The Commission
amount of fees, but the Commission es- may charge interest on any unpaid bill
timates that the total fee will exceed starting on the 31st day following the
81
§ 426.211 1 CFR Ch. IV (1–1–19 Edition)
date of billing the requester. Interest 457.103 Definitions.

charges will be assessed at the rate 457.104–457.109 [Reserved]
provided in 31 U.S.C. 3717 and will ac- 457.110 Self-evaluation.
crue from the billing date until pay- 457.111 Notice.
457.112–457.129 [Reserved]
ment is received by the Commission.
457.130 General prohibitions against dis-
The Commission will follow the provi- crimination.
sions of the Debt Collection Act of 1982 457.131–457.139 [Reserved]
(Pub. L. 97–365, 96 Stat. 1749), as amend- 457.140 Employment.
ed, and its administrative procedures. 457.141–457.148 [Reserved]
(j) Aggregating requests. If the Com- 457.149 Program accessibility: Discrimina-
mission reasonably determines that a tion prohibited.
requester or a group of requesters act- 457.150 Program accessibility: Existing fa-
ing together is attempting to divide a cilities.
request into a series of requests for the 457.151 Program accessibility: New con-
purpose of avoiding fees, the Commis- struction and alterations.
457.152–457.159 [Reserved]
sion may aggregate those requests and
457.160 Communications.
charge accordingly. The Commission 457.161–457.169 [Reserved]
may presume that multiple requests 457.170 Compliance procedures.
involving related matters submitted 457.171–457.999 [Reserved]
within a 30 calendar day period have
AUTHORITY: 29 U.S.C. 794.
been made in order to avoid fees. For
requests separated by a longer period, SOURCE: 51 FR 22887, 22896, June 23, 1986,
the Commission will aggregate them unless otherwise noted.
only where there is a reasonable basis
for determining that aggregation is § 457.101 Purpose.
warranted in view of all the cir- This part effectuates section 119 of
cumstances involved. The Commission the Rehabilitation, Comprehensive
shall not aggregate multiple requests Services, and Developmental Disabil-
involving unrelated matters. ities Amendments of 1978, which
(k) Other statutes specifically providing amended section 504 of the Rehabilita-
for fees. The fee schedule of this section tion Act of 1973 to prohibit discrimina-
does not apply to fees charged under tion on the basis of handicap in pro-
any statute that specifically requires grams or activities conducted by Exec-
an agency to set and collect fees for utive agencies or the United States
particular types of records. In in- Postal Service.
stances where records responsive to a
request are subject to a statutorily- § 457.102 Application.
based fee schedule program, the Com- This part applies to all programs or
mission must inform the requester of activities conducted by the agency.
the contact information for that pro-
gram. § 457.103 Definitions.
§ 426.211 Other rights and services. For purposes of this part, the term—
Assistant Attorney General means the
Nothing in this subpart shall be con- Assistant Attorney General, Civil
strued to entitle any person, as of Rights Division, United States Depart-
right, to any service or to the disclo- ment of Justice.
sure of any record to which such person Auxiliary aids means services or de-
is not entitled under the FOIA.
vices that enable persons with im-
paired sensory, manual, or speaking
PART 457—ENFORCEMENT OF skills to have an equal opportunity to
NONDISCRIMINATION ON THE participate in, and enjoy the benefits
BASIS OF HANDICAP IN PRO- of, programs or activities conducted by
GRAMS OR ACTIVITIES CON- the agency. For example, auxiliary aids
DUCTED BY THE NATIONAL CAP- useful for persons with impaired vision
ITAL PLANNING COMMISSION include readers, brailled materials,
audio recordings, telecommunications
devices and other similar services and
Sec.
457.101 Purpose. devices. Auxiliary aids useful for per-
457.102 Application. sons with impaired hearing include
82
telephone handset amplifiers, tele- hearing, speaking, breathing, learning,

phones compatible with hearing aids, and working.
telecommunication devices for deaf (3) Has a record of such an impairment
persons (TDD’s), interpreters, means has a history of, or has been
notetakers, written materials, and misclassified as having, a mental or
other similar services and devices. physical impairment that substantially
Complete complaint means a written limits one or more major life activi-
statement that contains the complain- ties.
ant’s name and address and describes (4) Is regarded as having an impairment
the agency’s alleged discriminatory ac-
means—
tion in sufficient detail to inform the
agency of the nature and date of the al- (i) Has a physical or mental impair-
leged violation of section 504. It shall ment that does not substantially limit
be signed by the complainant or by major life activities but is treated by
someone authorized to do so on his or the agency as constituting such a limi-
her behalf. Complaints filed on behalf tation;
of classes or third parties shall describe (ii) Has a physical or mental impair-
or identify (by name, if possible) the ment that substantially limits major
alleged victims of discrimination. life activities only as a result of the at-
Facility means all or any portion of titudes of others toward such impair-
buildings, structures, equipment, ment; or
roads, walks, parking lots, rolling (iii) Has none of the impairments de-
stock or other conveyances, or other fined in subparagraph (1) of this defini-
real or personal property. tion but is treated by the agency as
Handicapped person means any person having such an impairment.
who has a physical or mental impair- Historic preservation programs means
ment that substantially limits one or programs conducted by the agency that
more major life activities, has a record have preservation of historic properties
of such an impairment, or is regarded
as a primary purpose.
as having such an impairment.
As used in this definition, the phrase: Historic properties means those prop-
(1) Physical or mental impairment in- erties that are listed or eligible for
cludes— listing in the National Register of His-
(i) Any physiological disorder or con- toric Places or properties designated as
dition, cosmetic disfigurement, or ana- historic under a statute of the appro-
tomical loss affecting one or more of priate State or local government body.
the following body systems: Neuro- Qualified handicapped person means—
logical; musculoskeletal; special sense (1) With respect to preschool, elemen-
organs; respiratory, including speech tary, or secondary education services
organs; cardiovascular; reproductive; provided by the agency, a handicapped
digestive; genitourinary; hemic and person who is a member of a class of
lymphatic; skin; and endocrine; or persons otherwise entitled by statute,
(ii) Any mental or psychological dis- regulation, or agency policy to receive
order, such as mental retardation, or- education services from the agency.
ganic brain syndrome, emotional or (2) With respect to any other agency
mental illness, and specific learning program or activity under which a per-
disabilities. The term ‘‘physical or son is required to perform services or
mental impairment’’ includes, but is to achieve a level of accomplishment, a
not limited to, such diseases and condi-
handicapped person who meets the es-
tions as orthopedic, visual, speech, and
sential eligibility requirements and
hearing impairments, cerebral palsy,
epilepsy, muscular dystrophy, multiple who can achieve the purpose of the pro-
sclerosis, cancer, heart disease, diabe- gram or activity without modifications
tes, mental retardation, emotional ill- in the program or activity that the
ness, and drug addiction and alco- agency can demonstrate would result
holism. in a fundamental alteration in its na-
(2) Major life activities includes func- ture;
tions such as caring for one’s self, per- (3) With respect to any other pro-
forming manual tasks, walking, seeing, gram or activity, a handicapped person
83
§§ 457.104–457.109 1 CFR Ch. IV (1–1–19 Edition)
who meets the essential eligibility re- sons such information regarding the
quirements for participation in, or re- provisions of this part and its applica-
ceipt of benefits from, that program or bility to the programs or activities
activity; and conducted by the agency, and make
(4) Qualified handicapped person is de- such information available to them in
fined for purposes of employment in 29 such manner as the head of the agency
CFR 1613.702(f), which is made applica- finds necessary to apprise such persons
ble to this part by § 457.140. of the protections against discrimina-
Section 504 means section 504 of the tion assured them by section 504 and
Rehabilitation Act of 1973 (Pub. L. 93– this regulation.
112, 87 Stat. 394 (29 U.S.C. 794)), as
amended by the Rehabilitation Act §§ 457.112–457.129 [Reserved]
Amendments of 1974 (Pub. L. 93–516, 88
Stat. 1617), and the Rehabilitation, § 457.130 General prohibitions against
Comprehensive Services, and Develop- discrimination.
mental Disabilities Amendments of (a) No qualified handicapped person
1978 (Pub. L. 95–602, 92 Stat. 2955). As shall, on the basis of handicap, be ex-
used in this part, section 504 applies cluded from participation in, be denied
only to programs or activities con- the benefits of, or otherwise be sub-
ducted by Executive agencies and not jected to discrimination under any pro-
to federally assisted programs. gram or activity conducted by the
Substantial impairment means a sig- agency.
nificant loss of the integrity of finished (b)(1) The agency, in providing any
materials, design quality, or special aid, benefit, or service, may not, di-
character resulting from a permanent rectly or through contractual, licens-
alteration. ing, or other arrangements, on the
§§ 457.104–457.109 [Reserved] basis of handicap—
(i) Deny a qualified handicapped per-
§ 457.110 Self-evaluation. son the opportunity to participate in
(a) The agency shall, by August 24, or benefit from the aid, benefit, or
1987, evaluate its current policies and service;
practices, and the effects thereof, that (ii) Afford a qualified handicapped
do not or may not meet the require- person an opportunity to participate in
ments of this part, and, to the extent or benefit from the aid, benefit, or
modification of any such policies and service that is not equal to that af-
practices is required, the agency shall forded others;
proceed to make the necessary modi- (iii) Provide a qualified handicapped
fications. person with an aid, benefit, or service
(b) The agency shall provide an op- that is not as effective in affording
portunity to interested persons, includ- equal opportunity to obtain the same
ing handicapped persons or organiza- result, to gain the same benefit, or to
tions representing handicapped per- reach the same level of achievement as
sons, to participate in the self-evalua- that provided to others;
tion process by submitting comments (iv) Provide different or separate aid,
(both oral and written). benefits, or services to handicapped
(c) The agency shall, until three persons or to any class of handicapped
years following the completion of the persons than is provided to others un-
self-evaluation, maintain on file and less such action is necessary to provide
make available for public inspection: qualified handicapped persons with aid,
(1) A description of areas examined benefits, or services that are as effec-
and any problems identified, and tive as those provided to others;
(2) A description of any modifications (v) Deny a qualified handicapped per-
made. son the opportunity to participate as a
member of planning or advisory boards;
§ 457.111 Notice. or
The agency shall make available to (vi) Otherwise limit a qualified
employees, applicants, participants, handicapped person in the enjoyment

beneficiaries, and other interested per- of any right, privilege, advantage, or
84
opportunity enjoyed by others receiv- limited by Federal statute or Execu-

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

handicapped persons from a program result in a fundamental alteration in
85
§ 457.150 1 CFR Ch. IV (1–1–19 Edition)
the nature of a program or activity or (2) Historic preservation programs. In

in undue financial and administrative meeting the requirements of § 457.150(a)
burdens. In those circumstances where in historic preservation programs, the
agency personnel believe that the pro- agency shall give priority to methods
posed action would fundamentally that provide physical access to handi-
alter the program or activity or would capped persons. In cases where a phys-
result in undue financial and adminis- ical alteration to an historic property
trative burdens, the agency has the is not required because of § 457.150(a)(2)
burden of proving that compliance with or (a)(3), alternative methods of
§ 457.150(a) would result in such alter- achieving program accessibility in-
ation or burdens. The decision that clude—
compliance would result in such alter- (i) Using audio-visual materials and
ation or burdens must be made by the devices to depict those portions of an
agency head or his or her designee historic property that cannot other-
after considering all agency resources wise be made accessible;
available for use in the funding and op- (ii) Assigning persons to guide handi-
eration of the conducted program or capped persons into or through por-
activity, and must be accompanied by tions of historic properties that cannot
a written statement of the reasons for otherwise be made accessible; or
reaching that conclusion. If an action (iii) Adopting other innovative meth-
would result in such an alteration or
ods.
such burdens, the agency shall take
(c) Time period for compliance. The
any other action that would not result
agency shall comply with the obliga-
in such an alteration or such burdens
but would nevertheless ensure that tions established under this section by
handicapped persons receive the bene- October 21, 1986, except that where
fits and services of the program or ac- structural changes in facilities are un-
tivity. dertaken, such changes shall be made
(b) Methods—(1) General. The agency by August 22, 1989, but in any event as
may comply with the requirements of expeditiously as possible.
this section through such means as re- (d) Transition plan. In the event that
design of equipment, reassignment of structural changes to facilities will be
services to accessible buildings, assign- undertaken to achieve program acces-
ment of aides to beneficiaries, home sibility, the agency shall develop, by
visits, delivery of services at alternate February 23, 1987 a transition plan set-
accessible sites, alteration of existing ting forth the steps necessary to com-
facilities and construction of new fa- plete such changes. The agency shall
cilities, use of accessible rolling stock, provide an opportunity to interested
or any other methods that result in persons, including handicapped persons
making its programs or activities read- or organizations representing handi-
ily accessible to and usable by handicapped persons, to participate in the
capped persons. The agency is not re- development of the transition plan by
quired to make structural changes in submitting comments (both oral and
existing facilities where other methods written). A copy of the transition plan
are effective in achieving compliance shall be made available for public in-
with this section. The agency, in mak- spection. The plan shall, at a min-
ing alterations to existing buildings, imum—
shall meet accessibility requirements (1) Identify physical obstacles in the
to the extent compelled by the Archi- agency’s facilities that limit the acces-
tectural Barriers Act of 1968, as amend- sibility of its programs or activities to
ed (42 U.S.C. 4151–4157), and any regula- handicapped persons;
tions implementing it. In choosing (2) Describe in detail the methods
among available methods for meeting that will be used to make the facilities
the requirements of this section, the accessible;
agency shall give priority to those (3) Specify the schedule for taking
methods that offer programs and ac- the steps necessary to achieve compli-
tivities to qualified handicapped per- ance with this section and, if the time
sons in the most integrated setting ap- period of the transition plan is longer
propriate. than one year, identify steps that will
86
be taken during each year of the tran- bility shall be used at each primary en-
sition period; and trance of an accessible facility.
(4) Indicate the official responsible (d) This section does not require the
for implementation of the plan. agency to take any action that it can
demonstrate would result in a funda-
§ 457.151 Program accessibility: New mental alteration in the nature of a
construction and alterations. program or activity or in undue finan-
Each building or part of a building cial and administrative burdens. In
that is constructed or altered by, on those circumstances where agency per-
behalf of, or for the use of the agency sonnel believe that the proposed action
shall be designed, constructed, or al- would fundamentally alter the program
tered so as to be readily accessible to or activity or would result in undue fi-
and usable by handicapped persons. nancial and administrative burdens,
The definitions, requirements, and the agency has the burden of proving
standards of the Architectural Barriers that compliance with § 457.160 would re-
Act (42 U.S.C. 4151–4157), as established sult in such alteration or burdens. The
in 41 CFR 101–19.600 to 101–19.607, apply decision that compliance would result
to buildings covered by this section. in such alteration or burdens must be
made by the agency head or his or her
§§ 457.152–457.159 [Reserved] designee after considering all agency
resources available for use in the fund-
§ 457.160 Communications. ing and operation of the conducted pro-
(a) The agency shall take appropriate gram or activity, and must be accom-
steps to ensure effective communica- panied by a written statement of the
tion with applicants, participants, per- reasons for reaching that conclusion. If
sonnel of other Federal entities, and an action required to comply with this
members of the public. section would result in such an alter-
(1) The agency shall furnish appro- ation or such burdens, the agency shall
priate auxiliary aids where necessary take any other action that would not
to afford a handicapped person an equal result in such an alteration or such
opportunity to participate in, and burdens but would nevertheless ensure
enjoy the benefits of, a program or ac- that, to the maximum extent possible,
tivity conducted by the agency. handicapped persons receive the bene-
(i) In determining what type of auxil- fits and services of the program or ac-
iary aid is necessary, the agency shall tivity.
give primary consideration to the re-
quests of the handicapped person. §§ 457.161–457.169 [Reserved]
(ii) The agency need not provide indi-
vidually prescribed devices, readers for § 457.170 Compliance procedures.
personal use or study, or other devices (a) Except as provided in paragraph
of a personal nature. (b) of this section, this section applies
(2) Where the agency communicates to all allegations of discrimination on
with applicants and beneficiaries by the basis of handicap in programs or
telephone, telecommunication devices activities conducted by the agency.
for deaf person (TDD’s) or equally ef- (b) The agency shall process com-
fective telecommunication systems plaints alleging violations of section
shall be used. 504 with respect to employment accord-
(b) The agency shall ensure that in- ing to the procedures established by
terested persons, including persons the Equal Employment Opportunity
with impaired vision or hearing, can Commission in 29 CFR part 1613 pursu-
obtain information as to the existence ant to section 501 of the Rehabilitation
and location of accessible services, ac- Act of 1973 (29 U.S.C. 791).
tivities, and facilities. (c) The Executive Director shall be
(c) The agency shall provide signage responsible for coordinating implemen-
at a primary entrance to each of its in- tation of this section. Complaints may
accessible facilities, directing users to be sent to Equal Employment Oppor-
a location at which they can obtain in- tunity Director, National Capital Plan-
formation about accessible facilities. ning Commission, 1325 G Street NW.,

The international symbol for accessi- Washington, DC 20576.
87
§§ 457.171–457.999 1 CFR Ch. IV (1–1–19 Edition)
(d) The agency shall accept and investigations to other Federal agencies,
vestigate all complete complaints for except that the authority for making
which it has jurisdiction. All complete the final determination may not be
complaints must be filed within 180 delegated to another agency.
days of the alleged act of discrimina- [51 FR 22887, 22896, June 23, 1986, as amended
tion. The agency may extend this time at 5l FR 22888, June 23, 1986]
period for good cause.
(e) If the agency receives a complaint §§ 457.171–457.999 [Reserved]
over which it does not have jurisdic-
tion, it shall promptly notify the com- PART 500—ENFORCEMENT OF
plainant and shall make reasonable ef- NONDISCRIMINATION ON THE
forts to refer the complaint to the ap-
propriate government entity.
BASIS OF HANDICAP IN PRO-
(f) The agency shall notify the Archi- GRAMS OR ACTIVITIES CON-
tectural and Transportation Barriers DUCTED BY THE NATIONAL COM-
Compliance Board upon receipt of any MISSION FOR EMPLOYMENT POL-
complaint alleging that a building or ICY
facility that is subject to the Architec-
tural Barriers Act of 1968, as amended Sec.
(42 U.S.C. 4151–4157), or section 502 of 500.101 Purpose.
the Rehabilitation Act of 1973, as 500.102 Application.
500.103 Definitions.
amended (29 U.S.C. 792), is not readily
500.104–500.109 [Reserved]
accessible to and usable by handi- 500.110 Self-evaluation.
capped persons. 500.111 Notice.
(g) Within 180 days of the receipt of a 500.112–500.129 [Reserved]
complete complaint for which it has ju- 500.130 General prohibitions against dis-
risdiction, the agency shall notify the crimination.
complainant of the results of the inves- 500.131–500.139 [Reserved]
tigation in a letter containing— 500.140 Employment.
500.141–500.148 [Reserved]
(1) Findings of fact and conclusions 500.149 Program accessibility: Discrimina-
of law; tion prohibited.
(2) A description of a remedy for each 500.150 Program accessibility: Existing fa-
violation found; and cilities.
(3) A notice of the right to appeal. 500.151 Program accessibility: New con-
(h) Appeals of the findings of fact and struction and alterations.
conclusions of law or remedies must be 500.152–500.159 [Reserved]
500.160 Communications.
filed by the complainant within 90 days
500.161–500.169 [Reserved]
of receipt from the agency of the letter 500.170 Compliance procedures.
required by § 457.170(g). The agency 500.171–500.999 [Reserved]
may extend this time for good cause.
AUTHORITY: 29 U.S.C. 794.
(i) Timely appeals shall be accepted
and processed by the head of the agen- SOURCE: 51 FR 22888, 22896, June 23, 1986,
cy. unless otherwise noted.
(j) The head of the agency shall no-
§ 500.101 Purpose.
tify the complainant of the results of
the appeal within 60 days of the receipt This part effectuates section 119 of
of the request. If the head of the agen- the Rehabilitation, Comprehensive
cy determines that additional informa- Services, and Developmental Disabil-
tion is needed from the complainant, ities Amendments of 1978, which
he or she shall have 60 days from the amended section 504 of the Rehabilita-
date of receipt of the additional infor- tion Act of 1973 to prohibit discrimina-
mation to make his or her determination on the basis of handicap in pro-
tion on the appeal. grams or activities conducted by Exec-
(k) The time limits cited in para- utive agencies or the United States
graphs (g) and (j) of this section may be Postal Service.
extended with the permission of the
Assistant Attorney General. § 500.102 Application.
(l) The agency may delegate its au- This part applies to all programs or
thority for conducting complaint in- activities conducted by the agency.
88
§ 500.103 Definitions. digestive; genitourinary; hemic and

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

organs; cardiovascular; reproductive; persons otherwise entitled by statute,
89
§§ 500.104–500.109 1 CFR Ch. IV (1–1–19 Edition)
regulation, or agency policy to receive sons, to participate in the self-evalua-

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

tions representing handicapped per- that provided to others;
90
(iv) Provide different or separate aid, agency establish requirements for the
benefits, or services to handicapped programs or activities of licensees or
persons or to any class of handicapped certified entities that subject qualified
persons than is provided to others un- handicapped persons to discrimination
less such action is necessary to provide on the basis of handicap. However, the
qualified handicapped persons with aid, programs or activities of entities that
benefits, or services that are as effec- are licensed or certified by the agency
tive as those provided to others; are not, themselves, covered by this
(v) Deny a qualified handicapped per- part.
son the opportunity to participate as a (c) The exclusion of nonhandicapped
member of planning or advisory boards; persons from the benefits of a program
or limited by Federal statute or Execu-
(vi) Otherwise limit a qualified tive order to handicapped persons or
handicapped person in the enjoyment the exclusion of a specific class of
of any right, privilege, advantage, or handicapped persons from a program
opportunity enjoyed by others receiv- limited by Federal statute or Execu-
ing the aid, benefit, or service. tive order to a different class of handi-
(2) The agency may not deny a quali- capped persons is not prohibited by
fied handicapped person the oppor- this part.
tunity to participate in programs or (d) The agency shall administer pro-
activities that are not separate or dif- grams and activities in the most inte-
ferent, despite the existence of permis- grated setting appropriate to the needs
sibly separate or different programs or of qualified handicapped persons.
activities.
§§ 500.131–500.139 [Reserved]
(3) The agency may not, directly or
through contractual or other § 500.140 Employment.
arrangments, utilize criteria or meth-
ods of administration the purpose or ef- No qualified handicapped person
shall, on the basis of handicap, be sub-
fect of which would—
jected to discrimination in employ-
(i) Subject qualified handicapped per-
ment under any program or activity
sons to discrimination on the basis of
conducted by the agency. The defini-
handicap; or
tions, requirements, and procedures of
(ii) Defeat or substantially impair ac-
section 501 of the Rehabilitation Act of
complishment of the objectives of a
1973 (29 U.S.C. 791), as established by
program or activity with respect to
the Equal Employment Opportunity
handicapped persons.
Commission in 29 CFR part 1613, shall
(4) The agency may not, in deter- apply to employment in federally con-
mining the site or location of a facil- ducted programs or activities.
ity, make selections the purpose or ef-
fect of which would— §§ 500.141–500.148 [Reserved]
(i) Exclude handicapped persons
from, deny them the benefits of, or oth- § 500.149 Program accessibility: Dis-
erwise subject them to discrimination crimination prohibited.
under any program or activity con- Except as otherwise provided in
ducted by the agency; or § 500.150, no qualified handicapped per-
(ii) Defeat or substantially impair son shall, because the agency’s facili-
the accomplishment of the objectives ties are inaccessible to or unusable by
of a program or activity with respect handicapped persons, be denied the
to handicapped persons. benefits of, be excluded from participa-
(5) The agency, in the selection of tion in, or otherwise be subjected to
procurement contractors, may not use discrimination under any program or
criteria that subject qualified handi- activity conducted by the agency.
capped persons to discrimination on
the basis of handicap. § 500.150 Program accessibility: Exist-
(6) The agency may not administer a ing facilities.
licensing or certification program in a (a) General. The agency shall operate
manner that subjects qualified handi- each program or activity so that the
capped persons to discrimination on program or activity, when viewed in its

the basis of handicap, nor may the entirety, is readily accessible to and
91
§ 500.150 1 CFR Ch. IV (1–1–19 Edition)
usable by handicapped persons. This are effective in achieving compliance

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

existing facilities where other methods written). A copy of the transition plan
92
shall be made available for public infor deaf person (TDD’s) or equally ef-
spection. The plan shall, at a min- fective telecommunication systems
imum— shall be used.
(1) Identify physical obstacles in the (b) The agency shall ensure that in-
agency’s facilities that limit the acces- terested persons, including persons
sibility of its programs or activities to with impaired vision or hearing, can
handicapped persons; obtain information as to the existence
(2) Describe in detail the methods and location of accessible services, ac-
that will be used to make the facilities tivities, and facilities.
accessible; (c) The agency shall provide signage
(3) Specify the schedule for taking at a primary entrance to each of its in-
the steps necessary to achieve compli- accessible facilities, directing users to
ance with this section and, if the time a location at which they can obtain in-
period of the transition plan is longer formation about accessible facilities.
than one year, identify steps that will The international symbol for accessi-
be taken during each year of the tran- bility shall be used at each primary en-
sition period; and trance of an accessible facility.
(4) Indicate the official responsible (d) This section does not require the
for implementation of the plan. agency to take any action that it can
demonstrate would result in a funda-
§ 500.151 Program accessibility: New mental alteration in the nature of a
construction and alterations. program or activity or in undue finan-
Each building or part of a building cial and adminstrative burdens. In
that is constructed or altered by, on those circumstances where agency per-
behalf of, or for the use of the agency sonnel believe that the proposed action
shall be designed, constructed, or al- would fundamentally alter the program
tered so as to be readily accessible to or activity or would result in undue fi-
and usable by handicapped persons. nancial and administrative burdens,
The definitions, requirements, and the agency has the burden of proving
standards of the Architectural Barriers that compliance with § 500.160 would re-
Act (42 U.S.C. 4151–4157), as established sult in such alteration or burdens. The
in 41 CFR 101–19.600 to 101–19.607, apply decision that compliance would result
to buildings covered by this section. in such alteration or burdens must be
made by the agency head or his or her
§§ 500.152–500.159 [Reserved] designee after considering all agency
resources available for use in the fund-
§ 500.160 Communications. ing and operation of the conducted pro-
(a) The agency shall take appropriate gram or activity, and must be accom-
steps to ensure effective communica- panied by a written statement of the
tion with applicants, participants, per- reasons for reaching that conclusion. If
sonnel of other Federal entities, and an action required to comply with this
members of the public. section would result in such an alter-
(1) The agency shall furnish appro- ation or such burdens, the agency shall
priate auxiliary aids where necessary take any other action that would not
to afford a handicapped person an equal result in such an alteration or such
opportunity to participate in, and burdens but would nevertheless ensure
enjoy the benefits of, a program or ac- that, to the maximum extent possible,
tivity conducted by the agency. handicapped persons receive the bene-
(i) In determining what type of auxil- fits and services of the program or ac-
iary aid is necessary, the agency shall tivity.
give primary consideration to the re-
quests of the handicapped person. §§ 500.161–500.169 [Reserved]
(ii) The agency need not provide indi-
vidually prescribed devices, readers for § 500.170 Compliance procedures.
personal use or study, or other devices (a) Except as provided in paragraph
of a personal nature. (b) of this section, this section applies
(2) Where the agency communicates to all allegations of discrimination on
with applicants and beneficiaries by the basis of handicap in programs or

telephone, telecommunication devices activities conducted by the agency.
93
§§ 500.171–500.999 1 CFR Ch. IV (1–1–19 Edition)
(b) The agency shall process com- complainant of the results of the inves-
plaints alleging violations of section tigation in a letter containing—
504 with respect to employment accord- (1) Findings of fact and conclusions
ing to the procedures established by of law;
the Equal Employment Opportunity (2) A description of a remedy for each
Commission in 29 CFR part 1613 pursu- violation found; and
ant to section 501 of the Rehabilitation (3) A notice of the right to appeal.
Act of 1973 (29 U.S.C. 791). (h) Appeals of the findings of fact and
(c) The Director shall be responsible conclusions of law or remedies must be
for coordinating implementation of filed by the complainant within 90 days
this section. Complaints may be sent of receipt from the agency of the letter
to Director, National Commission for required by § 500.170(g). The agency
Employment Policy, Suite 300, 1522 K may extend this time for good cause.
Street NW., Washington, DC 20005. (i) Timely appeals shall be accepted
(d) The agency shall accept and in- and processed by the head of the agen-
vestigate all complete complaints for cy.
which it has jurisdiction. All complete
(j) The head of the agency shall no-
complaints must be filed within 180
tify the complainant of the results of
days of the alleged act of discrimina-
the appeal within 60 days of the receipt
tion. The agency may extend this time
of the request. If the head of the agen-
period for good cause.
cy determines that additional informa-
(e) If the agency receives a complaint
tion is needed from the complainant,
over which it does not have jurisdic-
he or she shall have 60 days from the
tion, it shall promptly notify the com-
plainant and shall make reasonable ef- date of receipt of the additional infor-
forts to refer the complaint to the ap- mation to make his or her determina-
propriate government entity. tion on the appeal.
(f) The agency shall notify the Archi- (k) The time limits cited in para-
tectural and Transportation Barriers graphs (g) and (j) of this section may be
Compliance Board upon receipt of any extended with the permission of the
complaint alleging that a building or Assistant Attorney General.
facility that is subject to the Architec- (l) The agency may delegate its au-
tural Barriers Act of 1968, as amended thority for conducting complaint in-
(42 U.S.C. 4151–4157), or section 502 of vestigations to other Federal agencies,
the Rehabilitation Act of 1973, as except that the authority for making
amended (29 U.S.C. 792), is not readily the final determination may not be
accessible to and usable by handi- delegated to another agency.
capped persons. [51 FR 22888, 22896, June 23, 1986, as amended
(g) Within 180 days of the receipt of a at 51 FR 22888, June 23, 1986]
complete complaint for which it has ju-
risdiction, the agency shall notify the §§ 500.171–500.999 [Reserved]
CHAPTER V [RESERVED]
94
CHAPTER VI—NATIONAL CAPITAL PLANNING
COMMISSION
Part Page
600 [Reserved]
601 Implementation of the National Environmental
Policy Act ............................................................ 97
602 National Capital Planning Commission Freedom of
Information Act regulations ................................ 113
603 Privacy Act regulations .......................................... 124
95
PART 600 [RESERVED] 601.23 The Environmental Impact State-
ment process.
601.24 Final Environmental Impact State-
PART 601—IMPLEMENTATION OF ment.
THE NATIONAL ENVIRONMENTAL 601.25 Record of Decision.
POLICY ACT 601.26 Supplemental Environmental Impact
Statement.
601.27 Legislative Environmental Impact
Subpart A—General Statement.
Sec.
601.1 Purpose.
Subpart G—Dispute Resolution
601.2 Policies. 601.28 Dispute resolution.
601.3 Definitions. 601.29 [Reserved]
Subpart B—Lead and Cooperating AUTHORITY: 42 U.S.C. 4371; 40 CFR 1507.3
Agencies SOURCE: 82 FR 45424, Sept. 29, 2017; 82 FR
48609, Oct. 19, 2017, unless otherwise noted.
601.4 Designation of Lead Agency.
601.5 Lead Agency obligations.
601.6 Resolving disputes over Lead Agency Subpart A—General
status.
601.7 Cooperating Agencies. § 601.1 Purpose.
This part establishes rules that sup-
Subpart C—NEPA Submission Schedules plement the Council on Environmental
601.8 NEPA submission schedule for applica- Quality’s (CEQ) National Environ-
tions governed by the National Capital mental Policy Act (NEPA) regulations
Planning Act. that the National Capital Planning
601.9 NEPA submission schedule for applica- Commission (NCPC or Commission)
tions governed by the Commemorative and its applicants shall follow to en-
Works Act.
sure:
Subpart D—Initiating the NEPA Process (a) Compliance with NEPA, as
amended (42 U.S.C. 4321 et seq.) and CEQ
601.10 Characteristics of Commission ac- regulations for implementing the pro-
tions eligible for a Categorical Exclu- cedural provisions of NEPA (40 CFR
sion. parts 1501 through 1508).
601.11 Extraordinary Circumstances.
(b) Compliance with other laws, regu-
601.12 National Capital Planning Commis-
sion Categorical Exclusions. lations, and Executive Orders identi-
fied by NCPC as applicable to a par-
Subpart E—Environmental Assessments ticular application.
601.13 Characteristics of Commission ac- § 601.2 Policies.
tions eligible for an Environmental As-
sessment.
Consistent with 40 CFR 1500.1 and
601.14 Commission actions generally eligi- 1500.2, it shall be the policy of the
ble for an Environmental Assessment. NCPC to:
601.15 Process for preparing an Environ- (a) Comply with the procedures and
mental Assessment. policies of NEPA and other related
601.16 Finding of No Significant Impact. laws, regulations, and orders applicable
601.17 Supplemental Environmental Assess- to Commission actions.
ments. (b) Provide applicants sufficient
Subpart F—Environmental Impact guidance to ensure plans and projects
Statements comply with the rules of this part and
other laws, regulations, and orders ap-
601.18 Requirement for and timing of an En- plicable to Commission actions.
vironmental Impact Statement. (c) Integrate NEPA into its decision-
601.19 Context, intensity, and significance making process at the earliest possible
of impacts. stage.
601.20 Streamlining Environmental Impact
(d) Integrate the requirements of
Statements.
601.21 Programmatic Environmental Impact NEPA and other planning and environ-
mental reviews required by law includ-
Statements and tiering.

601.22 Contents of an Environmental Impact ing, without limitation, the National
Statement. Historic Preservation Act, 54 U.S.C.
97
§ 601.3 1 CFR Ch. VI (1–1–19 Edition)
306108 (NHPA), to ensure all such pro- quirements for the location and devel-
cedures run concurrently. opment of new memorials and monu-
(e) Use the NEPA process to identify ments on land under the jurisdiction of
and assess the reasonable alternatives the National Park Service (NPS) or the
to proposed actions that will avoid or General Services Administration (GSA)
minimize adverse effects on the quality in the District of Columbia and its En-
of the human environment in the Na- virons.
tional Capital Region. Commission means the National Cap-
(f) Use all practicable means to pro- ital Planning Commission created by 40
tect, restore, and enhance the quality U.S.C. 8711.
of the human environment including Comprehensive Plan means The Com-
the built and socioeconomic environ- prehensive Plan for the National Cap-
ments and historic properties within ital: Federal Elements prepared and
the National Capital Region. adopted by the Commission pursuant
(g) Streamline the NEPA process and to 40 U.S.C. 8721(a).
Environmental Impact Statements Cooperating Agency means, as defined
(EIS) to the maximum extent possible. in 40 CFR 1508.5, any Federal Agency
(h) Use the NEPA process to assure other than a Lead Agency that has ju-
orderly and effective NCPC decision- risdiction by law or special expertise
making and to foster meaningful pub- with respect to a proposal (or reason-
lic involvement in NCPC’s decisions. able alternative) for legislation or
other major action significantly affect-
§ 601.3 Definitions. ing the quality of the human environ-
For purposes of this part, the fol- ment; a state or local agency of similar
lowing definitions shall apply: qualifications; or when the effects are
Administrative Record means a com- on a reservation, an Indian Tribe when
pilation of all materials (written and agreed to by the Lead Agency.
electronic) that were before the agency Cumulative impact means, as defined
at the time it made its final decision. in 40 CFR 1508.7, the impact on the en-
An Administrative Record documents vironment that results from the incre-
an agency’s decision-making process mental impact of an action when added
and the basis for the decision. to other past, present, and reasonably
Categorical Exclusion or CATEX foreseeable future actions regardless of
means, as defined by 40 CFR 1508.4, a what agency (Federal or Non-Federal)
category of actions which do not indi- or person undertakes such other ac-
vidually or cumulatively have a sig- tions. Cumulative impacts can result
nificant effect on the human environ- from individually minor, but collec-
ment except under Extraordinary Cir- tively significant, actions taking place
cumstances and which have been found over a period of time.
to have no such effect in procedures Emergency Circumstances means a sud-
adopted by a Federal Agency (NCPC) in den and serious occurrence or situation
implementation of CEQ’s regulations requiring immediate attention to pro-
and for which, therefore, neither an tect the lives and safety of the public
Environmental Assessment (EA) nor an and protect property and ecological re-
EIS is required. sources and functions from imminent
Central Area means the geographic harm.
area in the District of Columbia com- Environmental Assessment or EA
prised of the Shaw School and Down- means, as defined in 40 CFR 1508.9, a
town Urban Renewal Areas or such concise document for which a Federal
other area as the District of Columbia Agency is responsible that serves to
and NCPC shall subsequently jointly briefly provide sufficient evidence and
determine. analysis for determining whether to
Chairman means the Chairman of the prepare an EIS or a FONSI; aid an
National Capital Planning Commission agency’s compliance with NEPA when
appointed by the President, pursuant no EIS is necessary; facilitate prepara-
to 40 U.S.C. 8711(c). tion of an EIS when one is necessary;
Commemorative Works Act or CWA and includes a brief discussion of the
means the Federal law codified at 40 need for the proposal, alternatives as
U.S.C. 8901 et seq. that sets forth the re- required by section 102(2)(E) of NEPA,
98
National Capital Planning Commission § 601.3
the environmental impacts of the pro- Memorandum of Agreement or MOA

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

bility for preparing an EA or an EIS. counties listed.
99
§ 601.4 1 CFR Ch. VI (1–1–19 Edition)
Non-Federal Agency for purposes of Record of Decision or ROD means a

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

view utilizes a tiering approach. referenced in the master plan.
100
(b) NCPC shall serve as Lead Agency (i) Keep them informed on the project
and prepare an EA or an EIS for: schedule and substantive matters; and
(1) An application submitted by a (ii) Allow them an opportunity to re-
Non-Federal Agency that requires view and comment within reasonable
Commission approval; time frames on, without limitation,
(2) An application submitted by a Public Scoping notices; technical re-
Non-Federal Agency for action on a ports; public materials (including re-
master plan that includes future sponses to comments received from the
projects that require Commission ap- public); potential Mitigation measures;
proval; provided that: the draft EA or EIS; and the draft
(i) The Non-Federal Agency applicant FONSI or ROD.
intends to submit individual projects (7) Prepare the appropriate Environ-
covered by the master plan to the Com- mental Document consistent with the
mission within five years of the date of applicant’s NEPA regulations, the re-
Commission action on the master plan; quirements of this part, and CEQ regu-
and lations. If the Lead Agency applies a
(ii) The Non-Federal Agency appli- CATEX and NCPC as Cooperating
cant intends to use the master plan EA Agency does not have a corresponding
or EIS to satisfy its NEPA obligation CATEX that it can apply, the Lead
for a specific project referenced in the Agency shall prepare an EA to satisfy
master plan; and NCPC’s NEPA requirement.
(3) An application for approval of (8) Determine in its Environmental
land acquisitions undertaken pursuant Document whether an action will have
to 40 U.S.C. 8731–8732. an adverse environmental impact or
would limit the choice of reasonable al-
§ 601.5 Lead Agency obligations. ternatives under 40 CFR 1505.1(e) and
(a) The obligations of a Federal take appropriate action to ensure that
Agency applicant designated as the the objectives and procedures of NEPA
Lead Agency in accordance with are achieved.
§ 601.4(a) shall include, without limita- (9) Prepare, make available for public
tion, the following: review, and issue a FONSI or ROD.
(1) Act as Lead Agency as defined in (10) Ensure that the draft and final
40 CFR 1501.5 for the NEPA process. EIS comply with the requirements of 40
(2) Integrate other environmental re- CFR 1506.5(c) and include a disclosure
views and other applicable regulatory statement executed by any contractor
requirements to include, without limi- (or subcontractor) under contract to
tation, Section 106 of the NHPA. prepare the EIS document and that the
(3) Allow NCPC, to participate as a disclosure appears as an appendix to
Co-lead or Cooperating Agency, as ap- the EIS.
propriate, and consult with Commis- (11) Compile, maintain, and produce
sion staff as early as possible in the the Administrative Record.
planning process to obtain guidance (12) Provide periodic reports on im-
with respect to the goals, objectives, plementation of Mitigation measures
standards, purpose, need, and alter- to NCPC and other Cooperating Parties
natives for the NEPA analysis. consistent with a schedule established
(4) Invite affected Federal, state, re- in the Environmental Document. All
gional and local agencies to participate such reports shall be posted on NCPC’s
as a Cooperating Agency in the NEPA Web site.
process. (13) For an application that has yet
(5) Consult with the affected agencies to obtain final Commission approval,
as early as possible in the planning re-evaluate and update Environmental
process to obtain guidance on the Documents that are five or more years
goals, objectives, standards, purpose, old as measured from the time of their
need, and alternatives for the NEPA adoption when either or both of the fol-
analysis. lowing criteria apply:
(6) Work with Cooperating Agencies (i) There are substantial changes to
and stakeholders in the following man- the proposed action that are relevant
ner: to environmental concerns.
101
§ 601.6 1 CFR Ch. VI (1–1–19 Edition)
(ii) There are significant new cir- § 601.6 Resolving disputes over Lead
cumstances or information that are Agency status.
relevant to environmental concerns (a) In the event of a dispute with a
and have a bearing on the proposed ac- Federal Agency applicant over Co-Lead
tion or its impacts. Agency status, the parties shall use
(14) Consult with NCPC on the out- their best efforts to cooperatively re-
come of the re-evaluation of its Envi- solve disputes at the working levels of
ronmental Document; provided that if their respective agencies and, if nec-
NCPC disagrees with the Lead Agen- essary, by elevating such disputes
cy’s conclusion on the need to update within their respective agencies.
its Environmental Document, NCPC (b) If internal resolution at higher
may, at its sole discretion, either pre- agency levels proves unsuccessful, at
pare its own Environmental Document NCPC’s sole discretion, one of the fol-
or decline to consider the application. lowing actions shall be pursued: The
(b) When NCPC serves as Lead Agen- parties shall request CEQ’s determina-
cy in accordance with § 601.4(b), in addition on which agency shall serve as
tion to the obligations listed in para- Lead, or NCPC shall prepare its own
graphs (a)(1) through (14) of this sec- Environmental Document, or NCPC
tion, NCPC shall: shall decline to take action on the un-
derlying application.
(1) Require Non-Federal Agency ap-
(c) Disputes other than those relating
plicants other than the District of Co-
to the designation of Lead Agency sta-
lumbia and the Maryland National
tus or Cooperating Agency status as
Capital Parks and Planning Commis- described in § 601.7(b), shall be governed
sion to enter into a MOA with NCPC. by the requirements of subpart G of
In the MOA, and in subsequent imple- this part.
mentation thereof, the Non-Federal
Agency shall commit to providing all § 601.7 Cooperating Agencies.
necessary assistance to facilitate and
(a) When a Federal Agency applicant
ensure NCPC’s compliance with its serves as the Lead Agency, NCPC shall
NEPA obligation. act as a Cooperating Agency. As a Co-
(2) The MOA may be prepared as a operating Agency, NCPC shall, without
programmatic MOA that addresses a limitation, undertake the following:
uniform approach for the treatment of (1) Act as a Cooperating Agency as
all applications from a particular Non- described in 40 CFR 1501.6.
Federal Agency applicant or address a (2) Assist in the preparation of and
specific Non-Federal Agency applica- sign a MOA with terms agreeable to
tion. The request to enter into a NCPC if requested by the Lead Agency.
project specific MOA shall be made At the Lead Agency’s discretion, the
after a determination is made as to the MOA may be prepared as a pro-
inability to utilize a CATEX. grammatic MOA that addresses a uni-
(3) A MOA with a Non-Federal Agen- form approach for the treatment of all
cy shall specify, without limitation, applications where NCPC serves as a
roles and responsibilities; project infor- Cooperating Agency or address a spe-
mation necessary to prepare the proper cific application. The request to enter
Environmental Document; project into a project specific MOA shall be
timelines and submission schedules; made after a determination is made by
the submission of periodic reports on the Lead Agency on the inability to
implementation of Mitigation meas- utilize a CATEX.
ures, principal contacts and contact in- (3) Participate in the NEPA process
formation; and a mechanism for resolv- by providing comprehensive, timely re-
views of and comments on key NEPA
ing disputes.
materials including, without limita-
(4) Upon adoption of the MOA, NCPC
tion, Public Scoping notices; technical
shall publish the MOA in the FEDERAL reports; documents (including re-
REGISTER and post it on NCPC’s Web sponses to comments received from the
site. public); the draft and final EA or EIS;

and the Draft FONSI or ROD.
102
(4) Supply available data, assessing subsequent Commission approval;

ments, and other information that may provided that:
be helpful in the preparation of the En- (i) The applicant intends to submit
vironmental Document or the Adminis- individual projects depicted in the
trative Record in a timely manner. master plan to the Commission within
(5) Make an independent evaluation five years of the date of Commission
of the Federal Agency applicant’s Envi- action on the master plan; and
ronmental Document and take respon- (ii) The applicant intends to use the
sibility for the scope and contents of master plan EA or EIS to satisfy its
the EIS or EA when it is sufficient as NEPA obligation for specific projects
required by 40 CFR 1506.5. referenced in the master plan.
(6) Prepare and, following Commis- (b) Timing of NEPA compliance. When
sion final approval of an application, Federal Agency and Non-Federal Agen-
sign a FONSI or ROD. Alternatively, if cy applicants submit projects of the
NCPC concurs with the contents of a type described in paragraph (a) of this
Federal Agency’s FONSI or ROD, NCPC section, the Federal Agency applicant
may co-sign the Federal Agency’s doc- or NCPC for a Non-Federal agency ap-
ument following the Commission’s plication shall submit the requisite En-
final approval of an application if co- vironmental Documentation timed to
signing is consistent with the Federal coincide with the Commission’s review
Agency’s NEPA regulations. stages as set forth in paragraphs (c)
(7) Provide documentation requested through (f) of this section.
and needed by the Lead Agency for the (c) Concept review. The NEPA Public
Administrative Record. Scoping process shall have been initi-
(b) In the event a Federal Agency ap- ated by the Federal Agency applicant
plicant fails to allow NCPC to partici- or NCPC for a Non-Federal Agency ap-
pate in a meaningful manner as a Co- plication before the applicant submits
operating Agency, the parties shall an application for concept review. Al-
agree to use their best efforts to coop- ternatively, if the Federal Agency ap-
eratively resolve the issue at the work- plicant or NCPC is contemplating use
ing levels of their respective agencies, of a CATEX, the initiation of the Pub-
and, if necessary, by elevating the lic Scoping process may be deferred
issue within their respective agencies. until the final decision on use of a
If internal resolution at higher agency CATEX is made. Any NEPA informa-
levels is unsuccessful, the parties may tion available at the time of concept
agree to seek mediation. Alternatively, review shall be submitted by the Fed-
NCPC may prepare its own Environ- eral Agency applicant or NCPC for a
mental Document either as a stand- Non-Federal Agency application to fa-
alone document or a supplement to the cilitate effective Commission concept
Federal Agency applicant’s Environ- review.
mental Document or take no action on
(d) Preliminary review. A Draft Envi-
the underlying application.
ronmental Document shall be issued or
published before the applicant submits
Subpart C—NEPA Submission an application for preliminary review.
Schedules The NEPA information shall be pro-
vided to the Commission to facilitate
§ 601.8 NEPA submission schedule for the Commission’s preliminary review
applications governed by the Na- and the provision of meaningful Com-
tional Capital Planning Act.
mission comments and direction.
(a) NEPA compliance requirements. (e) Final review. (1) At the time a
Federal Agency applicants, and NCPC Non-Federal Agency submits an appli-
for non-Federal Agency applications, cation for final approval, the deter-
shall comply with NEPA for the fol- mination (FONSI or ROD) resulting
lowing types of projects: from the Environmental Document
(1) Projects requiring Commission shall be submitted by NCPC in a form
approval; and consistent with the rules of this part.
(2) Master plans requiring Commis- At the time a Federal Agency appli-
sion action with future projects requir- cant submits an application to the
103
§ 601.9 1 CFR Ch. VI (1–1–19 Edition)
Commission for final review, the Fed- EA consistent with CEQ guidance. At
eral Agency applicant shall submit a the earliest opportunity, the Commis-
determination (FONSI or ROD) in a sion shall grant approval for the EA.
form consistent with the applicant’s (ii) Where Emergency Circumstances
NEPA regulations. As a Cooperating make it necessary for the Commission
Agency, NCPC may co-sign the Federal to take an action with significant envi-
Agency’s FONSI or ROD following final ronmental impact without observing
Commission approval if co-signing is the provisions of these regulations,
consistent with the Federal Agency’s NCPC shall consult with CEQ about al-
NEPA regulations. Alternatively, ternative arrangements. NCPC will
NCPC may prepare and sign its own limit such arrangements to actions
independent document in accordance necessary to control the immediate im-
with the requirements of §§ 601.16(a) or pacts of the emergency. Other actions
601.25(a) through (c). remain subject to NEPA review.
(2) If at the time of final review, the
Commission denies a Federal Agency § 601.9 NEPA submission schedule for
applicant’s project and requests applications governed by the Com-
changes thereto, the Federal Agency memorative Works Act.
applicant shall proceed in a manner (a) Timing of NEPA compliance. When,
consistent with applicable law. The pursuant to the Commemorative Works
Federal Agency applicant may pursue, Act, the National Park Service (NPS)
among others, the option of revising or the General Services Administration
the project in a manner responsive to (GSA) submits an application to the
the Commission’s comments. If the Commission for approval of a site and
Federal Agency pursues this option, it design for a commemorative work,
shall review and consider the need for NPS or GSA shall be required to com-
possible changes to its Environmental ply with NEPA and submit the NEPA
Document and its FONSI or ROD. Upon documentation timed to coincide with
resubmission of a revised application the Commission’s review stages as set
for final review, the applicant shall forth in paragraphs (b) through (e) of
submit a revised Environmental Docu- this section.
ment and a revised FONSI or ROD if in (b) Concept site review. (1) The NEPA
its judgement revised documents are Scoping Process shall have been initi-
necessary. If NCPC and the applicant ated by NPS or GSA before the appro-
disagree regarding the need for a re- priate agency submits an application
vised Environmental Document and to the Commission for concept site re-
FONSI or ROD, the parties shall work view. Available NEPA documentation
together to resolve their differences. for all concept sites shall be included
The final decision regarding the need in the application to facilitate effec-
for a revised Environmental Document tive Commission concept review.
and a revised FONSI or ROD shall be (2) The Commission shall provide
made by the Commission’s Executive comments to NPS or GSA on the mul-
Committee. tiple sites to assist the applicant in se-
(f) Deviations from the submission lecting a preferred site.
schedule for Emergency Circumstances. (c) Concept design review for preferred
(1) This paragraph (f) applies when the sites. (1) The NEPA Public Scoping
following three conditions exist: NCPC Process shall have been initiated be-
is the Lead Agency; Emergency Cir- fore NPS or GSA submits an applica-
cumstances exist; and an Extraor- tion to the Commission for concept de-
dinary Circumstance as set forth in sign review. Available NEPA docu-
§ 601.11 is present that precludes use of mentation shall be included in the ap-
a CATEX. plication to facilitate effective Com-
(2) When the three conditions de- mission concept review.
scribed above exist, NCPC shall under- (2) The Commission shall provide
take one of the following actions: comments to NPS or GSA on the pre-
(i) When Emergency Circumstances ferred site(s) and the concept designs
render it necessary to take an action for each site to facilitate selection of a
that requires an EA, the Executive Di- preferred site and refinement of the
rector shall prepare a concise, focused memorial design for that site. The
104
Commission may establish guidelines possible changes to its Environmental

for the applicant to follow in preparing Document and its FONSI or ROD. Upon
its preliminary and final commemora- resubmission of a revised application
tive work design to avoid, minimize or for final review, the applicant shall
mitigate environmental impacts in- submit a revised Environmental Docu-
cluding adverse effects on historic ment and a revised FONSI or ROD if in
properties. If the Commission imposes its judgement revised documents are
guidelines to avoid, minimize or miti- necessary. If NCPC and the applicant
gate adverse impacts, the applicant disagree regarding the need for a re-
shall address the guidelines in its Envi- vised Environmental Document and
ronmental Document. FONSI or ROD, the parties shall work
(d) Preliminary site and design review. together to resolve their differences.
(1) NPS or GSA shall have issued or The final decision regarding the need
published its Draft Environmental Doc- for a revised Environmental Document
ument for the site selection process and a revised FONSI or ROD shall be
and the memorial design and shall have made by the Commission’s Executive
initiated the requisite public comment Committee.
period before the applicant submits an
application for preliminary site and de- Subpart D—Initiating the NEPA
sign approval. The NEPA information Process
shall be provided to the Commission to
facilitate the Commission’s prelimi- § 601.10 Characteristics of Commission
nary review and the provision of mean- actions eligible for a Categorical
ingful Commission comments and di- Exclusion.
rections. (a) A Categorical Exclusion is a type
(2) The Commission shall take an ac- of action that does not individually or
tion on the preliminary site and design cumulatively have a significant effect
and provide comments to the applicant on the human environment and which
on the preliminary design to assist the has been found to have no such effect
applicant’s preparation of a final de- by NCPC.
sign.
(b) Actions that generally qualify for
(e) Final site and design review. (1) At
application of a Categorical Exclusion
the time NPS or GSA submits an appli-
and do not require either an EA or an
cation to the Commission for final site
EIS exhibit the following characteris-
and design review, the determination
tics:
(FONSI or ROD) resulting from the En-
(1) Minimal or no effect on the
vironmental Document shall be sub-
human environment;
mitted by the applicant in a form con-
sistent with its NEPA regulations. As a (2) No significant change to existing
Cooperating Agency, NCPC may co- environmental conditions;
sign the applicant’s FONSI or ROD fol- (3) No significant cumulative envi-
lowing final Commission approval if ronmental impacts; and
co-signing is consistent with the appli- (4) Similarity to actions previously
cant’s NEPA regulations. Alter- assessed in an EA concluding in a
natively, NCPC may prepare and sign FONSI and monitored to confirm the
its own independent document in ac- FONSI.
cordance with the requirements of
§ 601.16(a) or § 601.25(a) through (c). § 601.11 Extraordinary Circumstances.
(2) If at the time of final review, the (a) Before applying a CATEX listed in
Commission denies the NPS or GSA § 601.12, the Executive Director shall
project and requests changes thereto, determine if a project or plan requires
the applicant shall proceed in a manner additional environmental review or
consistent with applicable law. The analysis due to the presence of Ex-
Federal Agency applicant may pursue, traordinary Circumstances. If any of
among others, the option of revising the Extraordinary Circumstances list-
the project in a manner responsive to ed in paragraphs (b)(1) through (11) of
the Commission’s comments. If the this section are present, the Executive
Federal Agency pursues this option, it Director shall not apply a CATEX and
shall review and consider the need for ensure that the proper Environmental
105
§ 601.12 1 CFR Ch. VI (1–1–19 Edition)
Document (EA or EIS) shall be pre- (8) A reasonable likelihood of a dis-

pared and made available to the Com- proportionately high and adverse effect
mission before the Commission takes on low income and minority popu-
action on the matter. lations.
(b) Extraordinary Circumstances (9) A reasonable likelihood of degrad-
that negate the application of a ing existing unsatisfactory environ-
CATEX include: mental conditions.
(1) A reasonable likelihood of signifi- (10) A reasonable likelihood of estab-
cant impact on public health or safety. lishing a precedent for future action or
(2) A reasonable likelihood of signifi- making a decision in principle about
cant environmental impacts on sen- future actions with potentially signifi-
sitive resources unless the impacts cant environmental effects.
have been or will be avoided, mini- (11) Any other circumstance that
mized, or mitigated to non-significant makes the action sufficiently unique in
levels through another process to in- its potential impacts on the human en-
clude, without limitation, Section 106 vironment that further environmental
of the NHPA. Environmentally sen- analysis and review is appropriate.
sitive resources include without limi- (c) The Executive Director shall in-
tation: clude in his/her EDR, or the docu-
(i) Proposed federally listed, threat- mentation of a delegated action, his/
ened or endangered species or their des- her decision to apply a Categorical Ex-
ignated critical habitats. clusion including consideration of pos-
(ii) Properties listed or eligible for sible Extraordinary Circumstances or
listing on the National Register of His- not apply a Categorical Exclusion be-
toric Places. cause of Extraordinary Circumstances.
(iii) Areas having special designation
or recognition based on Federal law or § 601.12 National Capital Planning
an Executive Order, to include without Commission Categorical Exclusions.
limitation, National Historic Land- (a) Commission actions that may be
marks, floodplains, wetlands, and Na- categorically excluded and normally do
tional Parks. not require either an EA or an EIS are
(iv) Cultural, scientific or historic re- listed in paragraphs (a)(1) through (13)
sources. of this section. An action not specifi-
(3) A reasonable likelihood of effects cally included in the list is not eligible
on the environment that are risky, for a Categorical Exclusion even if it
highly uncertain, or unique. appears to meet the general criteria
(4) A reasonable likelihood of vio- listed in § 601.10(b).
lating an Executive Order, or Federal, (1) Approval of the installation or
state or local law or requirements im- restoration of onsite primary or sec-
posed for the protection of the environ- ondary electrical distribution systems
ment. including minor solar panel arrays.
(5) A reasonable likelihood of causing (2) Approval of the installation or
a significant increase in surface trans- restoration of minor site elements,
portation congestion, disruption of such as but not limited to identifica-
mass transit, and interference with pe- tion signs, sidewalks, patios, fences,
destrian and bicycle movements. curbs, retaining walls, landscaping, and
(6) A reasonable likelihood of signifi- trail or stream improvements. Addi-
cantly degrading air quality or vio- tional features include water distribu-
lating air quality control standards tion lines and sewer lines which in-
under the Clean Air Act (42 U.S.C. 7401– volve work that is essentially replace-
7671q). ment in kind.
(7) A reasonable likelihood of signifi- (3) Approval of the installation or
cantly impacting water quality, public restoration of minor building elements,
water supply systems, or state or local such as, but not limited to windows,
water quality control standards under doors, roofs, building signs, and rooftop
the Clean Water Act (33 U.S.C. 1251 et equipment and green roofs.
seq.) and the Safe Drinking Act (42 (4) Adoption of a Federal Element of
U.S.C. 300f). the Comprehensive Plan or amendment
106
thereto or broad based policy or feasi- activities related to the routine and
bility plans prepared and adopted by continuing administration, manage-
the Commission in response to the ment, maintenance and operations of
Comprehensive Plan. the Commission or its facilities.
(5) Approval of the installation of (13) Adoption and issuance of rules,
communication antennae on Federal directives, official policies, guidelines,
buildings and co-location of commu- and publications or recommendations
nication antennae on Federal property of an educational, financial, informa-
consistent with GSA Bulletin FMR D– tional, legal, technical or procedural
242, Placement of Commercial Anten- nature.
nas on Federal Property. (b) The Executive Director shall in-
(6) Approval of Federal and District clude in his/her EDR, or the docu-
government agency proposals for new mentation of a delegated action, his/
construction, building expansion, or her decision to apply a Categorical Ex-
improvements to existing facilities, clusion and the rationale for this deci-
when all of the following apply: sion.
(i) The new structure and proposed
use are in compliance with local plan- Subpart E—Environmental
ning and zoning and any applicable
District of Columbia, state, or Federal
Assessments
requirements. § 601.13 Characteristics of Commission
(ii) The site and the scale of con- actions eligible for an Environ-
struction are consistent with those of mental Assessment.
existing adjacent or nearby buildings.
(a) An EA is a concise document with
(iii) The proposed use will not sub-
sufficient information and analysis to
stantially increase the number of
enable the Executive Director to deter-
motor vehicles in the vicinity of the fa-
mine whether to issue a FONSI or pre-
cility.
pare an EIS.
(iv) There is little to no evidence of
unresolved resource conflicts or com- (b) Commission actions that gen-
munity controversy related to environ- erally require an EA exhibit the fol-
mental concerns or other environ- lowing characteristics:
mental issues. (1) Minor but likely insignificant
(7) Approval of transfers of jurisdic- degradation of environmental quality;
tion pursuant to 40 U.S.C. 8124 that are (2) Minor but likely insignificant cu-
not anticipated to result in changes in mulative impact on environmental
land-use and that have no potential for quality; and
environmental impact. (3) Minor but likely insignificant im-
(8) Approval of a minor modification pact on protected resources.
to a General Development Plan appli-
cable to lands acquired pursuant to the § 601.14 Commission actions generally
eligible for an Environmental As-
Capper-Cramton Act, 46 Stat. 482 (1930), sessment.
as amended, when non-significant envi-
ronmental impacts are anticipated. Commission actions that typically
(9) Reorganization of NCPC. require preparation of an EA include
(10) Personnel actions, including, but without limitation:
not limited to, investigations; perform- (a) Approval of final plans for Fed-
ance reviews; award of personal service eral public buildings in the District of
contracts, promotions and awards; re- Columbia, and the provisions for open
ductions in force, reassignments and space in and around the same, pursuant
relocations; and employee supervision to 40 U.S.C. 8722(d) and D.C. Code 2–
and training. 1004(c).
(11) Legal activities including, but (b) Approval of final plans for Dis-
not limited to, legal advice and opin- trict of Columbia public buildings and
ions; litigation or other methods of dis- the open space around them within the
pute resolution; and procurement of Central Area pursuant to 40 U.S.C.
outside legal services. 8722(e) and D.C. Code 2–1004(d).
(12) Procurement of goods and serv- (c) Recommendations to a Federal or

ices, transactions, and other types of District of Columbia agency on any
107
§ 601.15 1 CFR Ch. VI (1–1–19 Edition)
master plan or master plan modifica- NCPC Web site (www.ncpc.gov). The
tion submitted to the Commission that NCPC, at its sole discretion, may de-
include proposed future projects that cline to circulate a draft EA for non-
require Commission approval pursuant controversial projects.
to 40 U.S.C. 8722(d)–(e) and D.C. Code 2–
1004(c)–(d) within a five-year time- § 601.16 Finding of No Significant Im-
frame. pact.
(d) Approval of a final site and design (a) If NCPC is the Lead Agency and
for a commemorative work authorized the final EA supports a FONSI, NCPC
under the Commemorative Works Act shall prepare and execute a FONSI. The
pursuant to 40 U.S.C. 8905.
FONSI shall be prepared following clo-
(e) Approval of transfers of jurisdic-
sure of the discretionary public com-
tion over properties within the District
of Columbia owned by the United ment period on a Draft EA, or if no
States or the District among or be- public comment period is deemed nec-
tween Federal and District authorities, essary, at the conclusion of the prepa-
pursuant to 40 U.S.C. 8124, unless such ration of an EA. The FONSI shall brief-
transfers met the criteria of ly state the reasons why the proposed
§ 601.12(a)(7). action will not have a significant effect
on the environment and include the EA
§ 601.15 Process for preparing an Envi- or a summary thereof, any Mitigation
ronmental Assessment. commitments, and a schedule for im-
An EA prepared by NCPC as the Lead plementing the Mitigation commit-
Agency for a project requiring Com- ments. The FONSI shall be signed fol-
mission approval shall comply with the lowing the Commission final approval
following requirements: of the applicant’s project.
(a) The EA shall include, without (b) If NCPC is not the Lead Agency,
limitation, a brief discussion of the it shall evaluate the adequacy of the
proposed action; the purpose and need Lead Agency’s FONSI. If NCPC deter-
for the proposed action; the environ- mines the FONSI to be adequate, NCPC
mental impacts of the proposed action; shall proceed as follows. If consistent
the environmental impacts of the al- with the Federal Agency’s NEPA regu-
ternatives considered; Mitigation
lations, NCPC may co-sign the Lead
measures, if necessary; and a list of
Agency’s FONSI following the Commis-
agencies and persons consulted in prep-
sion final approval of the application.
aration of the assessment.
(b) The NCPC shall involve to the ex- Alternatively, NCPC may prepare and
tent practicable applicants; Federal execute its own FONSI consistent with
and District of Columbia agencies; the the requirements of paragraph (a) of
public; and stakeholders in the prepa- this section and sign the FONSI fol-
ration of an EA. lowing the Commission’s final approval
(c) The NCPC, at the sole discretion of the project.
of the Executive Director, may under- (c) In certain limited circumstances
take Public Scoping for an action re- described in 40 CFR 1501.4(e)(2)(i) and
quiring an EA. The Public Scoping (ii), a FONSI prepared by NCPC shall
shall generally commence after be available for public review for thirty
issuance of a public notice in a media (30) days before NCPC makes it final
source with widespread circulation and determination. NCPC shall also publish
the NCPC Web site of NCPC’s intent to all FONSIs on its Web site seven (7)
prepare an EA. The notice shall include calendar days before the Commission
the date, time and location of the Pub- takes action on the underlying applica-
lic Scoping meeting. tion.
(d) The NCPC may solicit public re- (d) If the Commission determines a
view and comment of a Draft EA. The Lead Agency’s EA does not support a
public comment period generally shall
FONSI, either the Lead Agency shall
be thirty (30) calendar days. The public
prepare an EIS, or the Commission
comment period shall begin when the
Executive Director announces the shall not approve or consider further

availability of the Draft EA on the the underlying application.
108
§ 601.17 Supplemental Environmental of impacts imposed by the proposal. Se-

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

also determined based on the severity when there is uncertainty regarding
109
§ 601.22 1 CFR Ch. VI (1–1–19 Edition)
the timing, location and environmental mentally preferred alternative; and

impacts of subsequent implementing Mitigation measures not already in-
actions. At the time NCPC undertakes cluded in the proposed action.
a site or project specific action within (6) The identification of the affected
the parameters of the PEA or PEIS, environment. This section shall pro-
NCPC shall tier its Environmental vide a succinct description of the envi-
Document by summarizing information ronment to be affected by the proposed
in the PEIS or PEA, as applicable, and action and the alternatives considered.
concentrate on the issues applicable to This section shall include, if applica-
the specific action. ble, other activities in the area af-
(b) A PEIS or PEA prepared by NCPC fected by or related to the proposed ac-
shall be governed by the CEQ regulation.
tions and the rules of this part. (7) The identification of environ-
mental consequences. This section
§ 601.22 Contents of an Environmental shall focus on the environmental im-
Impact Statement. pacts of the alternatives including the
(a) When NCPC serves as Lead Agen- proposed action, any adverse environ-
cy for an EIS, the following informa- mental effects which cannot be avoided
tion shall be included in the EIS: should the proposal be implemented,
(1) A cover sheet. The cover sheet the relationship between short-term
shall be one-page and include a list of uses of the environment and the main-
responsible and Cooperating Agencies; tenance and enhancement of long-term
the title of the proposed action that is productivity, and any irreversible com-
the subject of the EIS; the name, ad- mitments of resources which would be
dress, and telephone number of the involved if the proposal is imple-
NCPC point of contact; the designation mented. The impacts shall be discussed
as to whether the statement is draft, in terms of direct, indirect and cumu-
final, or draft or final supplement; a lative effects and their significance, as
one paragraph abstract of the EIS; and well as any appropriate means to miti-
the date by which comments must be gate adverse impacts. The discussion
received. shall also include issues and impact
(2) A summary. The summary shall topics considered but dismissed to re-
accurately summarize the information veal non-impacted resources. Resource
presented in the EIS. The summary areas and issues requiring consider-
shall focus on the main conclusions, ation shall include those identified in
areas of controversy, and the issues to the scoping process, and, without limi-
be resolved. tation, the following:
(3) A table of contents. The table of (i) Possible conflicts between the pro-
contents shall allow a reader to quick- posed action and the land use plans,
ly locate subject matter in the EIS—ei- policies, or controls (local, state, or In-
ther by topic area and/or alternatives dian tribe) for the area concerned.
analyzed. (ii) Natural and biological resources
(4) The purpose and need. A state- including topography, hydrology, soils,
ment of the purpose of and need for the flora, fauna, floodplains, wetlands, and
action briefly stating the underlying endangered species.
purpose and need to which the agency (iii) Air quality.
is responding. (iv) Noise.
(5) The identification of alternatives (v) Water resources including waste-
including the proposed action. This water treatment and storm water man-
section shall provide a brief description agement.
and supporting documentation for all (vi) Utilities including energy re-
alternatives including the proposed ac- quirements and conservation.
tion; the no action alternative; all rea- (vii) Solid waste and hazardous waste
sonable alternatives including those generation/removal.
not within the jurisdiction of the agen- (viii) Community facilities.
cy; alternatives considered but elimi- (ix) Housing.
nated and the reason for their elimi- (x) Transportation network.
nation; the agency’s preferred alter- (xi) Socio-cultural and economic en-
native, if one exists; the environ- vironments.
110
(xii) Environmental Justice and the (b) To determine the scope of an EIS
requirements of Executive Order 12898 through a Public Scoping process,
(Federal Actions to Address Environ- NCPC shall proceed as follows:
mental Justice in Minority Popu- (1) Disseminate a NOI in accordance
lations). with 40 CFR 1501.7 and 1506.6.
(xiii) Urban quality and design of the (2) Publish a NOI in the FEDERAL
built environment including visual re- REGISTER and on NCPC’s Web site
sources and aesthetics. which shall begin the Public Scoping
(xiv) Historic and cultural resources process.
to include documentation of the results (3) Include the date, time, and loca-
of the Section 106 Consultation process. tion of a Public Scoping meeting in the
(xv) Public health and safety. NOI. The public meeting shall be an-
nounced at least thirty (30) calendar
(8) A list of preparers. This list shall
days in advance of its scheduled date.
include all pertinent organizations,
(4) Hold Public Scoping meeting(s) in
agencies, individuals, and government
facilities that are accessible to the dis-
representatives primarily responsible
abled; include translators if requested
for the preparation of the EIS and their
in advance; include signers or inter-
qualifications.
preters for the hearing impaired if re-
(9) An index. The index shall be quested in advance; and allow special
structured to reasonably assist the arrangements for consultation with af-
reader of the Draft or Final EIS in fected Indian tribes or other Native
identifying and locating major topic American groups who have environ-
areas or elements of the EIS informa- mental concerns that cannot be shared
tion. The level of detail of the index in a public forum.
shall provide sufficient focus on areas (5) Consider all comments received
of interest to any reader not just the during the announced comment period
most important topics. regarding the analysis of alternatives,
(10) An appendix. The appendix shall the affected environment, and identi-
consist of material prepared in connec- fication of potential impacts.
tion with an EIS (as distinct from ma- (6) Apply the provisions of this sec-
terial which is incorporated by ref- tion to a Supplemental EIS if the Exec-
erence) and material which substan- utive Director of NCPC, in his/her sole
tiates any analysis fundamental to the discretion, determines a Public
EIS. The material in the appendix shall Scoping process is required for a Sup-
be analytical and relevant to the deci- plemental EIS.
sion to be made. The appendix shall be (c) A Draft EIS shall be available to
posted on NCPC’s Web site. the public for their review and com-
(b) [Reserved] ment, for a period of generally forty-
five (45) calendar days. The public com-
§ 601.23 The Environmental Impact ment period shall begin when NCPC
Statement process. shares a copy of the Draft EIS with
(a) The NCPC shall involve the appli- EPA in anticipation of EPA’s publica-
cant, Federal and District of Columbia tion of an NOA. The NCPC shall hold at
agencies, members of the public and least one public meeting during the
stakeholders in the preparation of an public comment period on a Draft EIS.
EIS. Public participation shall be re- The public meeting shall be announced
quired as part of the Public Scoping at least thirty (30) calendar days in ad-
process and review of the Draft EIS. vance of its scheduled occurrence. The
The NCPC shall also consult with agen- announcement shall identify the sub-
cies having jurisdiction by law or ex- ject of the Draft EIS and include the
pertise. Agencies with ‘‘jurisdiction by public meeting date, time, and loca-
law’’ are those with ultimate jurisdiction.
tion over a project and whose assist-
ance may be required on certain issues § 601.24 Final Environmental Impact
and those with other kinds of regu- Statement.
latory or advisory authority with re- (a) The NCPC shall prepare a Final
spect to the action or its effects on par- EIS following the public comment pe-
ticular environmental resources. riod and the public meeting(s) on the
111
§ 601.25 1 CFR Ch. VI (1–1–19 Edition)
Draft EIS. The Final EIS shall respond which NCPC serves as the Lead Agency
to oral and written comments received and its environmental effects in a pub-
during the Draft EIS public comment lic meeting of record as identified by
period. the Commission’s monthly agenda.
(b) The Commission shall take final (b) If NCPC is not the Lead Agency,
action on an application following a following the Commission final ap-
thirty (30) day Commission-sponsored proval of a project to which a ROD per-
review period of the Final EIS. The tains, and consistent with the Federal
thirty (30) day period shall start when Agency’s NEPA regulations, NCPC
the EPA publishes a NOA for the Final may take one of the following actions.
EIS in the FEDERAL REGISTER. It may either co-sign the Lead Agen-
cy’s ROD following Commission ap-
§ 601.25 Record of Decision. proval of the project if NCPC agrees
(a) If NCPC is the Lead Agency and with its contents and conclusions or it
decides to recommend approval of a shall prepare, sign, and sign and adopt
proposed action covered by an EIS, it its own ROD in accordance with the re-
shall prepare and sign a ROD stating quirements of paragraphs (a)(1)
the Commission’s decision and any through (3) of this section.
Mitigation measures required by the (c) If the Commission determines a
Commission. Lead Agency’s EIS fails to support a
(1) The ROD shall include among oth- ROD, the Lead Agency shall revise its
ers: EIS, or, alternatively, the Commission
(i) A statement of the decision. shall not approve or give any further
(ii) The identification of alternatives consideration to underlying applica-
considered in reaching a decision speci- tion.
fying the alternatives that were con-
sidered to be environmentally pref- § 601.26 Supplemental Environmental
erable. The ROD shall discuss pref- Impact Statement.
erences among alternatives based on (a) The NCPC shall prepare a supple-
relevant factors including economic mental EIS if five or more years has
and technical planning considerations elapsed since adoption of the EIS and:
and the Commission’s statutory mis- (1) There are substantial changes to
sion. The ROD shall identify those fac- the proposed action that are relevant
tors balanced to reach a decision and to environmental concerns; or
the influence of various factors on the (2) There are significant new cir-
decision. cumstances or information that are
(iii) A statement as to whether all relevant to environmental concerns
practicable means to avoid or minimize and have a bearing on the proposed ac-
environmental harm from the alter- tion or its impacts.
native selected has been adopted, and if (b) The NCPC may supplement a
not, why they are not. Draft or Final EIS at any time, to fur-
(iv) A monitoring and enforcement ther the purposes of NEPA.
program that summarizes Mitigation (c) The NCPC shall prepare, cir-
measures. culate, and file a supplement to a Draft
(v) Date of issuance. or Final EIS in in accordance with the
(vi) Signature of the Chairman. requirements of §§ 601.22 through 601.24
(2) The contents of the draft ROD except that Public Scoping is optional
proposed for Commission adoption for a supplemental EIS.
shall be summarized in the EDR and a (d) The NCPC shall prepare a ROD for
full version of the draft document shall a Supplemental EIS. The ROD’s con-
be included as an Appendix to the EDR. tents, the procedure for public review,
The Draft ROD, independently of the and the manner in which it shall be
EDR, shall be made available to the adopted shall be as set forth in § 601.25.
public for review fourteen (14) calendar
days prior to the Commission’s consid- § 601.27 Legislative Environmental Im-
eration of the proposed action for pact Statement.
which the EIS was prepared. (a) Consistent with 40 CFR1506.8, the
(3) The Commission shall arrive at its Executive Director shall prepare an
decision about the proposed action for EIS for draft legislation initiated by
112
NCPC for submission to Congress. The the NCPC under the Freedom of Infor-
EIS for the proposed legislation shall mation Act (FOIA), 5 U.S.C. 552, as
be included as part of the formal trans- amended. Requests made by a U.S. cit-
mittal of NCPC’s legislative proposal izen or an individual lawfully admitted
to Congress. for permanent residence to access his
(b) The requirements of this section or her own records under the Privacy
shall not apply to legislation Congress Act, 5 U.S.C. 522a are processed under
directs NCPC to prepare. this part and in accordance with part
603 of Title 1 of the Code of Federal
Subpart G—Dispute Resolution Regulations (CFR) to provide the
greatest degree of access while safe-
§ 601.28 Dispute resolution. guarding an individual’s personal pri-
Any disputes arising under this part, vacy. Information routinely provided
shall be resolved, unless otherwise oth- to the public as part of regular NCPC
erwise provided by law or regulation by activity shall be provided to the public
the parties through interagency, good without regard to this part.
faith negotiations starting at the
§ 602.2 Policy.
working levels of each agency, and if
necessary, by elevating such disputes (a) It is the NCPC’s policy to facili-
within the respective Agencies. If reso- tate the broadest possible availability
lution at higher levels is unsuccessful, and dissemination of information to
the parties may participate in medi- the public through use of the NCPC’s
ation. Web site, www.ncpc.gov, and physical
distribution of materials not available
§ 601.29 [Reserved] electronically. The NCPC staff shall be
available to assist the public in obtain-
PART 602—NATIONAL CAPITAL ing information formally by using the
PLANNING COMMISSION FREE- procedures herein or informally in a
DOM OF INFORMATION ACT manner not inconsistent with the rule
set forth in this part.
REGULATIONS (b) To the maximum extent possible,
the NCPC shall make available agency
Sec.
602.1 Purpose.
Records of interest to the public that
602.2 Policy. are appropriate for disclosure.
602.3 Definitions.
602.4 Information available without a FOIA § 602.3 Definitions.
Request. For purposes of this part, the fol-
602.5 FOIA Request requirements. lowing definitions shall apply:
602.6 FOIA response requirements. Act and FOIA mean the Freedom of
602.7 Multi-track processing.
602.8 Expedited processing.
Information Act, 5 U.S.C. 552, as
602.9 Consultations and referrals. amended.
602.10 Classified and Controlled Unclassified Adverse Determination or Determina-
Information. tion shall include a determination to
602.11 Confidential Commercial Informa- withhold, in whole or in part, Records
tion. requested in a FOIA Request; the fail-
602.12 Appeals of Adverse Determinations. ure to respond to all aspects of a Re-
602.13 Fees.
quest; the determination to deny a re-
602.14 Fee waiver requirements.
602.15 Preservation of FOIA records. quest for a Fee Waiver; or the deter-
mination to deny a request for expe-
AUTHORITY: 5 U.S.C. 552, as amended. dited processing. The term shall also
SOURCE: 82 FR 44037, Sept. 20, 2017, unless encompass a challenge to NCPC’s de-
otherwise noted. termination that Records have not
been described adequately, that there
§ 602.1 Purpose. are no responsive Records, or that an
This part contains the rules the Na- adequate Search has been conducted.
tional Capital Planning Commission Agency Record or Record means any
(NCPC or Commission) shall follow in documentary material which is either
processing third party Requests for created or obtained by a federal agency

Records concerning the activities of (Agency) in the transaction of Agency
113
§ 602.3 1 CFR Ch. VI (1–1–19 Edition)
business and under Agency control. include overhead expenses such as

Agency Records may include without costs of space, and heating or lighting
limitation books; papers; maps; charts; the facility in which the Records are
plats; plans; architectural drawings; stored.
photographs and microfilm; machine Duplication means the process of
readable materials such as magnetic making a copy of a document nec-
tape, computer disks and electronic essary to respond to a FOIA Request in
data storage devices; electronic records a form that is reasonably usable by a
including email messages; and audio- Requester. Copies can take the form of,
visual material such as still pictures, among others, paper copy, audio-visual
sound, and video recordings. This defi- materials, or machine readable docu-
nition generally does not cover records ments (i.e., computer disks or elec-
of Agency staff that are created and tronic data storage devices).
maintained primarily for a staff mem- Educational Institution means a pre-
ber’s convenience, exempt from Agency school, a public or private elementary
creation or retention requirements, or secondary school, an institution of
and withheld from distribution to undergraduate higher education, an in-
other Agency employees for their offi- stitution of graduate higher education,
cial use. an institution of professional edu-
Confidential Commercial Information cation, and an institution of vocational
means commercial or financial infor- education, which operates a program or
mation obtained by the NCPC from a programs of scholarly research. To be
Submitter that may be protected from classified in this category, a Requester
disclosure under Exemption 4 of the must show that the Request is author-
FOIA. Exemption 4 of the FOIA pro- ized by and is made under the auspices
tects trade secrets and commercial or of a qualifying institution and that the
financial information obtained from a records are not sought for a commer-
person which information is privileged cial use but are sought to further
or confidential. scholarly research.
Controlled Unclassified Information Expedited Processing means giving a
means unclassified information that FOIA Request priority because a Re-
does not meet the standards for Na- quester has shown a compelling need
tional Security Classification under for the Records.
Executive Order 13536, as amended, but Fee Waiver means a waiver in whole
is pertinent to the national interests of or in part of fees if a Requester can
the United States or to the important demonstrate that certain statutory re-
interests of entities outside the federal quirements are satisfied including that
government, and under law or policy the information is in the public inter-
requires protection from unauthorized est and is not requested primarily for
disclosure, special handling safeguards, commercial purposes.
or prescribed limits on exchange or dis- FOIA Public Liaison means an NCPC
semination. official who is responsible for assisting
Commercial Use Request means a FOIA in reducing delays, increasing trans-
Request from or on behalf of one who parency and understanding the status
seeks information for a use or purpose of Requests, and assisting in the reso-
that furthers the commercial, trade, or lution of disputes.
profit interests of the Requester or the FOIA Request or Request means a
person on whose behalf the Request is written Request made by an entity or
made. member of the public for an Agency
Direct Costs means those expenditures Record submitted via the U.S. Postal
that the NCPC incurs in searching for, Service mail or other delivery means
duplicating, and reviewing documents to include without limitation elec-
to respond to a FOIA Request. Direct tronic-mail (email) or facsimile.
Costs include, for example, the salary Frequently Requested Documents
of the employee performing the work means documents that have been Re-
(the basic rate of pay for the employee quested at least three times under the
plus 16 percent of the rate to cover ben- FOIA. It also includes documents the
efits) and the cost of operating dupli- NCPC anticipates would likely be the
cating machinery. Direct Costs do not subject of multiple Requests.
114
Multi-track Processing means placing purchase or subscription by the general

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

and make their products available for extent reasonably necessary to the
115
§ 602.4 1 CFR Ch. VI (1–1–19 Edition)
proper processing of a particular Re- (6) The Comprehensive Plan for the
quest: National Capital: Federal Elements
(1) The need to Search for and collect and other plans prepared by the NCPC;
the Requested Agency Records from es- (7) Federal Capital Improvements
tablishments that are separate from Plan for the National Capital Region
the Commission’s offices; following release of the President’s
(2) The need to Search for, collect Budget;
and appropriately examine and Review (8) Policies adopted by the Commis-
a voluminous amount of separate and sion;
distinct Agency Records which are de- (9) Correspondence between the Com-
manded in a single Request; or mission and the Congress, other federal
(3) The need for consultation with an- and local government agencies, and the
other Agency having a substantial in- public; and
terest in the determination of the (10) Frequently Requested Docu-
FOIA Request. ments.
Workday means a regular Federal
workday. It does not include Satur- § 602.5 FOIA Request requirements.
days, Sundays, and legal public holi- (a) The NCPC shall designate a Chief
days. Freedom of Information Act Officer
who shall be authorized to grant or
§ 602.4 Information available without a deny any Request for a Record of the
FOIA Request. NCPC.
(a) The NCPC shall maintain an elec- (b) Requests for a Record or Records
tronic library at www.ncpc.gov that that is/are not available in the actual
makes Reading Room Materials capa- or electronic reading rooms shall be di-
ble of production in electronic form rected to the Chief Freedom of Infor-
available for public inspection and mation Act Officer.
downloading. The NCPC shall also (c) All FOIA Requests shall be made
maintain an actual public reading in writing. If sent by U.S. mail, Re-
room containing Reading Room Mate- quests should be sent to NCPC’s official
rials incapable of production in elec- business address contained on the
tronic form at NCPC’s offices. The ac- NCPC Web site. If sent via email, they
tual reading room shall be available for should be directed to FOIA@ncpc.gov.
use on Workdays during the hours of To expedite internal handling of FOIA
9:00 a.m. to 4:00 p.m. Requests for ap- Requests, the words Freedom of Infor-
pointments to review Reading Room mation Act Request shall appear
Materials in the actual public reading prominently on the transmittal enve-
room should be directed to the NCPC’s lope or the subject line of a Request
Information Resources Specialist iden- sent via email or facsimile.
tified on the NCPC Web site (d) The FOIA Request shall:
(www.ncpc.gov). (1) State that the Request is made
(b) The following types of Records pursuant to the FOIA;
shall be available routinely without re- (2) Describe the Agency Record(s) Re-
sort to formal FOIA Request proce- quested in sufficient detail including,
dures unless such Records fall within without limitation, any specific infor-
one of the exemptions listed at 5 U.S.C. mation known such as date, title or
552(b) of the Act: name, author, recipient, or time frame
(1) Commission agendas; for which you are seeking Records, to
(2) Plans and supporting documenta- enable the NCPC personnel to locate
tion submitted by applicants to the the Requested Agency Records;
Commission to include environmental (3) State, pursuant to the fee sched-
and historic preservation reports pre- ule set forth in § 602.14, a willingness to
pared for a plan or project; pay all fees associated with the FOIA
(3) Executive Director’s Rec- Request or the maximum fee the Re-
ommendations; quester is willing to pay to obtain the
(4) Commission Memoranda of Ac- Requested Records, unless the Re-
tion; quester is seeking a Fee Waiver or
(5) Transcripts of Commission pro- placement in a certain Requester Cat-

ceedings; egory;
116
(4) State, if desired, the preferred notice shall set forth the reasons for
form or format of disclosure of Agency the extension and the date on which a
Records with which the NCPC shall en- determination is expected to be dis-
deavor to comply unless compliance patched. No such notice shall specify a
would damage or destroy an original date that would result in an extension
Agency Record or reproduction is cost- of more than 10 Working Days unless
ly and/or requires the acquisition of the agency affords the Requester an op-
new equipment; and portunity to modify his/her Request or
(5) Provide a phone number, email arranges an alternative timeframe
address or mailing address at which the with the Requester for completion of
Requester can be reached to facilitate the NCPC’s processing. The agency
the handling of the Request. shall also advise the Requester of his/
(e) If a FOIA Request is unclear, her right to seek assistance from the
overly broad, involves an extremely vo- FOIA Public Liaison or OGIS to resolve
luminous amount of Records or a bur- time limit disputes arising under this
densome Search, or fails to state a paragraph.
willingness to pay the requisite fees or (c) NCPC shall deny a Request based
the maximum fee which the Requester on an exemption contained in the FOIA
is willing to pay, the NCPC shall en- and withhold information from disclo-
deavor to contact the Requester to de- sure pursuant to an exemption only if
fine the subject matter, identify and NCPC reasonably foresees that disclo-
clarify the Records being sought, nar- sure would harm an interest protected
row the scope of the Request, and ob- by an exemption or if disclosure is pro-
tain assurances regarding payment of hibited by law. If a Request is denied
fees. The timeframe for a response set based on an exemption, NCPC’s re-
forth in § 602.6(a) shall be tolled sponse shall comply with the require-
(stopped temporarily) and the NCPC ments of paragraph (d) below.
will not begin processing a Request
(d) If a Request is denied in whole or
until the NCPC obtains the informa-
in part, the Chief FOIA Officer’s writ-
tion necessary to clarify the Request
ten determination shall include, if
and/or clarifies issues pertaining to the
technically feasible, the precise
fee.
(f) NCPC shall designate a FOIA Pub- amount of information withheld, and
lic Liaison to assist a Requester in the exemption under which it is being
making a Request or to assist a Re- withheld unless revealing the exemp-
quester in correcting a Request that tion would harm an interested pro-
does not reasonably describe the tected by the exemption. NCPC shall
Records sought or to correct other defi- release any portion of a withheld
ciencies described in paragraph (e) of Record that reasonably can be seg-
this section that necessitate follow-up regated from the exempt portion of the
with the Requester. Record.
§ 602.6 FOIA response requirements. § 602.7 Multi-track processing.

(a) The Freedom of Information Act The NCPC may use multiple tracks
Officer, upon receipt of a FOIA Request for processing FOIA Requests based on
made in compliance with these rules, the complexity of Requests and those
shall determine whether to grant or for which expedited processing is Re-
deny the Request. The Freedom of In- quested. Complexity shall be deter-
formation Officer shall notify the Re- mined based on the amount of work
quester in writing within 20 Workdays and/or time needed to process a Re-
of receipt of a perfected Request of his/ quest and/or the number of pages of re-
her determination and the reasons sponsive Records. If the NCPC utilizes
therefore and of the right to appeal any Multi-track Processing, it shall advise
Adverse Determination to the head of a Requester when a Request is placed
the NCPC. in a slower track of the limits associ-
(b) In cases involving Unusual Cir- ated with a faster track and afford the
cumstances, the agency may extend Requester the opportunity to limit the
the 20 Workday time limit by written scope of its Request to qualify for fast-
notice to the Requester. The written er processing.
117
§ 602.8 1 CFR Ch. VI (1–1–19 Edition)
§ 602.8 Expedited processing. quester of the decision in writing. If a

(a) The NCPC shall provide Expedited Request for Expedited Processing is
Processing of a FOIA Request if the granted, the Request shall be given pri-
person making the Request dem- ority and shall be processed in the ex-
onstrates that the Request involves: pedited processing track as fast as
(1) Circumstances in which the lack practicable. If a Request for Expedited
of expedited treatment could reason- Processing is denied, any appeal of that
ably be expected to pose an imminent decision shall be acted on expedi-
threat to the life or physical safety of tiously.
an individual; § 602.9 Consultations and referrals.
(2) An urgency to inform the public
about an actual or alleged federal gov- (a) If a Requester seeks a Record in
ernment activity, if made by a person which another agency of the Federal
primarily engaged in disseminating in- Government is better able to determine
formation; whether the record is exempt from dis-
(3) The loss of substantial due process closure under the FOIA, NCPC shall ei-
rights; or ther respond to the FOIA Request after
(4) A matter of widespread and excep- consultation with the Agency best able
tional media interest in which there to determine if the Requested
exists possible questions about the gov- Record(s) is/are subject to disclosure or
ernment’s integrity which affect public refer the responsibility for responding
confidence. to the FOIA Request to the Agency re-
(b) A Request for Expedited Proc- sponsible for originating the Record(s).
essing may be made at the time of the Generally, the Agency originating a
initial FOIA Request or at a later time. Record will be presumed by the NCPC
(c) A Requester seeking Expedited to be the Agency best qualified to
Processing must submit a detailed render a decision regarding disclosure
statement setting forth the basis for or exemption except for Agency
the Expedited Processing Request. The Records submitted to the NCPC pursu-
Requester must certify in the state- ant to its authority to review Agency
ment that the need for Expedited Proc- plans and/or projects.
essing is true and correct to the best of (b) Upon referral of Records to an-
his/her knowledge. To qualify for Expe- other Agency, the NCPC shall notify
dited Processing, a Requester relying the Requester in writing of the refer-
upon the category in paragraph (a)(2) ral, inform the Requester of the name
of this section must establish: of the Agency to which all or part of
(1) He/She is a full time Representa- the responsive records have been re-
tive of the News Media or primarily en- ferred, provide the Requester a descrip-
gaged in the occupation of information tion of the part of the Request referred,
dissemination, though it need not be and advise the Requester of a point of
his/her sole occupation; contact within the receiving Agency.
(2) A particular urgency to inform (c) The timeframe for a response to a
the public about the information FOIA Request requiring consultation
sought by the FOIA Request beyond or referral shall be based on the date
the public’s right to know about the the FOIA Request was initially re-
government activity generally; and ceived by the NCPC and not any later
(3) The information is of the type date.
that has value that will be lost if not
disseminated quickly such as a break- § 602.10 Classified and Controlled Un-
ing news story. Information of histor- classified Information.
ical interest only or information (a) For Requests for an Agency
sought for litigation or commercial ac- Record that has been classified or may
tivities will not qualify nor would a be appropriate for classification by an-
news media deadline unrelated to other Agency pursuant to an Executive
breaking news. Order concerning the classification of
(d) Within 10 calendar days of receipt Records, the NCPC shall refer the re-
of a Request for expedited processing, sponsibility for responding to the FOIA
the NCPC shall decide whether to grant Request to the Agency that either clas-
or deny the Request and notify the Re- sified the Record, should consider
118
classifying the Record, or has primary shall give the Submitter an oppor-
interest in the Record, as appropriate. tunity to object to disclosure of any
(b) Whenever a Request is made for a specified portion of that Confidential
Record that is designated Controlled Commercial Information pursuant to
Unclassified Information by another paragraph (e) of this section. The no-
Agency, the NCPC shall refer the FOIA tice shall either describe the Confiden-
Request to the Agency that designated tial Commercial Information Re-
the Record as Controlled Unclassified quested or include copies of the Re-
Information. Decisions to disclose or quested Records or portions thereof
withhold information designated as containing the Confidential Commer-
Controlled Unclassified Information cial Information. When notice to a
shall be made based on the applica- large number of Submitters is required,
bility of the statutory exemptions con- NCPC may provide notification by
tained in the FOIA, not on a Controlled posting or publishing the notice in a
Unclassified Information marking or place reasonably likely to accomplish
designation. the intent of the notice requirement
§ 602.11 Confidential Commercial In- such as a newspaper, newsletter, the
formation. NCPC Web site, or the FEDERAL REG-
ISTER.
(a) Confidential Commercial Informa-
(e) The NCPC shall allow a Submitter
tion obtained by the NCPC from a Sub-
a reasonable time to respond to the no-
mitter shall be disclosed under the
tice described in paragraph (d) of this
FOIA only in accordance with the re-
section and shall specify within the no-
quirements of this section.
tice the time period for response. If a
(b) A Submitter of Confidential Com-
Submitter has any objection to disclo-
mercial Information shall use good-
faith efforts to designate, by appro- sure, it shall submit a detailed written
priate markings, either at the time of statement. The statement must specify
submission or at a reasonable time all grounds for withholding any portion
thereafter, any portions of its submis- of the Confidential Commercial Infor-
sion that it considers to be protected mation under any exemption of the
from disclosure under Exemption 4 of FOIA and, in the case of Exemption 4,
the FOIA. These designations will ex- it must show why the Confidential
pire ten years after the date of the sub- Commercial Information is a trade se-
mission unless the Submitter requests, cret or commercial or financial infor-
and provides justification for, a longer mation that is privileged or confiden-
designation period. tial. If the Submitter fails to respond
(c) Notice shall be given to a Sub- to the notice within the specified time,
mitter of a FOIA Request for potential the NCPC shall consider this failure to
Confidential Commercial Information respond as no objection to disclosure of
if: the Confidential Commercial Informa-
(1) The requested information has tion on the part of the Submitter, and
been designated in good faith by the NCPC shall proceed to release the re-
Submitter as Confidential Commercial quested information. A statement pro-
Information eligible for protection vided by the Submitter that is not re-
from disclosure under Exemption 4 of ceived by NCPC until after the NCPC’s
the FOIA; or disclosure decision has been made shall
(2) The NCPC has reason to believe not be considered by the NCPC. Infor-
the requested information is Confiden- mation provided by a Submitter under
tial Commercial Information protected this paragraph may itself be subject to
from disclosure under Exemption 4 of disclosure under the FOIA.
the FOIA. (f) The NCPC shall consider a Sub-
(d) Subject to the requirements of mitter’s objections and specific
paragraphs (c) and (g) of this section, grounds for nondisclosure in deciding
the NCPC shall provide a Submitter whether to disclose Confidential Com-
with prompt written notice of a FOIA mercial Information. Whenever the
Request or administrative appeal that NCPC decides to disclose Confidential
seeks the Submitter’s Confidential Commercial Information over the ob-

Commercial Information. The notice jection of a Submitter, the NCPC shall
119
§ 602.12 1 CFR Ch. VI (1–1–19 Edition)
give the Submitter written notice, § 602.12 Appeals of Adverse Deter-

which shall include: minations.
(1) A statement of the reason(s) why (a) An appeal of an Adverse Deter-
each of the Submitter’s disclosure ob- mination shall be made in writing to
jections was not sustained; the Chairman of the Commission
(2) A description of the Confidential (Chairman). An appeal may be sub-
Commercial Information to be dis- mitted via U.S. mail or other type of
closed; and manual delivery service or via email or
(3) A specified disclosure date, which facsimile within 90 Workdays of the
shall be a reasonable time subsequent date of a notice of an Adverse Deter-
to the notice. mination. To facilitate handling of an
(g) The notice requirements of para- appeal, the words Freedom of Informa-
graphs (c) and (d) of this section shall tion Act Appeal shall appear promi-
not apply if: nently on the transmittal envelope or
(1) The NCPC determines that the the subject line of a Request sent via
Confidential Commercial Information electronic-mail or facsimile.
is exempt under FOIA; (b) An appeal of an Adverse Deter-
(2) The Confidential Commercial In- mination shall include a detailed state-
formation has been published lawfully ment of the legal, factual or other
or has been officially made available to basis for the Requester’s objections to
the public; an Adverse Determination; a daytime
phone number or email address where
(3) The Confidential Commercial In-
the Requester can be reached if the
formation’s disclosure is required by
NCPC requires additional information
statute (other than the FOIA) or by a or clarification regarding the appeal;
regulation issued in accordance with copies of the initial Request and the
the requirements of Executive Order NCPC’s written response; and for an
12600 (Predisclosure Notification Proce- Adverse Determination of a Request
dures for Confidential Commercial In- for Expedited Processing or a Fee
formation); or Waiver, a demonstration of compliance
(4) The designation made by the Sub- with the requirements of §§ 602.8(a) and
mitter under paragraph (b) of this sec- (c) or 602.15(a) through (c) respectively.
tion appears obviously frivolous in (c) The Chairman shall respond to an
which case the NCPC shall, within a appeal of an Adverse Determination in
reasonable time prior to a specified dis- writing within 20 Workdays of receipt.
closure date, give the Submitter writ- (1) If the Chairman grants the appeal,
ten notice of any final decision to dis- the Chairman shall notify the Re-
close the Confidential Commercial In- quester, and the NCPC shall make
formation. available copies of the Requested
(h) Whenever a Requester files a law- Records promptly thereafter upon re-
suit seeking to compel the disclosure ceipt of the appropriate fee determined
of Confidential Commercial Informa- in accordance with § 602.13.
tion, the NCPC shall promptly notify (2) If the Chairman denies the appeal
the Submitter. in whole or in part, the letter to the
(i) Whenever the NCPC provides a Requester shall state
Submitter with notice and an oppor- (i) The reason(s) for the denial, in-
tunity to object to disclosure under cluding the FOIA exemptions(s) ap-
paragraph (d) of this section, the NCPC plied;
shall also notify the Requester. When- (ii) A statement that the decision is
ever the NCPC notifies a Submitter of final;
its intent to disclose Requested Infor- (iii) A notice of the Requester’s right
mation under paragraph (f) of this sec- to seek judicial review of the denial in
tion, the NCPC shall also notify the the District Court of the United States
Requester. Whenever a Submitter files in either the locale in which the Re-
a lawsuit seeking to prevent the disclo- quester resides, the locale in which the
sure of Confidential Commercial Infor- Requester has his/her principal place of
mation, the NCPC shall notify the Re- business, or in the District of Colum-
quester. bia; and
120
(iv) A notice that the Requester may Staff Assistant (assigned at the GS 9–11
seek dispute resolution services from grades); Professional Personnel (as-
either the NCPC FOIA Public Liaison signed at the GS 11–13 grades); and
or the Office of Government Informa- Managerial Staff (assigned at the 14–15
tion Services (OGIS) to resolve dis- grades). For a Staff Assistant the quar-
putes between a Requester and the ter hour fee to Search for and retrieve
NCPC as a non-exclusive alternative to a Requested Record shall be $9.00. If a
litigation. Contact information for Search and retrieval cannot be per-
OGIS can be obtained from the OGIS formed entirely by a Staff Assistant,
Web site at ogis@nara.gov. and the identification of Records with-
(d) The NCPC shall not act on an ap- in the scope of a Request requires the
peal of an Adverse Determination if the use of Professional Personnel, the fee
underlying FOIA Request becomes the shall be $12.00 for each quarter hour of
subject of FOIA litigation. Search time spent by Professional Per-
(e) A party seeking court review of sonnel. If the time of Managerial Per-
an Adverse Determination must first sonnel is required, the fee shall be
appeal the decision under this section $18.00 for each quarter hour of Search
to NCPC. time spent by Managerial Personnel.
(3) For a computer Search of Records,
§ 602.13 Fees. Requesters shall be charged the Direct
(a) NCPC shall charge fees for proc- Costs of creating a computer program,
essing FOIA requests in accordance if necessary, and/or conducting the
with the provisions of this section and Search. Direct Costs for a computer
OMB Guidelines. Search shall include the cost that is di-
(b) For purposes of assessing fees, rectly attributable to the Search for
NCPC shall categorize Requesters into responsive Records and the costs of the
three categories: Commercial Use Re- operator’s salary for the time attrib-
questers; Noncommercial Scientific In- utable to the Search.
stitutions, Educational Institutions, (d) Duplication fees shall be charged
and News Media Requesters; and all to all Requesters, subject to the limita-
other Requesters. Different fees shall tions of paragraph (f)(5) of this section.
be charged depending upon the cat- For a paper photocopy of a Record (no
egory into which a Requester falls. If more than one copy of which shall be
fees apply, a Requesters may seek a fee supplied), the fee shall be 10 cents per
waiver in accordance with the require- page for single or double sided copies,
ments of § 602.15. 90 cents per page for 81⁄2 by 11 inch
(c) Search Fees shall be charged as color copies, and $1.50 per page for
follows: color copies up to 11 x 17 inches per
(1) NCPC shall not charge Search fees page. For copies produced by computer,
to Requests made by Educational Insti- and placed on an electronic data saving
tutions, Noncommercial Scientific In- device or provided as a printout, the
stitutions, or Representatives of the NCPC shall charge the Direct Costs, in-
New Media. NCPC shall charge Search cluding operator time, of producing the
fees to all other Requesters subject to copy. For other forms of Duplication,
the restrictions of paragraph (f)(5) of the NCPC shall charge the Direct Costs
this section even if NCPC fails to lo- of that Duplication.
cate any responsive Records or if the (e) Review fees shall be charged to
NCPC withholds Records located based only those Requesters who make a
on a FOIA exemption. Commercial Use Request. Review fees
(2) For each quarter hour spent by will be charged only for the NCPC ini-
personnel searching for Requested tial Review of a Record to determine
Records, including electronic searches whether an exemption applies to a par-
that do not require new programming, ticular Record or portion thereof. No
the Search fees shall be calculated charge will be made for Review at the
based on the average hourly General administrative appeal level for an ex-
Schedule (GS) base salary, plus the emption already applied. However,
District of Columbia locality payment, Records or portions thereof withheld
plus 16 percent for benefits of employ- under an exemption that is subse-

ees in the following three categories: quently determined not applicable
121
§ 602.13 1 CFR Ch. VI (1–1–19 Edition)
upon appeal may be reviewed again to and the first 100 pages of Duplication
determine whether any other exemp- (or the cost equivalent);
tion not previously considered applies. (7) Except for Requesters of a Com-
If the NCPC determines a different ex- mercial Use Request, no fee shall be
emption applies, the costs of that Re- charged for a Request if the total fee
view are chargeable. Review fees will calculated under this section equals
be charged at the same rates as those $50.00 or less.
charged for a Search under paragraph (8) Requesters other than those mak-
(c)(2) of this section. ing a Commercial Use Request shall
(f) The following limitations on fees not be charged a fee unless the total
shall apply: cost of a Search in excess of two hours
(1) If NCPC fails to comply with the plus the cost of Duplication in excess
time limits in which to respond to a re- of 100 pages totals more than $50.00.
quest, NCPC shall not charge Search (g) If the NCPC determines or esti-
fees or, in the case of Educational In- mates fees in excess of $50.00, the NCPC
stitutions, Noncommercial Scientific shall notify the Requester of the actual
Institutions, or Representatives of the or estimated amount of total fees, un-
News Media, duplication fees, except as less in its initial Request the Re-
described in paragraphs (f)(2)–(4) of this quester has indicated a willingness to
section. pay fees as high as those determined or
(2) If NCPC has determined that un- estimated. If only a portion of the fee
usual circumstances as defined by the can be estimated, the NCPC shall ad-
FOIA apply, and the agency provided vise the Requester that the estimated
timely written notice to the Requester fee constitutes only a portion of the
in accordance with the FOIA, a failure total fee. If the NCPC notifies a Re-
to comply with the time limit shall be quester that actual or estimated fees
excused for an additional 10 days. amount to more than $50.00, the Re-
(3) If NCPC determines that Unusual quest shall not be considered received
Circumstances exist, and more than for purposes of calculating the time-
5000 pages of responsive records are frame for a Response, and no further
necessary to respond to the Request, work shall be undertaken on the Re-
NCPC may charge Search fees. NCPC quest until the Requester agrees to pay
may also charge duplication fees in the the anticipated total fee. Any such
case of Educational Institutions, Non- agreement shall be memorialized in
commercial Scientific Institutions, or writing. A notice under this paragraph
Representatives of the News Media. shall offer the Requester an oppor-
The provisions of this paragraph shall tunity to work with the NCPC to refor-
only apply if NCPC provides timely mulate the Request to meet the Re-
written notice of the Unusual Cir- quester’s needs at a lower cost.
cumstances to the Requester and dis- (h) Apart from other provisions of
cusses with the Requester via mail, e- this section, if the Requester asks for,
mail or phone (or made at least three or the NCPC chooses as a matter of ad-
good faith efforts to do so) how to ef- ministrative discretion to provide a
fectively limit the scope of the Re- special service—such as certifying that
quest. Records are true copies or sending
(4) If a court has determined that ex- them by other than ordinary mail, the
ceptional circumstances exist, as de- actual costs of special service shall be
fined by the FOIA, a failure to comply charged.
with the time limits shall be excused (i) The NCPC shall charge interest on
for the length of time provided by the any unpaid fee starting on the 31st day
court order. following the date of billing the Re-
(5) No Search or Review fees shall be quester. Interest charges will be as-
charged for a quarter-hour period un- sessed at the rate provided in 31 U.S.C.
less more than half of that period is re- 3717 (Interest and Penalty on Claims)
quired for Search or Review. and will accrue from the date of the
(6) Except for Requesters of a Com- billing until payment is received by
mercial Use Request, the NCPC shall the NCPC. The NCPC shall follow the
provide without charge the first two provisions of the Debt Collection Act of
hours of Search (or the cost equivalent) 1982 (Pub. L. 97–365, 96 Stat. 1749), as
122
amended, and its administrative proce- (l) Where Records responsive to Re-
dures, including the use of consumer quests are maintained for distribution
reporting agencies, collection agencies, by Agencies operating statutorily
and offset. based fee schedule programs, the NCPC
(j) Where the NCPC reasonably be- shall inform Requesters of the steps for
lieves that one or more Requesters are obtaining Records from those sources
acting in concert to subdivide a Re- so that they may do so most economi-
quest into a series of Requests to avoid cally.
fees, the NCPC may aggregate the Re- (m) All fees shall be paid by personal
quests and charge accordingly. The check, money order or bank draft
NCPC shall presume that multiple Re- drawn on a bank of the United States,
quests of this type made within a 30- made payable to the order of the Treas-
day period have been made to avoid urer of the United States.
fees. Where Requests are separated by
a time period in excess of 30 days, the § 602.14 Fee waiver requirements.
NCPC shall aggregate the multiple Re- (a) Records responsive to a Request
quests if a solid basis exists for deter- shall be furnished without charge or at
mining aggregation is warranted under a reduced charge below that estab-
all circumstances involved. lished under § 602.13. If the Requester
(k) Advance payments shall be treat- demonstrates to the NCPC, and the
ed as follows: NCPC determines, based on all avail-
(1) For Requests other than those de- able information, that Disclosure of
scribed in paragraphs (k)(2) and (3) of the Requested information is in the
this section, the NCPC shall not re- public interest because it is likely to
quire an advance payment. An advance contribute significantly to public un-
payment refers to a payment made be- derstanding of the operations or activi-
fore work on a Request is begun or con- ties of the government, and disclosure
tinued after being stopped for any rea- of the information is not primarily in
son but does not extend to payment the commercial interest of the Re-
owed for work already completed but quester.
not sent to a Requester. (b) To determine if disclosure of the
(2) If the NCPC determines or esti- Requested information is in the public
mates a total fee under this section of interest because it is likely to con-
more than $250.00, it shall require an tribute significantly to public under-
advance payment of all or part of the standing of the operations or activities
anticipated fee before beginning to of the government, the Requester shall
process a Request, unless the Re- demonstrate, and NCPC shall consider,
quester provides satisfactory assurance the following factors:
of full payment or has a history of (1) Whether the subject of the Re-
prompt payment. quested Records concerns the oper-
(3) If a Requester previously failed to ations or activities of the government.
pay a properly charged FOIA fee to the The subject of the Requested Records
NCPC within 30 days of the date of bill- must concern identifiable operations or
ing, the NCPC shall require the Re- activities of the federal government,
quester to pay the full amount due, with a connection that is direct and
plus any applicable interest, and to clear, not remote or attenuated.
make an advance payment of the full (2) Whether the disclosure is likely to
amount of any anticipated fee, before contribute to an understanding of gov-
the NCPC begins to process a new Re- ernment operations or activities. The
quest or continues processing a pend- portions of the Requested Records eli-
ing Request from that Requester. gible for disclosure must be meaning-
(4) If the NCPC requires advance pay- fully informative about government
ment or payment due under paragraphs operations or activities. The disclosure
(k)(2) or (3) of this section, the Request of information that already is in the
shall not be considered received and no public domain, in either a duplicative
further work will be undertaken on the or a substantially identical form, is not
Request until the required payment is likely to contribute to an under-

received. standing of government operations and
123
§ 602.15 1 CFR Ch. VI (1–1–19 Edition)
activities because this information is tion is satisfied and that public inter-
already known. est is greater in magnitude than that
(3) Whether disclosure of the Re- of any identified commercial interest
quested information will contribute to in disclosure. The NCPC ordinarily
public understanding. The disclosure shall presume that a Representative of
must contribute to the understanding the News Media satisfies the public in-
of a reasonably broad audience of per- terest standard, and the public interest
sons interested in the subject, as op- will be the interest primarily served by
posed to the individual understanding disclosure to that Requester. Disclo-
of the Requester. A Requester’s exper- sure to data brokers or others who
tise in the subject area and ability and merely compile and market govern-
intention to effectively convey infor- ment information for direct economic
mation to the public shall be consid- return shall not be presumed to pri-
ered. It shall be presumed that a Rep- marily serve the public interest.
resentative of the News Media satisfies (d) Where only some of the Records
this consideration. to be released satisfy the requirements
(4) Whether the disclosure is likely to for a Fee Waiver, a Fee Waiver shall be
contribute significantly to public un- granted for those Records.
derstanding of government operations (e) Requests for a Fee Waiver should
or activities. The public’s under- address the factors listed in paragraphs
standing of the subject in question (a) through (c) of this section, insofar
must be enhanced by the disclosure to as they apply to each Request. The
a significant extent, as compared to NCPC shall exercise its discretion to
the level of public understanding exist- consider the cost-effectiveness of its
ing prior to the disclosure. The NCPC investment of administrative resources
shall not make value judgments about in this decision-making process in de-
whether information that would con- ciding to grant Fee Waivers.
tribute significantly to public under-
[82 FR 44037, Sept. 20, 2017; 82 FR 44879, Oct.
standing of the operations or activities
19, 2017]
of the government is important enough
to be made public. § 602.15 Preservation of FOIA records.
(c) To determine whether disclosure
of the information is not primarily in (a) The NCPC shall preserve all cor-
the commercial interest of the Re- respondence pertaining to FOIA Re-
quester, the Requester shall dem- quests received and copies or Records
onstrate, and NCPC shall consider, the provided until disposition or destruc-
following factors: tion is authorized by the NCPC’s Gen-
(1) Whether the Requester has a com- eral Records schedule established in
mercial interest that would be accordance with the National Archives
furthered by the Requested disclosure. and Records Administration (NARA)
The NCPC shall consider any commer- approved schedule.
cial interest of the Requester (with ref- (b) Materials that are responsive to a
erence to the definition of Commercial FOIA Request shall not be disposed of
Use Request in § 602.3(f)), or of any per- or destroyed while the Request or a re-
son on whose behalf the Requester may lated lawsuit is pending even if the
be acting, that would be furthered by Records would otherwise be authorized
the Requested disclosure. Requesters for disposition under the NCPC’s Gen-
shall be given an opportunity in the ad- eral Records Schedule or NARA or
ministrative process to provide explan- other NARA-approved records sched-
atory information regarding this con- ule.
sideration.
(2) Whether any identified commer- PART 603—PRIVACY ACT
cial interest of the Requester is suffi- REGULATIONS
ciently large in comparison with the
public interest in disclosure that dis- Sec.
closure is primarily in the commercial 603.1 Purpose and scope.
interest of the Requester. A Fee Waiver
603.2 Definitions.
is justified where the public interest 603.3 Privacy Act program responsibilities.
standard of paragraph (b) of this sec- 603.4 Standard used to Maintain Records.
124
603.5 Notice to Individuals supplying infor- procuring information technology that
mation. collects, maintains, or disseminates in-
603.6 System of Records Notice or SORN. formation in an identifiable form, ini-
603.7 Procedures to safeguard Records.
603.8 Employee conduct. tiating a new electronic collection of
603.9 Government contracts. information in identifiable form for 10
603.10 Conditions of disclosure. or more persons excluding agencies, in-
603.11 Accounting for disclosures. strumentalities or employees of the
603.12 Requests for notification of the exist- federal government, or changing an ex-
ence of Records. isting System that creates new privacy
603.13 Requests for access to Records.
603.14 Requests for Amendment or Correc- risks.
tion of Records. (d) In addition to the rules in this
603.15 Requests for Accounting of Record part, the NCPC shall process all Pri-
disclosures. vacy Act Requests for Access to
603.16 Appeals of Adverse Determinations. Records in accordance with the Free-
603.17 Fees.
603.18 Privacy Impact Assessments.
dom of Information Act (FOIA), 5
U.S.C. 552, and part 602 of this chapter.
AUTHORITY: 5 U.S.C. 552a as amended and 44
U.S.C. ch. 36. § 603.2 Definitions.
SOURCE: 82 FR 44046, Sept. 20, 2017, unless For purposes of this part, the fol-
otherwise noted.
lowing definitions shall apply:
§ 603.1 Purpose and scope. Adverse Determination shall mean a
decision to withhold any requested
(a) This part contain the rules the
Record in whole or in part; a decision
National Capital Planning Commission
(NCPC) shall follow to implement a that the requested Record does not
privacy program as required by the exist or cannot be located; a decision
Privacy Act of 1974, 5 U.S.C. 552a (Pri- that the requested information is not a
vacy Act or Act) and the privacy provi- Record subject to the Privacy Act; a
sions of the E-Government Act of 2002 decision that a Record, or part thereof,
(44 U.S.C. ch. 36) (E-Government Act). does not require amendment or correc-
These rules should be read together tion; a decision to refuse to disclose an
with the Privacy Act and the privacy accounting of disclosure; and a decision
related provisions of the E-Government to deny a fee waiver. The term shall
Act, which provide additional informa- also encompass a challenge to NCPC’s
tion respectively about Records main- determination that Records have not
tained on individuals and protections been described adequately, that there
for the privacy of personal information are no responsive Records or that an
as agencies implement citizen-centered adequate search has been conducted.
electronic Government. E-Government Act of 2002 shall mean
(b) Consistent with the requirements Public Law 107–347, Dec. 17, 2002, 116
of the Privacy Act, the rules in this Stat. 2899, the privacy portions of
part apply to all Records maintained which are set out as a note under sec-
by NCPC in a System of Records; the tion 3501 of title 44.
responsibilities of theNCPC to safe- Individual shall mean a citizen of the
guard this information; the procedures United States or an alien lawfully ad-
by which Individuals may request noti- mitted for permanent residence.
fication of the existence of a record, re- Information in Identifiable Form (IIF)
quest access to Records about them- shall mean information in an Informa-
selves, request an amendment to or tion Technology system or an online
correction of those Records, and re- collection that directly identifies an
quest an accounting of disclosures of individual, e.g., name, address, social
those Records by the NCPC; and the security number or other identifying
procedures by which an Individual may number or code, telephone number,
appeal an Adverse Determination. email address and the like; or informa-
(c) Consistent with the privacy re- tion by which the NCPC intends to
lated requirements of the E-Govern- identify specific individuals in conjunc-
ment Act, the rules in this part also tion with other data elements, e.g., in-
address the conduct of a privacy im- direct identification that may include
pact assessment prior to developing or a combination of gender, race, birth
125
§ 603.3 1 CFR Ch. VI (1–1–19 Edition)
date, geographic identifiers, and other Request for Amendment or Correction of

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

all or any portion thereof. large-scale information breach.
126
(b) The NCPC shall designate a Pri- tion of PIA prior to development or
vacy Act Officer (PAO) to coordinate procurement of new systems that col-
and implement the NCPC’s Privacy Act lect, maintain or disseminate IIF. Spe-
program. Specific responsibilities of cific responsibilities include:
the PAO shall include: (i) Reviewing existing SOR for need,
(1) Developing, issuing and updating, relevance, and purpose for existence,
as necessary, the NCPC’s Privacy Act and proposing SOR changes to the PAO
policies, standards, and procedures; as necessary in response to altered cir-
(2) Maintaining Privacy Act program cumstances;
Records and documentation; (ii) Reviewing existing SOR to ensure
(3) Responding to Privacy Act Re- information is accurate, complete and
quests for Records and coordinating ap- up to date;
peals of Adverse Determinations for
(iii) Coordinating with the PAO the
Requests for access to Records, Re-
preparation of new or revised SORN;
quests for Amendment orCorrection of
Records, and Requests for accounting (iv) Coordinating with the PAO the
for disclosures; development of an appropriate form for
(4) Informing Individuals of informa- collection of Privacy Act information
tion disclosures; and including in the form a Privacy
(5) Working with the NCPC’s Division Act statement explaining the purpose
Directors or designated staff to develop for collecting the information, how it
an appropriate form for collection of will be used, the authority for such col-
Privacy Act information and including lection, its routine uses, and the effect
in the form a Privacy Act statement upon the Individual of not providing
explaining the purpose for collecting the requested information;
the information, how it will be used, (v) Collecting information directly
the authority for such collection, its from individuals whenever possible;
routine uses, and the effect upon the (vi) Assisting the PAO with providing
Individual of not providing the re- access to Individuals who request infor-
quested information; mation in accordance with the proce-
(6) Assisting in the development of dures established in §§ 603.12, 603.13,
new or revised SORNs; 603.14 and 603.15.
(7) Developing SORN reports for OMB (vii) Amending Records if and when
and Congress; appropriate, and working with the PAO
(8) Submitting new or revised SORNS to inform recipients of former Records
to the FEDERAL REGISTER for publica- of such amendments;
tion; (viii) Ensuring that System informa-
(9) Assisting in the development of tion is used only for its stated purpose;
computer matching systems; (ix) Establishing and overseeing ap-
(10) Preparing Privacy Act, Computer propriate administrative, technical,
Matching, and other reports to OMB as
and physical safeguards to ensure secu-
required; and
rity and confidentiality of Records; and
(11) Evaluating PIA to ensure compli-
ance with E-Government Act require- (x) Working with the SAOP, the PAO
ments. and Configuration Control Board (CCB)
(c) Other Privacy related responsibil- on SORs, preparing a PIA, if needed,
ities shall be shared by the NCPC Divi- and obtaining SAOP approval for a PIA
sion Directors, the NCPC Chief Infor- prior to its publication on the NCPC
mation Officer (CIO), the NCPC System Web site.
Developers and Designers, the NCPC (2) The CIO shall be responsible for
Configuration Control Board, the NCPC implementing IT security management
employees, and theChairman of the to include security for information pro-
Commission. tected by the Privacy Act and the E-
(1) The NCPC Division Directors shall Government Act of 2002.Specific re-
be responsible for coordinating with sponsibilities include:
the PAO the implementation of the re- (i) Overseeing security policy for pri-
quirements set forth in this part for vacy data; and
Systems of Records applicable to their (ii) Reviewing PIAs prepared for in-
area of management and the prepara- formation security considerations.
127
§ 603.4 1 CFR Ch. VI (1–1–19 Edition)
(3) The NCPC System Developers and (3) Whether there is a risk of col-
Designers shall be responsible for en- lecting inaccurate information from a
suring that the IT system design and third party that could result in a deter-
specifications conform to privacy mination adverse to the Individual con-
standards and requirements and that cerned;
technical controls are in place for safe- (4) Whether the information collected
guarding personal information from from an Individual requires
unauthorized access. verification by a third party; and
(4) The NCPC CCB shall, among other (5) Whether the Individual can verify
responsibilities, verify that a PIA has information collected from third par-
been prepared prior to approving a re- ties.
quest to develop or procure informa- (d) The NCPC shall not Maintain
tion technology that collects, main- Records describing how an Individual
tains, or disseminates Information in
exercises rights guaranteed by the
Identifiable Form.
First Amendment to the Constitution
(5) The NCPC employees shall ensure
unless the maintenance of the Record
that any personal information they use
is expressly authorized by statute or by
in the conduct of their official respon-
the Individual about whom the Record
sibilities is protected in accordance
is Maintained or pertinent to and with-
with the rules set forth in this part.
in the scope of an authorized law en-
(6) The Chairman of the Commission
forcement activity.
shall be responsible for acting on all
appeals of Adverse Determinations. § 603.5 Notice to Individuals supplying
[82 FR 44046, Sept. 20, 2017; 82 FR 44879, Sept. information.
27, 2017] (a) Each Individual asked to supply
information about himself/herself to be
§ 603.4 Standards used to Maintain
Records. added to a System of Records shall be
informed by the NCPC of the basis for
(a) Records Maintained by the NCPC requesting the information, its poten-
shall contain only such information tial use, and the consequences, if any,
about an Individual as is relevant and of not supplying the information. No-
necessary to accomplish a purpose tice to the Individual shall state at a
NCPC must accomplish to comply with minimum:
relevant statutes or Executive Orders (1) The legal authority for NCPC’s so-
of the President.
licitation of the information and
(b) Records Maintained by the NCPC whether disclosure is mandatory or
and used to make a determination voluntary;
about an Individual shall be accurate,
(2) The principal purpose(s) for which
relevant, timely, and complete to as-
the NCPC intends to use the informa-
sure a fair determination.
tion;
(c) Information used by the NCPC in
making a determination about an Indi- (3) The potential routine uses of the
vidual’s rights, benefits, and privileges information by the NCPC as published
under federal programs shall be col- in a Systems of Records Notice; and
lected, to the greatest extent prac- (4) The effects upon the individual, if
ticable, directly from the Individual. In any, of not providing all or any part of
deciding whether collection of informa- the requested Information to the
tion about an Individual, as opposed to NCPC.
a third party is practicable, the NCPC (b) When NCPC collects information
shall consider the following: on a standard form, the notice to the
(1) Whether the information sought Individual shall either be provided on
can only be obtained from a third the form, on a tear off sheet attached
party; to the form, or on a separate form,
(2) Whether the cost to collect the in- whichever is deemed the most practical
formation from an Individual is unrea- by the NCPC.
sonable compared to the cost of col- (c) NCPC may ask an Individual to
lecting the information from a third acknowledge, in writing, receipt of the

party; notice required by this section.
128
§ 603.6 System of Records Notice or the sensitivity of the information con-

SORN. tained in the Records. The following
(a) The NCPC shall publish a notice minimum safeguards or safeguards af-
in the FEDERAL REGISTER describing fording comparable protection shall
each System of Records 40-days prior apply to manual Systems of Records:
to the establishment of a new or revi- (1) The NCPC shall post areas where
sion to an existing System of Records. Records are maintained or regularly
(b) The SORN shall include: used with an appropriate warning sign
(1) The name and location of the Sys- stating access to the Records shall be
tem of Records. The name shall iden- limited to authorized persons. The
tify the general purpose, and the loca- warning shall also advise that the Pri-
tion shall include whether the system vacy Act prescribes criminal penalties
is located on the NCPC’s main server for unauthorized disclosure of Records
or central files. The physical address of subject to the Act.
either shall also be included. (2) During work hours, the NCPC
(2) The categories or types of Individ- shall protect areas in which Records
uals on whom NCPC Maintains Records are Maintained or regularly used by re-
in the System of Records; stricting occupancy of the area to au-
(3) The categories or types of Records thorized persons or storing the Records
in the System; in a locked container and room.
(4) The statutory or Executive Order (3) During non-working hours, access
authority for Maintenance of the Sys- to Records shall be restricted by their
tem; storage in a locked storage container
(5) The purpose(s) or explanation of and room.
why the NCPC collects the particular (4) Any lock used to secure a room
Records including identification of all where Records are stored shall not be
internal and routine uses; capable of being disengaged with a
(6) The policies and practices of the master key that opens rooms other
NCPC regarding storage, retrieval, ac- than those in which Records are stored.
cess controls, retention and disposal of (c) Computerized Records subject to
Records; the Privacy Act shall be maintained, at
(7) The title and business address of a minimum, subject to the safeguards
the agency official responsible for the recommended by the National Institute
identified System of Records; of Standards and Technology (NIST)
(8) The NCPC procedures for notifica- Special Publications 800–53, Rec-
tion to an Individual who requests if a ommended Security Controls for Fed-
System of Records contains a Record eral Information Systems and Organi-
about the Individual; and zations as revised from time to time or
(9) The NCPC sources of Records in any superseding guidance offered by
the System. NIST or other federal agency charged
with the responsibility for providing
§ 603.7 Procedures to safeguard recommended safeguards for computer-
Records. ized Records subject to the Privacy
(a) The NCPC shall implement the Act.
procedures set forth in this section to (d) NCPC shall maintain a System of
insure sufficient administrative, tech- Records comprised of Office of Per-
nical and physical safeguards exist to sonnel Management (OPM) personnel
protect the security and confiden- Records in accordance with standards
tiality of Records. The enumerated prescribed by OPM and published at 5
procedures shall also protect against CFR 293.106–293.107.
any anticipated threats or hazards to
the security of Records with the poten- § 603.8 Employee conduct.
tial to cause substantial harm, embar- (a) Employees with duties requiring
rassment, inconvenience, or unfairness access to and handling of Records
to any Individual on whom information shall, at all times, take care to protect
is Maintained. the integrity, security, and confiden-
(b) Manual Records subject to the tiality of the Records.
Privacy Act shall be maintained by the (b) No employee of the NCPC shall
NCPC in a manner commensurate with disclose Records unless disclosure is
129
§ 603.9 1 CFR Ch. VI (1–1–19 Edition)
permitted by § 603.10(b), by part 602 of a form that precludes Individual iden-

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

that the Record must be transferred in ance with the requirements of § 603.15.
130
(c) For any disclosure for which an quest in accordance with the require-
accounting is made, if a subsequent ments set forth in § 603.16.
amendment or correction or notation
of dispute is made to a Record by the § 603.13 Requests for access to
NCPC in accordance with the require- Records.
ments of § 603.14, the Individual and/or (a) An Individual seeking access to
agency to whom the Record was origi- Records about himself/herself shall do
nally disclosed shall be informed. so by appearing in person at NCPC’s of-
ficial place of business or by written
§ 603.12 Requests for notification of correspondence to the NCPC Privacy
the existence of Records. Act Officer. In-person requests shall be
(a) An Individual seeking to deter- by appointment only with the Privacy
mine whether a System of Records con- Act Officer on a Workday during reg-
tains Records pertaining to him/her ular office hours. For written requests
shall do so by appearing in person at sent via the U.S. mail, the Request
NCPC’s official place of business or by shall be directed to the Privacy Act Of-
written correspondence to the NCPC ficer at NCPC’s official address listed
PAO. In-person requests shall be by ap- at www.ncpc.gov. If sent via email or
pointment only with the PAO on a facsimile, the request shall be directed
Workday during regular office hours. to the email address or facsimile num-
Written requests sent via the U.S. mail ber indicated on the NCPC Web site. To
shall be directed to the Privacy Act Of- expedite internal handling of Privacy
Act Requests, the words Privacy Act
ficer at NCPC’s official address listed
Request shall appear prominently on
at www.ncpc.gov. If sent via email or
the envelop or the subject line of an
facsimile, the request shall be directed
email or facsimile cover sheet.
to the email address or facsimile num-
(b) The Request shall:
ber indicated on the NCPC Web site. To
(1) State the Request is made pursu-
expedite internal handling of Privacy
ant to the Privacy Act;
Act Requests, the words Privacy Act
(2) Describe the requested Records in
Request shall appear prominently on
sufficient detail to enable their loca-
the envelop or the subject line of an
tion including, without limitation, the
email or facsimile cover sheet.
dates the Records were compiled and
(b) The Request shall state that the the name or identifying number of each
Individual is seeking information con- System of Record in which they are
cerning the existence of Records about kept as identified in the list of NCPC’s
himself/herself and shall supply infor- SORNs published on its Web site; and
mation describing the System where (3) State pursuant to the fee schedule
such Records might be maintained as in set forth in § 603.17 a willingness to
set forth in a System of Record Notice. pay all fees associated with the Pri-
(c) The NCPC PAO shall notify the vacy Act Request or the maximum fee
Requester in writing within 20 Work- the Requester is willing to pay.
days of the Request whether a System (c) The NCPC shall require identifica-
contains Records pertaining to him/her tion as follows before releasing Records
unless the Records were compiled in to an Individual:
reasonable anticipation of a civil ac- (1) An Individual Requesting Privacy
tion or proceeding or the Records are Act Records in person shall present a
NCPC employee Records under the ju- valid, photographic form of identifica-
risdiction of the OPM. In both of the tion such as a driver’s license, em-
later cases the Request shall be denied. ployee identification card, or passport
If the Request is denied because the that renders it possible for the PAO to
Record(s) is/are under the jurisdiction verify that the Individual is the same
of the OPM, the response shall advise Individual as contained in the re-
the Requester to contact OPM. If the quested Records.
PAO denies the Request, the response (2) An Individual Requesting Privacy
shall state the reason for the denial Act Records by mail shall state their
and advise the Requester of the right full name, address and date of birth in
to appeal the decision within 60 days of their correspondence. The Request

the date of the letter denying the re- must be signed and the signature must
131
§ 603.14 1 CFR Ch. VI (1–1–19 Edition)
either be notarized or submitted with a (5) State specifically, and in detail,

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

and of the change.
132
§ 603.15 Requests for Accounting of prominently on the envelop or the sub-

Record disclosures. ject line of an email or facsimile cover
(a) An Individual seeking informa- sheet. An appeal of an Adverse Deter-
tion regarding an accounting of disclo- mination shall be made within 30
sure of a Record pertaining to him/her Workdays of the date of the decision.
made in accordance with § 603.11 shall (b) An appeal of an Adverse Deter-
submit a written request to the PAO at mination shall include a statement of
the address listed on NCPC’s official the legal, factual or other basis for the
Web site www.ncpc.gov. If sent via Requester’s objection to an Adverse
email or facsimile, the Request shall be Determination; a daytime phone num-
directed to the email address or fac- ber or email where the Requester can
simile number indicated on the NCPC be reached if the Chairman requires ad-
Web site. To expedite internal han- ditional information or clarification
dling, the words Privacy Act Request regarding the appeal; copies of the ini-
shall appear prominently on the en- tial request and the PAO’s written re-
velop or the subject line of an email or sponse; and for an Adverse Determina-
facsimile cover sheet. tion regarding a fee waiver, a dem-
(b) The Request shall: onstration of compliance with part 602
(1) State the Request is made pursu- of this chapter.
ant to the Privacy Act; and (c) The Chairman shall respond to an
(2) Describe the requested Record in appeal of an Adverse Determination in
sufficient detail to determine whether writing within 20 Workdays of receipt
it is or is not contained in an account- of the appeal. If the Chairman grants
ing of disclosure. the appeal, the Chairman shall notify
(c) The NCPC PAO shall notify the the Requester, and the NCPC shall
Requester in writing within 20 Work- take prompt action to respond affirma-
days of the Request and advise if the tively to the original Request upon re-
Record was included in an accounting ceipt of any fees that may be required.
of disclosure. In the event of a disclo- If the Chairman denies the appeal, the
sure, the response shall include the letter shall state the reason(s) for the
date, nature, and purpose of the disclo- denial, a statement that the decision is
sure and the name and address of the final, and advise the Requester of the
person or agency to whom the disclo- right to seek judicial review of the de-
sure was made. If the Request is denied nial in the District Court of the United
because the Record(s) is/are under the States in either the district in which
jurisdiction of the OPM, the response the Requester resides, the district in
shall advise the Requester to contact which the Requester has his/her prin-
OPM. In the event of an Adverse Deter- cipal place of business or the District
mination, the written notification of Columbia.
shall advise the Individual of his/her
(d) The appeal of an Adverse Deter-
right to appeal the Adverse Determina-
mination based on OPM jurisdiction of
tion in accordance with the require-
the Records shall be made to OPM pur-
ments of § 603.16.
suant to 5 CFR 297.306.
§ 603.16 Appeals of Adverse Deter- (e) The NCPC shall not act on an ap-
minations. peal of an Adverse Determination if the
(a) Except for appeals pursuant to underlying Request becomes the sub-
paragraph (d) of this section, an appeal ject of litigation.
of an Adverse Determination shall be (f) A party seeking court review of an
made in writing addressed to the Chair- Adverse Determination must first ap-
man (Chairman) of the National Cap- peal the Adverse Determination under
ital Planning Commission at the ad- this section.
dress listed on NCPC’s official Web site
www.ncpc.gov. If sent via email or fac- § 603.17 Fees.
simile, the Request shall be directed to (a) The NCPC shall charge for the du-
the email address or facsimile number plication of Records under this subpart
indicated on the NCPC Web site. To ex- in accordance with the schedule of fees
pedite internal handling, the words set forth in part 602 of this chapter.
Privacy Act Request shall appear The NCPC shall not charge duplication
133
§ 603.18 1 CFR Ch. VI (1–1–19 Edition)
fees when the Requester asks to in- (3) The intended use for the informa-
spect the Records personally but is pro- tion;
vided copies at the discretion of the (4) The identity of those with whom
agency. the information will be shared;
(b) The NCPC shall not charge any (5) The opportunities Individuals
fees for the search for or review of have to decline to provide the informa-
Records requested by an Individual. tion or to consent to particular uses
and how to consent;
§ 603.18 Privacy Impact Assessments.
(6) The manner in which the informa-
(a) Consistent with the requirements tion will be secured; and
of the E-Government Act and OMB (7) The extent to which the system of
Memorandum M–03–22, the NCPC shall records is being created under the Pri-
conduct a PIA before: vacy Act.
(1) Developing or procuring IT sys-
(d) In addition to the information
tems or projects that collect, maintain,
specified in paragraphs (b)(1)–(7) of this
or disseminate IIF; or
section, the PIA must also identify the
(2) Installing a new collection of in-
formation that will be collected, main- choices NCPC made regarding an IT
tained, or disseminated using IT and system or collection of information as
includes IIF for 10 or more persons (ex- result of preparing the PIA.
cluding agencies, instrumentalities or (e) The CCB shall verify that a PIA
employees of the federal government). has been prepared prior to approving a
(b) The PIA shall be prepared request to develop or procure informa-
through the coordinated effort of the tion technology that collects, main-
NCPC’s privacy Officers (SAOP, PAO), tains, or disseminates Information in
Division Directors, CIO, and IT staff. Identifiable Form.
(c) As a general rule, the level of de- (f) The SAOP shall approve and sign
tail and content of a PIA shall be com- the NCPC’s PIA. If the SAOP is the
mensurate with the nature of the infor- Contracting Officer for the IT system
mation to be collected and the size and that necessitated preparation of the
complexity of the IT system involved. PIA, the Executive Director shall ap-
Specifically, a PIA shall analyze and prove and sign the PIA.
describe: (g) Following approval of the PIA,
(1) The information to be collected; the NCPC shall post the PIA document
(2) The reason the information is on the NCPC Web site located at
being collected; www.ncpc.gov.
134
FINDING AIDS
A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabet-
ical list of agencies publishing in the CFR are included in the CFR Index and
Finding Aids volume to the Code of Federal Regulations which is published sepa-
rately and revised annually.
Table of CFR Titles and Chapters
Alphabetical List of Agencies Appearing in the CFR
List of CFR Sections Affected
135
Table of CFR Titles and Chapters
(Revised as of January 1, 2019)
Title 1—General Provisions
I Administrative Committee of the Federal Register (Parts 1—49)

II Office of the Federal Register (Parts 50—299)
III Administrative Conference of the United States (Parts 300—399)
IV Miscellaneous Agencies (Parts 400—599)
VI National Capital Planning Commission (Parts 600—699)
Title 2—Grants and Agreements
SUBTITLE A—OFFICE OF MANAGEMENT AND BUDGET GUIDANCE FOR

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

XXVI National Archives and Records Administration (Parts 2600—2699)
137
Title 2—Grants and Agreements—Continued
Chap.
XXVII Small Business Administration (Parts 2700—2799)

XXVIII Department of Justice (Parts 2800—2899)
XXIX Department of Labor (Parts 2900—2999)
XXX Department of Homeland Security (Parts 3000—3099)
XXXI Institute of Museum and Library Services (Parts 3100—3199)
XXXII National Endowment for the Arts (Parts 3200—3299)
XXXIII National Endowment for the Humanities (Parts 3300—3399)
XXXIV Department of Education (Parts 3400—3499)
XXXV Export-Import Bank of the United States (Parts 3500—3599)
XXXVI Office of National Drug Control Policy, Executive Office of the
President (Parts 3600—3699)
XXXVII Peace Corps (Parts 3700—3799)
LVIII Election Assistance Commission (Parts 5800—5899)
LIX Gulf Coast Ecosystem Restoration Council (Parts 5900—5999)
Title 3—The President
I Executive Office of the President (Parts 100—199)
Title 4—Accounts
I Government Accountability Office (Parts 1—199)
Title 5—Administrative Personnel
I Office of Personnel Management (Parts 1—1199)

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

XXVI Department of Defense (Parts 3600—3699)
138
Title 5—Administrative Personnel—Continued
Chap.
XXVIII Department of Justice (Parts 3800—3899)

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

LXXIII Department of Agriculture (Parts 8300—8399)
139
Title 5—Administrative Personnel—Continued
Chap.
LXXIV Federal Mine Safety and Health Review Commission (Parts

8400—8499)
LXXVI Federal Retirement Thrift Investment Board (Parts 8600—8699)
LXXVII Office of Management and Budget (Parts 8700—8799)
LXXX Federal Housing Finance Agency (Parts 9000—9099)
LXXXIII Special Inspector General for Afghanistan Reconstruction (Parts
9300—9399)
LXXXIV Bureau of Consumer Financial Protection (Parts 9400—9499)
LXXXVI National Credit Union Administration (Parts 9600—9699)
XCVII Department of Homeland Security Human Resources Manage-
ment System (Department of Homeland Security—Office of
Personnel Management) (Parts 9700—9799)
XCVIII Council of the Inspectors General on Integrity and Efficiency
(Parts 9800—9899)
XCIX Military Compensation and Retirement Modernization Commis-
sion (Parts 9900—9999)
C National Council on Disability (Parts 10000—10049)
CI National Mediation Board (Part 10101)
Title 6—Domestic Security
I Department of Homeland Security, Office of the Secretary

(Parts 1—199)
X Privacy and Civil Liberties Oversight Board (Parts 1000—1099)
Title 7—Agriculture
SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS

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

(Parts 800—899)
140
Title 7—Agriculture—Continued
Chap.
IX Agricultural Marketing Service (Marketing Agreements and Or-

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

Department of Agriculture (Parts 4200—4299)
141
Title 8—Aliens and Nationality
Chap.
I Department of Homeland Security (Immigration and Naturaliza-

tion) (Parts 1—499)
V Executive Office for Immigration Review, Department of Justice
(Parts 1000—1399)
Title 9—Animals and Animal Products
I Animal and Plant Health Inspection Service, Department of Ag-

riculture (Parts 1—199)
II Grain Inspection, Packers and Stockyards Administration
(Packers and Stockyards Programs), Department of Agri-
III Food Safety and Inspection Service, Department of Agriculture
(Parts 300—599)
Title 10—Energy
I Nuclear Regulatory Commission (Parts 0—199)

II Department of Energy (Parts 200—699)
III Department of Energy (Parts 700—999)
X Department of Energy (General Provisions) (Parts 1000—1099)
XIII Nuclear Waste Technical Review Board (Parts 1300—1399)
XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)
XVIII Northeast Interstate Low-Level Radioactive Waste Commission
(Parts 1800—1899)
Title 11—Federal Elections
I Federal Election Commission (Parts 1—9099)

II Election Assistance Commission (Parts 9400—9499)
Title 12—Banks and Banking
I Comptroller of the Currency, Department of the Treasury (Parts

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

XIII Financial Stability Oversight Council (Parts 1300—1399)
142
Title 12—Banks and Banking—Continued
Chap.
XIV Farm Credit System Insurance Corporation (Parts 1400—1499)

XV Department of the Treasury (Parts 1500—1599)
XVI Office of Financial Research (Parts 1600—1699)
XVII Office of Federal Housing Enterprise Oversight, Department of
Housing and Urban Development (Parts 1700—1799)
XVIII Community Development Financial Institutions Fund, Depart-
ment of the Treasury (Parts 1800—1899)
Title 13—Business Credit and Assistance
I Small Business Administration (Parts 1—199)

III Economic Development Administration, Department of Com-
merce (Parts 300—399)
IV Emergency Steel Guarantee Loan Board (Parts 400—499)
V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)
Title 14—Aeronautics and Space
I Federal Aviation Administration, Department of Transportation

(Parts 1—199)
II Office of the Secretary, Department of Transportation (Aviation
Proceedings) (Parts 200—399)
III Commercial Space Transportation, Federal Aviation Adminis-
tration, Department of Transportation (Parts 400—1199)
V National Aeronautics and Space Administration (Parts 1200—
1299)
VI Air Transportation System Stabilization (Parts 1300—1399)
Title 15—Commerce and Foreign Trade
SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0—

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

merce (Parts 1100—1199)
143
Title 15—Commerce and Foreign Trade—Continued
Chap.
XIII East-West Foreign Trade Board (Parts 1300—1399)

XIV Minority Business Development Agency (Parts 1400—1499)
SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE-
MENTS
XX Office of the United States Trade Representative (Parts 2000—
2099)
SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONS
AND INFORMATION
XXIII National Telecommunications and Information Administration,
Department of Commerce (Parts 2300—2399) [Reserved]
Title 16—Commercial Practices
I Federal Trade Commission (Parts 0—999)

II Consumer Product Safety Commission (Parts 1000—1799)
Title 17—Commodity and Securities Exchanges
I Commodity Futures Trading Commission (Parts 1—199)

II Securities and Exchange Commission (Parts 200—399)
IV Department of the Treasury (Parts 400—499)
Title 18—Conservation of Power and Water Resources
I Federal Energy Regulatory Commission, Department of Energy

(Parts 1—399)
III Delaware River Basin Commission (Parts 400—499)
VI Water Resources Council (Parts 700—799)
VIII Susquehanna River Basin Commission (Parts 800—899)
XIII Tennessee Valley Authority (Parts 1300—1399)
Title 19—Customs Duties
I U.S. Customs and Border Protection, Department of Homeland

Security; Department of the Treasury (Parts 0—199)
II United States International Trade Commission (Parts 200—299)
III International Trade Administration, Department of Commerce
(Parts 300—399)
IV U.S. Immigration and Customs Enforcement, Department of
Homeland Security (Parts 400—599) [Reserved]
Title 20—Employees’ Benefits
I Office of Workers’ Compensation Programs, Department of

Labor (Parts 1—199)
II Railroad Retirement Board (Parts 200—399)

III Social Security Administration (Parts 400—499)
144
Title 20—Employees’ Benefits—Continued
Chap.
IV Employees’ Compensation Appeals Board, Department of Labor

(Parts 500—599)
V Employment and Training Administration, Department of Labor
(Parts 600—699)
VI Office of Workers’ Compensation Programs, Department of
VII Benefits Review Board, Department of Labor (Parts 800—899)
VIII Joint Board for the Enrollment of Actuaries (Parts 900—999)
IX Office of the Assistant Secretary for Veterans’ Employment and
Training Service, Department of Labor (Parts 1000—1099)
Title 21—Food and Drugs
I Food and Drug Administration, Department of Health and

Human Services (Parts 1—1299)
II Drug Enforcement Administration, Department of Justice (Parts
1300—1399)
III Office of National Drug Control Policy (Parts 1400—1499)
Title 22—Foreign Relations
I Department of State (Parts 1—199)

II Agency for International Development (Parts 200—299)
III Peace Corps (Parts 300—399)
IV International Joint Commission, United States and Canada
(Parts 400—499)
V Broadcasting Board of Governors (Parts 500—599)
VII Overseas Private Investment Corporation (Parts 700—799)
IX Foreign Service Grievance Board (Parts 900—999)
X Inter-American Foundation (Parts 1000—1099)
XI International Boundary and Water Commission, United States
and Mexico, United States Section (Parts 1100—1199)
XII United States International Development Cooperation Agency
(Parts 1200—1299)
XIII Millennium Challenge Corporation (Parts 1300—1399)
XIV Foreign Service Labor Relations Board; Federal Labor Relations
Authority; General Counsel of the Federal Labor Relations
Authority; and the Foreign Service Impasse Disputes Panel
(Parts 1400—1499)
XV African Development Foundation (Parts 1500—1599)
XVI Japan-United States Friendship Commission (Parts 1600—1699)
XVII United States Institute of Peace (Parts 1700—1799)
Title 23—Highways
I Federal Highway Administration, Department of Transportation

(Parts 1—999)
145
Title 23—Highways—Continued
Chap.
II National Highway Traffic Safety Administration and Federal

Highway Administration, Department of Transportation
(Parts 1200—1299)
III National Highway Traffic Safety Administration, Department of
Transportation (Parts 1300—1399)
Title 24—Housing and Urban Development
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSING

AND URBAN DEVELOPMENT (PARTS 0—99)
SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE-
VELOPMENT
I Office of Assistant Secretary for Equal Opportunity, Department
of Housing and Urban Development (Parts 100—199)
II Office of Assistant Secretary for Housing-Federal Housing Com-
missioner, Department of Housing and Urban Development
(Parts 200—299)
III Government National Mortgage Association, Department of
Housing and Urban Development (Parts 300—399)
IV Office of Housing and Office of Multifamily Housing Assistance
Restructuring, Department of Housing and Urban Develop-
ment (Parts 400—499)
V Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 500—599)
VI Office of Assistant Secretary for Community Planning and De-
velopment, Department of Housing and Urban Development
(Parts 600—699) [Reserved]
VII Office of the Secretary, Department of Housing and Urban Devel-
opment (Housing Assistance Programs and Public and Indian
Housing Programs) (Parts 700—799)
VIII Office of the Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Section 8 Housing Assistance Programs, Section 202 Di-
rect Loan Program, Section 202 Supportive Housing for the El-
derly Program and Section 811 Supportive Housing for Persons
With Disabilities Program) (Parts 800—899)
IX Office of Assistant Secretary for Public and Indian Housing, De-
partment of Housing and Urban Development (Parts 900—1699)
XII Office of Inspector General, Department of Housing and Urban
Development (Parts 2000—2099)
XV Emergency Mortgage Insurance and Loan Programs, Depart-
ment of Housing and Urban Development (Parts 2700—2799)
[Reserved]
XX Office of Assistant Secretary for Housing—Federal Housing
Commissioner, Department of Housing and Urban Develop-
ment (Parts 3200—3899)
XXIV Board of Directors of the HOPE for Homeowners Program (Parts
4000—4099) [Reserved]
XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)
146
Title 25—Indians
Chap.
I Bureau of Indian Affairs, Department of the Interior (Parts 1—

299)
II Indian Arts and Crafts Board, Department of the Interior (Parts
300—399)
III National Indian Gaming Commission, Department of the Inte-
rior (Parts 500—599)
IV Office of Navajo and Hopi Indian Relocation (Parts 700—899)
V Bureau of Indian Affairs, Department of the Interior, and Indian
Health Service, Department of Health and Human Services
(Part 900—999)
VI Office of the Assistant Secretary, Indian Affairs, Department of
the Interior (Parts 1000—1199)
VII Office of the Special Trustee for American Indians, Department
of the Interior (Parts 1200—1299)
Title 26—Internal Revenue
I Internal Revenue Service, Department of the Treasury (Parts 1—

End)
Title 27—Alcohol, Tobacco Products and Firearms
I Alcohol and Tobacco Tax and Trade Bureau, Department of the

Treasury (Parts 1—399)
II Bureau of Alcohol, Tobacco, Firearms, and Explosives, Depart-
ment of Justice (Parts 400—699)
Title 28—Judicial Administration
I Department of Justice (Parts 0—299)

III Federal Prison Industries, Inc., Department of Justice (Parts
300—399)
V Bureau of Prisons, Department of Justice (Parts 500—599)
VI Offices of Independent Counsel, Department of Justice (Parts
600—699)
VII Office of Independent Counsel (Parts 700—799)
VIII Court Services and Offender Supervision Agency for the District
of Columbia (Parts 800—899)
IX National Crime Prevention and Privacy Compact Council (Parts
900—999)
XI Department of Justice and Department of State (Parts 1100—
1199)
Title 29—Labor
SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99)

SUBTITLE B—REGULATIONS RELATING TO LABOR

I National Labor Relations Board (Parts 100—199)
147
Title 29—Labor—Continued
Chap.
II Office of Labor-Management Standards, Department of Labor

(Parts 200—299)
III National Railroad Adjustment Board (Parts 300—399)
IV Office of Labor-Management Standards, Department of Labor
(Parts 400—499)
V Wage and Hour Division, Department of Labor (Parts 500—899)
IX Construction Industry Collective Bargaining Commission (Parts
900—999)
X National Mediation Board (Parts 1200—1299)
XII Federal Mediation and Conciliation Service (Parts 1400—1499)
XIV Equal Employment Opportunity Commission (Parts 1600—1699)
XVII Occupational Safety and Health Administration, Department of
XX Occupational Safety and Health Review Commission (Parts
2200—2499)
XXV Employee Benefits Security Administration, Department of
XXVII Federal Mine Safety and Health Review Commission (Parts
2700—2799)
XL Pension Benefit Guaranty Corporation (Parts 4000—4999)
Title 30—Mineral Resources
I Mine Safety and Health Administration, Department of Labor

(Parts 1—199)
II Bureau of Safety and Environmental Enforcement, Department
of the Interior (Parts 200—299)
IV Geological Survey, Department of the Interior (Parts 400—499)
V Bureau of Ocean Energy Management, Department of the Inte-
VII Office of Surface Mining Reclamation and Enforcement, Depart-
ment of the Interior (Parts 700—999)
XII Office of Natural Resources Revenue, Department of the Interior
(Parts 1200—1299)
Title 31—Money and Finance: Treasury
SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS

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

148
Title 31—Money and Finance: Treasury—Continued
Chap.
VIII Office of Investment Security, Department of the Treasury

(Parts 800—899)
IX Federal Claims Collection Standards (Department of the Treas-
ury—Department of Justice) (Parts 900—999)
X Financial Crimes Enforcement Network, Department of the
Title 32—National Defense
SUBTITLE A—DEPARTMENT OF DEFENSE

I Office of the Secretary of Defense (Parts 1—399)
V Department of the Army (Parts 400—699)
VI Department of the Navy (Parts 700—799)
VII Department of the Air Force (Parts 800—1099)
SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE-
FENSE
XII Defense Logistics Agency (Parts 1200—1299)
XVI Selective Service System (Parts 1600—1699)
XVII Office of the Director of National Intelligence (Parts 1700—1799)
XVIII National Counterintelligence Center (Parts 1800—1899)
XIX Central Intelligence Agency (Parts 1900—1999)
XX Information Security Oversight Office, National Archives and
Records Administration (Parts 2000—2099)
XXI National Security Council (Parts 2100—2199)
XXIV Office of Science and Technology Policy (Parts 2400—2499)
XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)
XXVIII Office of the Vice President of the United States (Parts 2800—
2899)
Title 33—Navigation and Navigable Waters
I Coast Guard, Department of Homeland Security (Parts 1—199)

II Corps of Engineers, Department of the Army, Department of De-
fense (Parts 200—399)
IV Saint Lawrence Seaway Development Corporation, Department
of Transportation (Parts 400—499)
Title 34—Education
SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU-

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

ment of Education (Parts 300—399)
149
Title 34—Education—Continued
Chap.
IV Office of Career, Technical and Adult Education, Department of

Education (Parts 400—499)
V Office of Bilingual Education and Minority Languages Affairs,
Department of Education (Parts 500—599) [Reserved]
VI Office of Postsecondary Education, Department of Education
(Parts 600—699)
VII Office of Educational Research and Improvement, Department of
Education (Parts 700—799) [Reserved]
SUBTITLE C—REGULATIONS RELATING TO EDUCATION
XI (Parts 1100—1199) [Reserved]
XII National Council on Disability (Parts 1200—1299)
Title 35 [Reserved]
Title 36—Parks, Forests, and Public Property
I National Park Service, Department of the Interior (Parts 1—199)

II Forest Service, Department of Agriculture (Parts 200—299)
III Corps of Engineers, Department of the Army (Parts 300—399)
IV American Battle Monuments Commission (Parts 400—499)
V Smithsonian Institution (Parts 500—599)
VI [Reserved]
VII Library of Congress (Parts 700—799)
VIII Advisory Council on Historic Preservation (Parts 800—899)
IX Pennsylvania Avenue Development Corporation (Parts 900—999)
X Presidio Trust (Parts 1000—1099)
XI Architectural and Transportation Barriers Compliance Board
(Parts 1100—1199)
XII National Archives and Records Administration (Parts 1200—1299)
XV Oklahoma City National Memorial Trust (Parts 1500—1599)
XVI Morris K. Udall Scholarship and Excellence in National Environ-
mental Policy Foundation (Parts 1600—1699)
Title 37—Patents, Trademarks, and Copyrights
I United States Patent and Trademark Office, Department of

II U.S. Copyright Office, Library of Congress (Parts 200—299)
III Copyright Royalty Board, Library of Congress (Parts 300—399)
IV National Institute of Standards and Technology, Department of
Title 38—Pensions, Bonuses, and Veterans’ Relief

I Department of Veterans Affairs (Parts 0—199)

II Armed Forces Retirement Home (Parts 200—299)
150
Title 39—Postal Service
Chap.
I United States Postal Service (Parts 1—999)

III Postal Regulatory Commission (Parts 3000—3099)
Title 40—Protection of Environment
I Environmental Protection Agency (Parts 1—1099)

IV Environmental Protection Agency and Department of Justice
(Parts 1400—1499)
V Council on Environmental Quality (Parts 1500—1599)
VI Chemical Safety and Hazard Investigation Board (Parts 1600—
1699)
VII Environmental Protection Agency and Department of Defense;
Uniform National Discharge Standards for Vessels of the
Armed Forces (Parts 1700—1799)
VIII Gulf Coast Ecosystem Restoration Council (Parts 1800—1899)
Title 41—Public Contracts and Property Management
SUBTITLE A—FEDERAL PROCUREMENT REGULATIONS SYSTEM

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

301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)
151
Title 41—Public Contracts and Property Management—Continued
Chap.
302 Relocation Allowances (Parts 302–1—302–99)

303 Payment of Expenses Connected with the Death of Certain Em-
ployees (Part 303–1—303–99)
304 Payment of Travel Expenses from a Non-Federal Source (Parts
304–1—304–99)
Title 42—Public Health
I Public Health Service, Department of Health and Human Serv-

ices (Parts 1—199)
II—III [Reserved]
IV Centers for Medicare & Medicaid Services, Department of Health
and Human Services (Parts 400—699)
V Office of Inspector General-Health Care, Department of Health
Title 43—Public Lands: Interior
SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS

1—199)
SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS
I Bureau of Reclamation, Department of the Interior (Parts 400—
999)
II Bureau of Land Management, Department of the Interior (Parts
1000—9999)
III Utah Reclamation Mitigation and Conservation Commission
(Parts 10000—10099)
Title 44—Emergency Management and Assistance
I Federal Emergency Management Agency, Department of Home-

land Security (Parts 0—399)
IV Department of Commerce and Department of Transportation
(Parts 400—499)
Title 45—Public Welfare
SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES

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

400—499)
152
Title 45—Public Welfare—Continued
Chap.
V Foreign Claims Settlement Commission of the United States,

Department of Justice (Parts 500—599)
VI National Science Foundation (Parts 600—699)
VII Commission on Civil Rights (Parts 700—799)
VIII Office of Personnel Management (Parts 800—899)
IX Denali Commission (Parts 900—999)
X Office of Community Services, Administration for Children and
Families, Department of Health and Human Services (Parts
1000—1099)
XI National Foundation on the Arts and the Humanities (Parts
1100—1199)
XII Corporation for National and Community Service (Parts 1200—
1299)
XIII Administration for Children and Families, Department of Health
XVI Legal Services Corporation (Parts 1600—1699)
XVII National Commission on Libraries and Information Science
(Parts 1700—1799)
XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899)
XXI Commission of Fine Arts (Parts 2100—2199)
XXIII Arctic Research Commission (Parts 2300—2399)
XXIV James Madison Memorial Fellowship Foundation (Parts 2400—
2499)
XXV Corporation for National and Community Service (Parts 2500—
2599)
Title 46—Shipping
I Coast Guard, Department of Homeland Security (Parts 1—199)

II Maritime Administration, Department of Transportation (Parts
200—399)
III Coast Guard (Great Lakes Pilotage), Department of Homeland
Security (Parts 400—499)
IV Federal Maritime Commission (Parts 500—599)
Title 47—Telecommunication
I Federal Communications Commission (Parts 0—199)

II Office of Science and Technology Policy and National Security
Council (Parts 200—299)
III National Telecommunications and Information Administration,
Department of Commerce (Parts 300—399)
IV National Telecommunications and Information Administration,
Department of Commerce, and National Highway Traffic Safe-
ty Administration, Department of Transportation (Parts 400—
499)
V The First Responder Network Authority (Parts 500—599)
153
Title 48—Federal Acquisition Regulations System
Chap.
1 Federal Acquisition Regulation (Parts 1—99)

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

9999)
154
Title 49—Transportation
Chap.
SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION

(PARTS 1—99)
SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION
I Pipeline and Hazardous Materials Safety Administration, De-
partment of Transportation (Parts 100—199)
II Federal Railroad Administration, Department of Transportation
(Parts 200—299)
III Federal Motor Carrier Safety Administration, Department of
IV Coast Guard, Department of Homeland Security (Parts 400—499)
V National Highway Traffic Safety Administration, Department of
VI Federal Transit Administration, Department of Transportation
(Parts 600—699)
VII National Railroad Passenger Corporation (AMTRAK) (Parts
700—799)
VIII National Transportation Safety Board (Parts 800—999)
X Surface Transportation Board (Parts 1000—1399)
XI Research and Innovative Technology Administration, Depart-
ment of Transportation (Parts 1400—1499) [Reserved]
XII Transportation Security Administration, Department of Home-
land Security (Parts 1500—1699)
Title 50—Wildlife and Fisheries
I United States Fish and Wildlife Service, Department of the Inte-

II National Marine Fisheries Service, National Oceanic and Atmos-
pheric Administration, Department of Commerce (Parts 200—
299)
III International Fishing and Related Activities (Parts 300—399)
IV Joint Regulations (United States Fish and Wildlife Service, De-
partment of the Interior and National Marine Fisheries Serv-
ice, National Oceanic and Atmospheric Administration, De-
partment of Commerce); Endangered Species Committee Reg-
ulations (Parts 400—499)
V Marine Mammal Commission (Parts 500—599)
VI Fishery Conservation and Management, National Oceanic and
Atmospheric Administration, Department of Commerce (Parts
600—699)
155
Alphabetical List of Agencies Appearing in the CFR
(Revised as of January 1, 2019)
CFR Title, Subtitle or

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

American Indians, Office of the Special Trustee 25, VII
Animal and Plant Health Inspection Service 7, III; 9, I
157
Agency Chapter
Appalachian Regional Commission 5, IX
Architectural and Transportation Barriers Compliance Board 36, XI
Arctic Research Commission 45, XXIII
Armed Forces Retirement Home 5, XI
Army, Department of 32, V
Engineers, Corps of 33, II; 36, III
Bilingual Education and Minority Languages Affairs, Office of 34, V
Blind or Severely Disabled, Committee for Purchase from 41, 51
People Who Are
Broadcasting Board of Governors 22, V
Career, Technical, and Adult Education, Office of 34, IV
Census Bureau 15, I
Centers for Medicare & Medicaid Services 42, IV
Central Intelligence Agency 32, XIX
Chemical Safety and Hazardous Investigation Board 40, VI
Chief Financial Officer, Office of 7, XXX
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Civil Rights, Commission on 5, LXVIII; 45, VII
Civil Rights, Office for 34, I
Council of the Inspectors General on Integrity and Efficiency 5, XCVIII
Court Services and Offender Supervision Agency for the 5, LXX
District of Columbia
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Commerce, Department of 2, XIII; 44, IV; 50, VI
Census Bureau 15, I
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Emergency Management and Assistance 44, IV
Foreign-Trade Zones Board 15, IV
Industry and Security, Bureau of 15, VII
International Trade Administration 15, III; 19, III
National Institute of Standards and Technology 15, II; 37, IV
National Marine Fisheries Service 50, II, IV
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV
Administration
National Weather Service 15, IX
Patent and Trademark Office, United States 37, I
Secretary of Commerce, Office of 15, Subtitle A
Commercial Space Transportation 14, III
Commodity Credit Corporation 7, XIV
Commodity Futures Trading Commission 5, XLI; 17, I
Community Planning and Development, Office of Assistant 24, V, VI
Secretary for
Community Services, Office of 45, X
Comptroller of the Currency 12, I
Construction Industry Collective Bargaining Commission 29, IX
Consumer Financial Protection Bureau 5, LXXXIV; 12, X
Consumer Product Safety Commission 5, LXXI; 16, II
Copyright Royalty Board 37, III
Corporation for National and Community Service 2, XXII; 45, XII, XXV
Cost Accounting Standards Board 48, 99
Council on Environmental Quality 40, V
Court Services and Offender Supervision Agency for the 5, LXX; 28, VIII
District of Columbia
Customs and Border Protection 19, I
Defense Contract Audit Agency 32, I
Defense, Department of 2, XI; 5, XXVI; 32,
Subtitle A; 40, VII

Advanced Research Projects Agency 32, I
Air Force Department 32, VII
158
Agency Chapter
Army Department 32, V; 33, II; 36, III; 48,
51
Defense Acquisition Regulations System 48, 2
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, I, XII; 48, 54
National Imagery and Mapping Agency 32, I
Navy Department 32, VI; 48, 52
Secretary of Defense, Office of 2, XI; 32, I
Defense Contract Audit Agency 32, I
Defense Intelligence Agency 32, I
Defense Logistics Agency 32, XII; 48, 54
Defense Nuclear Facilities Safety Board 10, XVII
Delaware River Basin Commission 18, III
Denali Commission 45, IX
Disability, National Council on 5, C; 34, XII
District of Columbia, Court Services and Offender Supervision 5, LXX; 28, VIII
Agency for the
Drug Enforcement Administration 21, II
East-West Foreign Trade Board 15, XIII
Economic Analysis, Bureau of 15, VIII
Economic Development Administration 13, III
Economic Research Service 7, XXXVII
Education, Department of 2, XXXIV; 5, LIII
Bilingual Education and Minority Languages Affairs, Office 34, V
of
Career, Technical, and Adult Education, Office of 34, IV
Civil Rights, Office for 34, I
Educational Research and Improvement, Office of 34, VII
Elementary and Secondary Education, Office of 34, II
Postsecondary Education, Office of 34, VI
Secretary of Education, Office of 34, Subtitle A
Special Education and Rehabilitative Services, Office of 34, III
Educational Research and Improvement, Office of 34, VII
Election Assistance Commission 2, LVIII; 11, II
Elementary and Secondary Education, Office of 34, II
Emergency Oil and Gas Guaranteed Loan Board 13, V
Emergency Steel Guarantee Loan Board 13, IV
Employee Benefits Security Administration 29, XXV
Employees’ Compensation Appeals Board 20, IV
Employees Loyalty Board 5, V
Employment and Training Administration 20, V
Employment Policy, National Commission for 1, IV
Employment Standards Administration 20, VI
Endangered Species Committee 50, IV
Energy, Department of 2, IX; 5, XXIII; 10, II,
III, X
Federal Energy Regulatory Commission 5, XXIV; 18, I
Property Management Regulations 41, 109
Energy, Office of 7, XXIX
Engraving and Printing, Bureau of 31, VI
Environmental Protection Agency 2, XV; 5, LIV; 40, I, IV,
VII
Environmental Quality, Office of 7, XXXI
Equal Employment Opportunity Commission 5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary for 24, I
Executive Office of the President 3, I
Environmental Quality, Council on 40, V
Management and Budget, Office of 2, Subtitle A; 5, III,
LXXVII; 14, VI; 48, 99

National Drug Control Policy, Office of 2, XXXVI; 21, III
National Security Council 32, XXI; 47, 2
159
Agency Chapter
Presidential Documents 3
Science and Technology Policy, Office of 32, XXIV; 47, II
Trade Representative, Office of the United States 15, XX
Export-Import Bank of the United States 2, XXXV; 5, LII; 12, IV
Family Assistance, Office of 45, II
Farm Credit Administration 5, XXXI; 12, VI
Farm Credit System Insurance Corporation 5, XXX; 12, XIV
Farm Service Agency 7, VII, XVIII
Federal Aviation Administration 14, I
Federal Claims Collection Standards 31, IX
Federal Communications Commission 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of 41, 60
Federal Crop Insurance Corporation 7, IV
Federal Deposit Insurance Corporation 5, XXII; 12, III
Federal Election Commission 5, XXXVII; 11, I
Federal Emergency Management Agency 44, I
Federal Employees Group Life Insurance Federal Acquisition 48, 21
Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Federal Energy Regulatory Commission 5, XXIV; 18, I
Federal Financial Institutions Examination Council 12, XI
Federal Financing Bank 12, VIII
Federal Highway Administration 23, I, II
Federal Home Loan Mortgage Corporation 1, IV
Federal Housing Enterprise Oversight Office 12, XVII
Federal Housing Finance Agency 5, LXXX; 12, XII
Federal Housing Finance Board 12, IX
Federal Labor Relations Authority 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center 31, VII
Federal Management Regulation 41, 102
Federal Maritime Commission 46, IV
Federal Mediation and Conciliation Service 29, XII
Federal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration 49, III
Federal Prison Industries, Inc. 28, III
Federal Procurement Policy Office 48, 99
Federal Property Management Regulations 41, 101
Federal Railroad Administration 49, II
Federal Register, Administrative Committee of 1, I
Federal Register, Office of 1, II
Federal Reserve System 12, II
Board of Governors 5, LVIII
Federal Retirement Thrift Investment Board 5, VI, LXXVI
Federal Service Impasses Panel 5, XIV
Federal Trade Commission 5, XLVII; 16, I
Federal Transit Administration 49, VI
Federal Travel Regulation System 41, Subtitle F
Financial Crimes Enforcement Network 31, X
Financial Research Office 12, XVI
Financial Stability Oversight Council 12, XIII
Fine Arts, Commission of 45, XXI
Fiscal Service 31, II
Fish and Wildlife Service, United States 50, I, IV
Food and Drug Administration 21, I
Food and Nutrition Service 7, II
Food Safety and Inspection Service 9, III
Foreign Agricultural Service 7, XV
Foreign Assets Control, Office of 31, V
Foreign Claims Settlement Commission of the United States 45, V
Foreign Service Grievance Board 22, IX
Foreign Service Impasse Disputes Panel 22, XIV
Foreign Service Labor Relations Board 22, XIV
Foreign-Trade Zones Board 15, IV

Forest Service 36, II
General Services Administration 5, LVII; 41, 105
160
Agency Chapter
Contract Appeals, Board of 48, 61
Federal Management Regulation 41, 102
Federal Property Management Regulations 41, 101
Federal Travel Regulation System 41, Subtitle F
General 41, 300
Payment From a Non-Federal Source for Travel Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
Employees
Relocation Allowances 41, 302
Temporary Duty (TDY) Travel Allowances 41, 301
Geological Survey 30, IV
Government Accountability Office 4, I
Government Ethics, Office of 5, XVI
Government National Mortgage Association 24, III
Grain Inspection, Packers and Stockyards Administration 7, VIII; 9, II
Gulf Coast Ecosystem Restoration Council 2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation 45, XVIII
Health and Human Services, Department of 2, III; 5, XLV; 45,
Subtitle A
Centers for Medicare & Medicaid Services 42, IV
Child Support Enforcement, Office of 45, III
Children and Families, Administration for 45, II, III, IV, X, XIII
Community Services, Office of 45, X
Family Assistance, Office of 45, II
Food and Drug Administration 21, I
Indian Health Service 25, V
Inspector General (Health Care), Office of 42, V
Public Health Service 42, I
Refugee Resettlement, Office of 45, IV
Homeland Security, Department of 2, XXX; 5, XXXVI; 6, I;
8, I
Coast Guard 33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage) 46, III
Federal Emergency Management Agency 44, I
Human Resources Management and Labor Relations 5, XCVII
Systems
Immigration and Customs Enforcement Bureau 19, IV
Transportation Security Administration 49, XII
HOPE for Homeowners Program, Board of Directors of 24, XXIV
Housing and Urban Development, Department of 2, XXIV; 5, LXV; 24,
Subtitle B
Community Planning and Development, Office of Assistant 24, V, VI
Secretary for
Equal Opportunity, Office of Assistant Secretary for 24, I
Federal Housing Enterprise Oversight, Office of 12, XVII
Government National Mortgage Association 24, III
Housing—Federal Housing Commissioner, Office of 24, II, VIII, X, XX
Assistant Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Inspector General, Office of 24, XII
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Secretary, Office of 24, Subtitle A, VII
Housing—Federal Housing Commissioner, Office of Assistant 24, II, VIII, X, XX
Secretary for
Housing, Office of, and Multifamily Housing Assistance 24, IV
Restructuring, Office of
Immigration and Customs Enforcement Bureau 19, IV
Immigration Review, Executive Office for 8, V
Independent Counsel, Office of 28, VII
Independent Counsel, Offices of 28, VI

Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant Secretary 25, VI
161
Agency Chapter
Indian Arts and Crafts Board 25, II
Indian Health Service 25, V
Industry and Security, Bureau of 15, VII
Information Resources Management, Office of 7, XXVII
Information Security Oversight Office, National Archives and 32, XX
Records Administration
Inspector General
Agriculture Department 7, XXVI
Health and Human Services Department 42, V
Housing and Urban Development Department 24, XII, XV
Institute of Peace, United States 22, XVII
Inter-American Foundation 5, LXIII; 22, X
Interior, Department of 2, XIV
American Indians, Office of the Special Trustee 25, VII
Endangered Species Committee 50, IV
Federal Property Management Regulations System 41, 114
Fish and Wildlife Service, United States 50, I, IV
Geological Survey 30, IV
Indian Affairs, Bureau of 25, I, V
Indian Affairs, Office of the Assistant Secretary 25, VI
Indian Arts and Crafts Board 25, II
Land Management, Bureau of 43, II
National Indian Gaming Commission 25, III
National Park Service 36, I
Natural Resource Revenue, Office of 30, XII
Ocean Energy Management, Bureau of 30, V
Reclamation, Bureau of 43, I
Safety and Enforcement Bureau, Bureau of 30, II
Secretary of the Interior, Office of 2, XIV; 43, Subtitle A
Surface Mining Reclamation and Enforcement, Office of 30, VII
Internal Revenue Service 26, I
International Boundary and Water Commission, United States 22, XI
and Mexico, United States Section
International Development, United States Agency for 22, II
International Development Cooperation Agency, United 22, XII
States
International Joint Commission, United States and Canada 22, IV
International Organizations Employees Loyalty Board 5, V
International Trade Administration 15, III; 19, III
International Trade Commission, United States 19, II
Interstate Commerce Commission 5, XL
Investment Security, Office of 31, VIII
James Madison Memorial Fellowship Foundation 45, XXIV
Japan–United States Friendship Commission 22, XVI
Joint Board for the Enrollment of Actuaries 20, VIII
Justice, Department of 2, XXVIII; 5, XXVIII;
28, I, XI; 40, IV
Alcohol, Tobacco, Firearms, and Explosives, Bureau of 27, II
Drug Enforcement Administration 21, II
Federal Prison Industries, Inc. 28, III
Foreign Claims Settlement Commission of the United 45, V
States
Immigration Review, Executive Office for 8, V
Independent Counsel, Offices of 28, VI
Prisons, Bureau of 28, V
Labor, Department of 2, XXIX; 5, XLII
Employee Benefits Security Administration 29, XXV
Employees’ Compensation Appeals Board 20, IV
Employment and Training Administration 20, V
Employment Standards Administration 20, VI

Federal Contract Compliance Programs, Office of 41, 60
162
Agency Chapter
Federal Procurement Regulations System 41, 50
Labor-Management Standards, Office of 29, II, IV
Mine Safety and Health Administration 30, I
Occupational Safety and Health Administration 29, XVII
Public Contracts 41, 50
Secretary of Labor, Office of 29, Subtitle A
Veterans’ Employment and Training Service, Office of the 41, 61; 20, IX
Wage and Hour Division 29, V
Workers’ Compensation Programs, Office of 20, I, VII
Labor-Management Standards, Office of 29, II, IV
Land Management, Bureau of 43, II
Legal Services Corporation 45, XVI
Libraries and Information Science, National Commission on 45, XVII
Library of Congress 36, VII
Copyright Royalty Board 37, III
U.S. Copyright Office 37, II
Local Television Loan Guarantee Board 7, XX
Management and Budget, Office of 5, III, LXXVII; 14, VI;
48, 99
Marine Mammal Commission 50, V
Maritime Administration 46, II
Merit Systems Protection Board 5, II, LXIV
Micronesian Status Negotiations, Office for 32, XXVII
Military Compensation and Retirement Modernization 5, XCIX
Commission
Millennium Challenge Corporation 22, XIII
Mine Safety and Health Administration 30, I
Minority Business Development Agency 15, XIV
Miscellaneous Agencies 1, IV
Monetary Offices 31, I
Morris K. Udall Scholarship and Excellence in National 36, XVI
Environmental Policy Foundation
Museum and Library Services, Institute of 2, XXXI
National Aeronautics and Space Administration 2, XVIII; 5, LIX; 14, V
National Agricultural Library 7, XLI
National Agricultural Statistics Service 7, XXXVI
National and Community Service, Corporation for 2, XXII; 45, XII, XXV
National Archives and Records Administration 2, XXVI; 5, LXVI; 36,
XII
Information Security Oversight Office 32, XX
National Capital Planning Commission 1, IV, VI
National Counterintelligence Center 32, XVIII
National Credit Union Administration 5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact Council 28, IX
National Drug Control Policy, Office of 2, XXXVI; 21, III
National Endowment for the Arts 2, XXXII
National Endowment for the Humanities 2, XXXIII
National Foundation on the Arts and the Humanities 45, XI
National Geospatial-Intelligence Agency 32, I
National Highway Traffic Safety Administration 23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency 32, I
National Indian Gaming Commission 25, III
National Institute of Food and Agriculture 7, XXXIV
National Institute of Standards and Technology 15, II; 37, IV
National Intelligence, Office of Director of 5, IV; 32, XVII
National Labor Relations Board 5, LXI; 29, I
National Marine Fisheries Service 50, II, IV
National Mediation Board 5, CI; 29, X
National Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VI
National Park Service 36, I
National Railroad Adjustment Board 29, III
National Railroad Passenger Corporation (AMTRAK) 49, VII
National Science Foundation 2, XXV; 5, XLIII; 45, VI

National Security Council 32, XXI
163
Agency Chapter
National Security Council and Office of Science and 47, II
Technology Policy
National Technical Information Service 15, XI
National Telecommunications and Information 15, XXIII; 47, III, IV, V
Administration
National Transportation Safety Board 49, VIII
Natural Resources Conservation Service 7, VI
Natural Resource Revenue, Office of 30, XII
Navajo and Hopi Indian Relocation, Office of 25, IV
Navy, Department of 32, VI
Neighborhood Reinvestment Corporation 24, XXV
Northeast Interstate Low-Level Radioactive Waste 10, XVIII
Commission
Nuclear Regulatory Commission 2, XX; 5, XLVIII; 10, I
Occupational Safety and Health Administration 29, XVII
Occupational Safety and Health Review Commission 29, XX
Ocean Energy Management, Bureau of 30, V
Oklahoma City National Memorial Trust 36, XV
Operations Office 7, XXVIII
Overseas Private Investment Corporation 5, XXXIII; 22, VII
Patent and Trademark Office, United States 37, I
Payment From a Non-Federal Source for Travel Expenses 41, 304
Payment of Expenses Connected With the Death of Certain 41, 303
Employees
Peace Corps 2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation 36, IX
Pension Benefit Guaranty Corporation 29, XL
Personnel Management, Office of 5, I, XXXV; 5, IV; 45,
VIII
Human Resources Management and Labor Relations 5, XCVII
Systems, Department of Homeland Security
Federal Employees Group Life Insurance Federal 48, 21
Acquisition Regulation
Federal Employees Health Benefits Acquisition Regulation 48, 16
Pipeline and Hazardous Materials Safety Administration 49, I
Postal Regulatory Commission 5, XLVI; 39, III
Postal Service, United States 5, LX; 39, I
Postsecondary Education, Office of 34, VI
President’s Commission on White House Fellowships 1, IV
Presidential Documents 3
Presidio Trust 36, X
Prisons, Bureau of 28, V
Privacy and Civil Liberties Oversight Board 6, X
Procurement and Property Management, Office of 7, XXXII
Public Contracts, Department of Labor 41, 50
Public and Indian Housing, Office of Assistant Secretary for 24, IX
Public Health Service 42, I
Railroad Retirement Board 20, II
Reclamation, Bureau of 43, I
Refugee Resettlement, Office of 45, IV
Relocation Allowances 41, 302
Research and Innovative Technology Administration 49, XI
Rural Business-Cooperative Service 7, XVIII, XLII
Rural Development Administration 7, XLII
Rural Housing Service 7, XVIII, XXXV
Rural Telephone Bank 7, XVI
Rural Utilities Service 7, XVII, XVIII, XLII
Safety and Environmental Enforcement, Bureau of 30, II
Saint Lawrence Seaway Development Corporation 33, IV
Science and Technology Policy, Office of 32, XXIV
Science and Technology Policy, Office of, and National 47, II
Security Council
Secret Service 31, IV
Securities and Exchange Commission 5, XXXIV; 17, II
164
Agency Chapter
Selective Service System 32, XVI
Small Business Administration 2, XXVII; 13, I
Smithsonian Institution 36, V
Social Security Administration 2, XXIII; 20, III; 48, 23
Soldiers’ and Airmen’s Home, United States 5, XI
Special Counsel, Office of 5, VIII
Special Education and Rehabilitative Services, Office of 34, III
State, Department of 2, VI; 22, I; 28, XI
Surface Mining Reclamation and Enforcement, Office of 30, VII
Surface Transportation Board 49, X
Susquehanna River Basin Commission 18, VIII
Tennessee Valley Authority 5, LXIX; 18, XIII
Trade Representative, United States, Office of 15, XX
Transportation, Department of 2, XII; 5, L
Emergency Management and Assistance 44, IV
Federal Aviation Administration 14, I
Federal Highway Administration 23, I, II
Federal Motor Carrier Safety Administration 49, III
Federal Railroad Administration 49, II
Federal Transit Administration 49, VI
Maritime Administration 46, II
National Highway Traffic Safety Administration 23, II, III; 47, IV; 49, V
Pipeline and Hazardous Materials Safety Administration 49, I
Saint Lawrence Seaway Development Corporation 33, IV
Secretary of Transportation, Office of 14, II; 49, Subtitle A
Transportation Statistics Bureau 49, XI
Transportation, Office of 7, XXXIII
Transportation Security Administration 49, XII
Transportation Statistics Bureau 49, XI
Travel Allowances, Temporary Duty (TDY) 41, 301
Treasury, Department of the 2, X;5, XXI; 12, XV; 17,
IV; 31, IX
Alcohol and Tobacco Tax and Trade Bureau 27, I
Community Development Financial Institutions Fund 12, XVIII
Comptroller of the Currency 12, I
Engraving and Printing, Bureau of 31, VI
Federal Law Enforcement Training Center 31, VII
Financial Crimes Enforcement Network 31, X
Fiscal Service 31, II
Foreign Assets Control, Office of 31, V
Internal Revenue Service 26, I
Investment Security, Office of 31, VIII
Monetary Offices 31, I
Secret Service 31, IV
Secretary of the Treasury, Office of 31, Subtitle A
Truman, Harry S. Scholarship Foundation 45, XVIII
United States and Canada, International Joint Commission 22, IV
United States and Mexico, International Boundary and Water 22, XI
Commission, United States Section
U.S. Copyright Office 37, II
Utah Reclamation Mitigation and Conservation Commission 43, III
Veterans Affairs, Department of 2, VIII; 38, I
Veterans’ Employment and Training Service, Office of the 41, 61; 20, IX
Vice President of the United States, Office of 32, XXVIII
Wage and Hour Division 29, V
Water Resources Council 18, VI

Workers’ Compensation Programs, Office of 20, I, VII
World Agricultural Outlook Board 7, XXXVIII
165
List of CFR Sections Affected
All changes in this volume of the Code of Federal Regulations (CFR)
that were made by documents published in the FEDERAL REGISTER since
January 1, 2014 are enumerated in the following list. Entries indicate the
nature of the changes effected. Page numbers refer to FEDERAL REGISTER
pages. The user should consult the entries for chapters, parts and sub-
parts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult
the annual edition of the monthly List of CFR Sections Affected (LSA).
The LSA is available at www.govinfo.gov. For changes to this volume of
the CFR prior to 2001, see the ‘‘List of CFR Sections Affected, 1949–1963,
1964–1972, 1973–1985, and 1986–2000’’ published in 11 separate volumes. The
‘‘List of CFR Sections Affected 1986–2000’’ is available at
www.govinfo.gov.
2014 1 CFR—Continued 82 FR
Page
1 CFR 79 FR Chapter III—Continued
Page
304.10 (a) revised............................. 7635
Chapter I
Chapter IV
51.3 Revised; eff. 1-6-15................... 66278
51.5 Revised; eff. 1-6-15................... 66278 455 Removed................................. 44046
51.7 (a) revised; eff. 1-6-15............... 66278 456 Removed................................. 44037
51.9 (a) and (c) revised; eff. 1-6- Chapter VI
15.............................................. 66278 Chapter VI Established ................ 44037
Chapter IV 601 Added ..................................... 45424
456 Revised ................................... 10952 Corrected.....................................48609
602 Added ..................................... 44037
2015–2016 602.14 Heading and (a) correctly
amended................................... 44879
(No regulations published) 602.15 Correctly amended.............. 44879
603 Added ..................................... 44046
2017 603.3 (c)(3)(vii) correctly redesig-
1 CFR 82 FR nated as (c)(3)(vi) ...................... 44879
Page (c)(1)(vii) corrected ......................48609
Chapter III
304.1 Revised .................................. 7632 2018
304.2 Revised .................................. 7632
304.3 Revised .................................. 7632 1 CFR 83 FR
Page
304.5 (b) and (c)(1) revised................ 7632
304.6 Revised .................................. 7633 Chapter I
304.8 Revised .................................. 7633 426 Added; interim ........................ 19409
304.9 (a), (d)(6), (e), (i)(3) and (k) 426.201—426.211 (Subpart B)
revised ....................................... 7633 Added; interim ......................... 19415
Æ
167

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Title 1

Revised as of January 1, 2019

Containing a codification of documents

Published by the Office of the Federal Register

Legal Status and Use of Seals and Logos

Use of ISBN Prefix

U.S. GOVERNMENT PUBLISHING OFFICE

U.S. Superintendent of Documents • Washington, DC 20402–0001

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

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

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

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

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

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

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

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

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

To cite the regulations in

Title 1—GENERAL PROVISIONS is composed of one volume. This volume is com-

Chapter IV contains the current Privacy Act, Freedom of Information Act,

CHAPTER I—Administrative Committee of the Federal Reg-

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

8 Code of Federal Regulations ................................... 11

15 Services to Federal agencies ................................... 19

22 Preparation of notices and proposed rules .............. 32

PART 1—DEFINITIONS 2.2 Administrative Committee of the Fed-

FEDERAL REGISTER and the ‘‘Code of

PART 5—GENERAL (a) Presidential proclamations and

§ 5.6 Daily publication. changes to regulations in the Code of

PART 8—CODE OF FEDERAL notation to that effect may serve as

§ 8.6 Forms of publication. § 9.1 Publication required.

Affected, 1973–1985’’, lists all sections of the

(3) Lists of officials heading major (1) Announcements of Presidential

§ 10.2 Scope and sources. § 10.12 Format, indexes, and ancil-

groups of documents, when issued by The Administrative Committee may

PART 11—SUBSCRIPTIONS pages; and $33 for an issue containing

PART 15—SERVICES TO FEDERAL § 15.4 Reproduction and certification

ing, procedures, and promulgation The same person may be designated to

(b) In choosing its liaison officer, Compilation of Presidential Documents

§ 16.4 Authorizing duties. Subpart B—Regular Schedule

are urged to consult with the Office of the

bond or similar quality paper, legible, original documents by digital signa-

The certified copies or duplicate § 18.10 Illustrations, tabular material,

3 At present, submission of documents by

telecommunication is limited to selected action.)

(a) Typographical or clerical errors or an act of Congress or a dispositive

changes the effective date of an agen- § 19.1 Form.

are urged to consult with the Office of the

by the head or other properly author- or by some person authorized by him to

20.5 Sources of information.

§ 20.2 Preparation of agency state- § 20.6 Form, style, arrangement and

zational structure or hierarchy that portant material, thus depriving mem-

OMB CONTROL NUMBERS (1) If a document sets out an entire

United States Code citation, where Subpart A—Notices

22.5 General requirements. § 22.6 Code designation.

1 CFR part 22 posed regulation shall also conform to

(1) Discuss, in the preamble of the (ii) Whether it is bound, numbered,

The incorporation by reference of (1) Publish notice of the change in

ministrative procedure, the provision to furnish assistance and advice on

The Chairman may request agency Subpart A—Procedures for Disclo-

PARTS 302–303 [RESERVED] § 304.1 General provisions.

Act Reference Guide’’—which is avail- record is readily reproducible in that

cy is subject to the FOIA). Ordinarily, the unusual circumstances and of the

dissemination, though it need not be FOIA Public Liaison to offer assist-