Freedom of Information Act Regulations, 54059-54069 [2018-23447]

Agencies

• DEPARTMENT OF THE TREASURY

[Federal Register Volume 83, Number 208 (Friday, October 26, 2018)]
[Proposed Rules]
[Pages 54059-54069]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-23447]


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DEPARTMENT OF THE TREASURY

31 CFR Part 1

RIN 1505-AC35


Freedom of Information Act Regulations

AGENCY: Department of the Treasury.

ACTION: Proposed rule.

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SUMMARY: This rule proposes revisions to the Department's regulations 
under the Freedom of Information Act (FOIA). The regulations are being 
revised to update and streamline procedures and incorporate certain 
changes brought about by the amendments to the FOIA under the OPEN 
Government Act of 2007 and the FOIA Improvement Act of 2016. 
Additionally, the regulations are being updated to reflect developments 
in the case law and to include current cost figures to be used in 
calculating and charging fees.

DATES: Comment due date: December 26, 2018.

ADDRESSES: You may submit comments by any of the following methods:
     Federal eRulemaking Portal: https://www.regulations.gov.
     Fax: (202) 622-3895, ATTN Ryan Law.
     Mail: Ryan Law, Deputy Assistant Secretary for Privacy, 
Transparency and Records, U.S. Department of the Treasury, 1500 
Pennsylvania Avenue NW, Washington, DC 20220.
    Comments received by mail will be considered timely if they are 
postmarked on or before the comment date. The www.regulations.gov site 
will accept comments until 11:59 p.m. eastern time on the comment due 
date. The Department will consolidate all received comments and make 
them available, without change, including any business or personal 
information that you provide such as name and address information, 
email addresses, or phone numbers. Received comments, including 
attachments and other supporting materials, are part of the public 
record and subject to public disclosure. Do not enclose any information 
in your comments or supporting materials that you consider confidential 
or inappropriate for public disclosure. Properly submitted comments 
will be available for inspection and downloading at https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Ryan Law, Deputy Assistant Secretary 
for Privacy, Transparency and Records, 202-622-0930, extension 2 (this 
is not a toll-free number).

SUPPLEMENTARY INFORMATION: 

Discussion

    This rule proposes revisions to the Department's regulations under 
the FOIA to update and streamline the language of several procedural 
provisions and to incorporate certain of the changes brought about by 
the amendments to the FOIA under the OPEN Government Act of 2007, 
Public Law 110-175, 121 Stat. 2524 and the FOIA Improvement Act of 
2016, Public Law 114-185, 130 Stat. 538. Additionally, the regulations 
are being updated to reflect developments in case law and to include 
current cost figures to be used in calculating and charging fees.
    The revisions of the FOIA regulations in 31 CFR subpart A of part 1 
incorporate changes to the language and structure of the regulations. 
Revised provisions include Sec.  1.1 (General Provisions), Sec.  1.2 
(Proactive disclosure of Department records), Sec.  1.3 (Requirements 
for making requests), Sec.  1.4 (Responsibility for responding to 
requests), Sec.  1.5 (Timing of responses to requests), Sec.  1.6 
(Responses to requests), Sec.  1.7 (Confidential commercial 
information), Sec.  1.8 (Administrative appeals), Sec.  1.9 
(Preservation of records), Sec.  1.10 (Fees), and Sec.  1.11 (Other 
rights and services).
    Sections 1.2, 1.3, 1.5, 1.6, and 1.10 all address the role of the 
FOIA Public Liaison in assisting requesters with resolving disputes 
related to their FOIA requests, as required by the OPEN Government Act 
of 2007.
    The 2007 Act also required agencies to assign tracking numbers to 
requests that will take longer than 10 days to process. This 
requirement is implemented through Sec.  1.6.
    The FOIA Improvement Act of 2016 provides that agencies must allow 
a minimum of 90 days for requesters to file an administrative appeal. 
The Act also requires that agencies notify requesters of the 
availability of dispute resolution services at various times throughout 
the FOIA process. This proposed rule updates the Department's 
regulations to reflect those statutory changes (Sec. Sec.  1.5, 1.6, 
1.8).
    A number of changes have been made to the section on fees (Sec.  
1.10). The definition of representative of the news media has been 
updated to reflect amendments to the FOIA under the OPEN Government Act 
of 2007. Further, Sec.  1.10 has been updated to reflect amendments to 
the FOIA in 2007 and 2016 that limit the agency's ability to assess 
fees when certain timelines or conditions are not met. The current 
regulation also revises Sec.  1.10 to conform to a recent decision of 
the U.S. Court of Appeals for the District of Columbia Circuit 
addressing the ``educational institution'' fee category. See Sack v. 
Dept. of Defense, 823 F.3d 687 (D.C. Cir. 2016). Specifically, the 
definition of ``educational institution'' is revised to reflect the 
holding in Sack that students who make FOIA requests in furtherance of 
their coursework or other school-sponsored activities may qualify under 
this requester category. Therefore, the requirement that such a 
requester show that the request is made under the auspices of the 
educational institution is replaced with a requirement that the 
requester show that the request is made in connection with the 
requester's role at the educational institution. Section1.10 also 
proposes revisions to the Department's fee schedule. The duplication 
charge for photocopying will decrease to $.15 per page, while document 
search and review charges have been established at $21.00, $16.50, and 
$13.00 per quarter hour for executive, professional, and administrative 
time, respectively. Treasury components will be given flexibility to 
publish their own fee schedules that deviate from the Department's fee 
schedule as

[[Page 54060]]

circumstances may warrant. Treasury components differ in the grades of 
employees that process FOIA requests, whether executive, professional, 
or administrative, and in the nature of records regularly produced for 
requesters. Therefore, Treasury has determined that as long as a 
component follows the OMB fee guidelines, it should have the discretion 
to establish its own fee structure.
    Finally, the Appendices to the current regulation have been revised 
to reflect changes in organizational structure. Appendices pertaining 
to the United States Customs Service, United States Secret Service, 
Bureau of Alcohol, Tobacco and Firearms, Federal Law Enforcement 
Training Center, and the Office of Thrift Supervision have been deleted 
as these components are no longer part of the Department of the 
Treasury. The Bureau of the Public Debt and the Financial Management 
Service were merged in 2012 to form the Bureau of the Fiscal Service 
(Appendix D in these revised regulations). Appendices for two new 
components have been added: The Alcohol and Tobacco Tax and Trade 
Bureau (Appendix H) and the Treasury Inspector General for Tax 
Administration (Appendix I).

Regulatory Flexibility Act

    The Regulatory Flexibility Act (RFA), 5 U.S.C. 601 et seq., 
requires agencies to prepare an initial regulatory flexibility analysis 
(IRFA) to determine the economic impact of the rule on small entities. 
A small entity is defined as either a small business, a small 
organization, or a small governmental jurisdiction; an individual is 
not a small entity. Section 605(b) of the RFA allows an agency to 
prepare a certification in lieu of an IRFA if the rule will not have a 
significant economic impact on a substantial number of small entities. 
Pursuant to 5 U.S.C. 605(b), it is hereby certified that this 
regulation will not have a significant economic impact on a substantial 
number of small entities. Under the FOIA, agencies may recover only the 
direct costs of searching for, reviewing, and duplicating the records 
processed for requesters. Thus, fees assessed by the Department are 
nominal. Further, the ``small entities'' that make FOIA requests, as 
compared with individual requesters and other requesters, are 
relatively few in number. Notwithstanding this certification, the 
Department invites comments on the impact this rule would have on small 
entities.

Regulatory Planning and Review

    Executive Orders 13563 and 12866 direct agencies to assess costs 
and benefits of available regulatory alternatives and, if regulation is 
necessary, to select regulatory approaches that maximize net benefits 
(including potential economic, environmental, public health and safety 
effects, distributive impacts, and equity). Executive Order 13563 
emphasizes the importance of quantifying both costs and benefits, of 
reducing costs, of harmonizing rules, and of promoting flexibility. 
This rule is not a ``significant regulatory action'' under Executive 
Order 12866.

List of Subjects in 31 CFR Part 1

    Disclosure of Records, Freedom of Information Act, Other disclosure 
provisions, Privacy Act.

    For the reasons stated in the preamble, the Department of the 
Treasury proposes to amend 31 CFR, part 1, as follows:

PART 1--DISCLOSURE OF RECORDS

0
 1. The authority citation for part 1 is revised to read as follows:

    Authority:  5 U.S.C. 301, 552, 552a, 553; 31 U.S.C. 301, 321; 31 
U.S.C. 3717.

0
 2. Subpart A of part 1 is revised to read as follows:
Subpart A--Freedom of Information Act
Sec.
1.1 General provisions.
1.2 Proactive disclosures of Department records.
1.3 Requirements for making requests.
1.4 Responsibility for responding to requests.
1.5 Timing of responses to requests.
1.6 Responses to requests.
1.7 Confidential commercial information.
1.8 Administrative appeals.
1.9 Preservation of records.
1.10 Fees.
1.11 Other rights and services.
Appendix A to Subpart A of Part 1--Departmental Offices
Appendix B to Subpart A of Part 1--Internal Revenue Service
Appendix C to Subpart A of Part 1--Bureau of Engraving and Printing
Appendix D to Subpart A of Part 1--Bureau of the Fiscal Service
Appendix E to Subpart A of Part 1--United States Mint
Appendix F to Subpart A of Part 1--Office of the Comptroller of the 
Currency
Appendix G to Subpart A of Part 1--Financial Crimes Enforcement 
Network
Appendix H to Subpart A of Part 1--Alcohol and Tobacco Tax and Trade 
Bureau
Appendix I to Subpart A of Part 1--Treasury Inspector General for 
Tax Administration

Subpart A--Freedom of Information Act


Sec.  1.1  General provisions.

    (a) This subpart contains the rules that the Department of the 
Treasury follows in processing requests for records under the Freedom 
of Information Act (FOIA), 5 U.S.C. 552 as amended. These regulations 
apply to all components of the Department of the Treasury. Requests 
made by individuals for records about themselves under the Privacy Act 
of 1974, 5 U.S.C. 552a, are processed under subpart C of part 1 as well 
as under this subpart.
    (b) The components of the Department of the Treasury for the 
purposes of this subpart are the following offices and bureaus:
    (1) The Departmental Offices, which include the offices of:
    (A) The Secretary of the Treasury, including immediate staff;
    (B) The Deputy Secretary of the Treasury, including immediate 
staff;
    (C) The Chief of Staff, including immediate staff;
    (D) The Executive Secretary of the Treasury and all offices 
reporting to such official, including immediate staff;
    (E) The Under Secretary (International Affairs) and all offices 
reporting to such official, including immediate staff;
    (F) The Under Secretary (Domestic Finance) and all offices 
reporting to such official, including immediate staff;
    (G) The Director of the Community Development Financial Institution 
Fund and all offices reporting to such official, including immediate 
staff;
    (H) The Director of the Office of Financial Research and all 
offices reporting to such official, including immediate staff;
    (I) The Under Secretary (Terrorism and Financial Intelligence) and 
all offices reporting to such official, including immediate staff;
    (J) The Director of the Office of Foreign Assets Control and all 
offices reporting to such official, including immediate staff;
    (K) The General Counsel and all offices reporting to such official, 
including immediate staff, but not including legal counsel to the 
components listed in paragraphs (b)(2) through (10) of this section;
    (L) The Treasurer of the United States, including immediate staff;
    (M) The Assistant Secretary (Legislative Affairs) and all offices 
reporting to such official, including immediate staff;
    (N) The Assistant Secretary (Public Affairs) and all offices 
reporting to such official, including immediate staff;
    (O) The Assistant Secretary (Economic Policy) and all offices 
reporting to such official, including immediate staff;
    (P) The Assistant Secretary (Tax Policy) and all offices reporting 
to such official, including immediate staff;

[[Page 54061]]

    (Q) The Assistant Secretary (Management) and all offices reporting 
to such official, including immediate staff; and
    (R) The Inspector General and all offices reporting to such 
official, including immediate staff;
    (2) The Alcohol and Tobacco Tax and Trade Bureau;
    (3) The Bureau of Engraving and Printing;
    (4) The Bureau of the Fiscal Service;
    (5) The Financial Crimes Enforcement Network;
    (6) The Internal Revenue Service;
    (7) The Office of the Comptroller of the Currency;
    (8) The United States Mint;
    (9) The Treasury Inspector General for Tax Administration;
    (10) The Special Inspector General for the Troubled Asset Relief 
Program.
    (c) Any Treasury office which is now in existence or may hereafter 
be established, which is not specifically listed above and is not a 
subsidiary unit of a component of those listed above, shall be deemed a 
part of the Departmental Offices for the purpose of these regulations.
    (d) The head of each component is hereby authorized to substitute 
the official designated and change the address specified in the 
appendix to this subpart applicable to that component. Components may 
issue supplementary regulations applicable only to the component in 
question, which (except with respect to fee schedules) shall be 
consistent with these regulations. Persons interested in the records of 
a particular component should, therefore, also consult the Code of 
Federal Regulations for any rules or regulations promulgated 
specifically with respect to that component (see Appendices to this 
subpart for cross references). In the event of any actual or apparent 
inconsistency, these Departmental regulations shall govern.


Sec.  1.2  Proactive disclosure of Department records.

    (a) Records that are required by the FOIA to be made available for 
public inspection in an electronic format may be accessed through the 
Department's website, https://www.treasury.gov, and/or on the website of 
the component that maintains such records. The FOIA office of each 
component is responsible for determining which of the component's 
records are required to be made publicly available, as well as 
identifying additional records of interest to the public that are 
appropriate for public disclosure, and for posting such records. Each 
component has a FOIA Public Liaison who can assist individuals in 
locating records particular to that component. A list of the 
Department's FOIA Public Liaisons is available at: https://home.treasury.gov/footer/freedom-of-information-act.
    (b) When a component receives three or more requests for the same 
records, it shall make available for public inspection in an electronic 
format, any records released in response to those requests.


Sec.  1.3  Requirements for making requests.

    (a) General information.
    (1) Requests should be addressed to the FOIA office of the 
component that maintains the requested records. The appendices to this 
subpart list the addresses of each FOIA office and the methods for 
submitting requests to each component. Requesters are encouraged to 
submit requests online (through FOIA.gov, component web pages or by 
completing the ``Submit an Online Request'' form located at https://home.treasury.gov/footer/freedom-of-information-act.
    (2) When a requester is unable to determine the appropriate 
Departmental component to which to direct a request, the requester may 
send the request to Freedom of Information Act Request, Department of 
the Treasury, Departmental Offices (DO), Director, FOIA and 
Transparency, 1500 Pennsylvania Avenue NW, Washington, DC 20220. The 
FOIA and Transparency team will forward the request to the component(s) 
that it determines to be most likely to maintain the records that are 
sought.
    (3) A requester who is making a request for records about himself 
or herself must comply with the verification of identity provision set 
forth in section 1.26 of subpart C of this part.
    (4) Where a request for records pertains to a third party, a 
requester may receive greater access by submitting either a notarized 
authorization signed by that individual or a declaration by that 
individual made in compliance with the requirements set forth in 28 
U.S.C. 1746, authorizing disclosure of the records to the requester, or 
submitting proof that the individual is deceased (e.g., a copy of a 
death certificate). As an exercise of its administrative discretion, 
each component can require a requester to supply additional 
information, if necessary, in order to verify that a particular 
individual has consented to disclosure.
    (b) Description of records sought. Requesters must describe the 
records sought in sufficient detail to enable Department personnel to 
locate them with a reasonable amount of effort. To the extent possible, 
requesters should include specific information that may assist a 
component in identifying the requested records, such as the date, title 
or name, author, recipient, subject matter of the record, case number, 
file designation, or reference number. Requesters should refer to the 
Appendices of this subpart for additional component-specific 
requirements. In general, requesters should include as much detail as 
possible about the specific records or the types of records that they 
are seeking. If the requester fails to reasonably describe the records 
sought, the component shall inform the requester what additional 
information is needed or why the request is deficient. Requesters who 
are attempting to reformulate or modify such a request may discuss 
their request with the component's designated FOIA contact or the FOIA 
Public Liaison. When a requester fails to provide sufficient detail 
after having been asked to clarify a request, the component shall 
notify the requester that the request has not been properly made and 
that the request will be administratively closed.


Sec.  1.4  Responsibility for responding to requests.

    (a) In general. The component that first receives a request for a 
record and maintains that record is the component responsible for 
responding to the request. In determining which records are responsive 
to a request, a component ordinarily will include only records in its 
possession as of the date that it begins its search. If any other date 
is used, the component shall inform the requester of that date. A 
record that is excluded from the requirements of the FOIA pursuant to 5 
U.S.C. 552(c), shall not be considered responsive to a request.
    (b) Authority to grant or deny requests. The head of a component, 
or designee, is authorized to grant or to deny any requests for records 
that are maintained by that component.
    (c) Re-routing of misdirected requests. When a component's FOIA 
office determines that a request was misdirected within the agency, the 
receiving component's FOIA office must route the request to the FOIA 
office of the proper component(s) within the agency.
    (d) Consultation, referral, and coordination. When reviewing 
records located by a component in response to a request, the component 
will determine whether another agency of the Federal Government is 
better able to determine whether the record is exempt from

[[Page 54062]]

disclosure under the FOIA. As to any such record, the agency must 
proceed in one of the following ways:
    (1) Consultation. When records originated with the component 
processing the request, but contain within them information of interest 
to another agency or other Federal Government office, the agency 
processing the request should typically consult with that other entity 
prior to making a release determination.
    (2) Referral. (i) When the component processing the request 
believes that a different agency is best able to determine whether to 
disclose the record, the component typically should refer the 
responsibility for responding to the request regarding that record to 
that agency. Ordinarily, the agency that originated the record is 
presumed to be the best agency to make the disclosure determination. 
However, if the component processing the request is in the best 
position to respond regarding the record, then the record may be 
handled as a consultation.
    (ii) Whenever a component refers any part of the responsibility for 
responding to a request to another agency, it must document the 
referral, maintain a copy of the record that it refers, and notify the 
requester of the referral, informing the requester of the name(s) of 
the agency to which the record was referred, including that agency's 
FOIA contact information.
    (3) Coordination. The standard referral procedure is not 
appropriate where disclosure of the identity of the agency to which the 
referral would be made could harm an interest protected by an 
applicable exemption, such as the exemptions that protect personal 
privacy or national security interests. For example, if a non-law 
enforcement agency responding to a request for records on a living 
third party locates within its files records originating with a law 
enforcement agency, and if the existence of that law enforcement 
interest in the third party was not publicly known, then to disclose 
that law enforcement interest could cause an unwarranted invasion of 
the personal privacy of the third party. Similarly, if an agency 
locates within its files material originating with an Intelligence 
Community agency, and the involvement of that agency in the matter is 
classified and not publicly acknowledged, then to disclose or give 
attribution to the involvement of that Intelligence Community agency 
could cause national security harms. In such instances, in order to 
avoid harm to an interest protected by an applicable exemption, the 
agency that received the request should coordinate with the originating 
agency to seek its views on the disclosability of the record. The 
release determination for the record that is the subject of the 
coordination should then be conveyed to the requester by the agency 
that originally received the request.
    (4) Timing of responses to consultations and referrals. All 
consultations and referrals will be handled according to the date that 
the FOIA request was initially received by the component or other 
agency of the Federal government.
    (5) Agreements regarding consultations and referrals. Components 
may establish agreements with other Treasury components or agencies of 
the Federal government to eliminate the need for consultations or 
referrals with respect to particular types of records.
    (e) Classified information. On receipt of any request involving 
classified information, the component shall take appropriate action to 
ensure compliance with part 2 of this title and with all other laws and 
regulations relating to proper handling of classified information. 
Whenever a request involves a record containing information that has 
been classified or may be appropriate for classification by another 
component or agency under any applicable executive order concerning the 
classification of records, the receiving component shall refer the 
responsibility for responding to the request regarding that information 
to the component or agency that classified the information, or that 
should consider the information for classification. Whenever a 
component's record contains information that has been derivatively 
classified, i.e., it contains information classified by another 
component or agency of the Federal government, the component shall 
refer the responsibility for responding to that portion of the request 
to the component or agency that classified the underlying information.


Sec.  1.5  Timing of responses to requests.

    (a) In general. Components ordinarily will respond to requests 
according to their order of receipt. The Appendices to this subpart 
contain the list of the Departmental components that are designated to 
accept requests. In instances involving misdirected requests, i.e., 
where a request is sent to one of the components designated in the 
Appendices but is actually seeking records maintained by another 
component, the response time will commence on the date that the request 
is received by the appropriate component, but in any event not later 
than ten working days after the request is first received.
    (b) Multitrack processing. All components must designate a specific 
track for requests that are granted expedited processing, in accordance 
with the standards set forth in paragraph (e) of this section. A 
component may also designate additional processing tracks that 
distinguish between simple and more complex requests based on the 
estimated amount of work or time needed to process the request. A 
component can consider factors such as the number of pages involved in 
processing the request or the need for consultations or referrals. 
Components shall advise requesters of the track into which their 
request falls and, when appropriate, shall offer the requesters an 
opportunity to narrow their request so that it can be placed in a 
different processing track.
    (c) Unusual circumstances. Whenever the statutory time limits for 
processing a request cannot be met because of ``unusual 
circumstances,'' as defined in the FOIA, and the component extends the 
time limits on that basis, the component shall, before expiration of 
the twenty-day period to respond, notify the requester in writing of 
the unusual circumstances involved and of the date by which processing 
of the request can be expected to be completed. Where the extension 
exceeds ten working days, the component shall, as described by the 
FOIA, provide the requester with an opportunity to modify the request 
or agree to an alternative time period for processing. The component 
shall make available its designated FOIA contact or its FOIA Public 
Liaison for this purpose. The component must also alert requesters to 
the availability of the Office of Government Information Services to 
provide dispute resolution services.
    (d) Aggregating requests. For the purposes of identifying unusual 
circumstances under the FOIA, components may aggregate requests in 
cases where it reasonably appears that multiple requests, submitted 
either by a requester or by a group of requesters acting in concert, 
constitute a single request that would otherwise involve unusual 
circumstances. Components will not aggregate multiple requests that 
involve unrelated matters.
    (e) Expedited processing. (1) Requests and appeals will be 
processed on an expedited basis only upon request and when it is 
determined that they involve:
    (i) Circumstances in which the lack of expedited processing could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;

[[Page 54063]]

    (ii) An urgency to inform the public about an actual or alleged 
Federal government activity, if made by a person who is primarily 
engaged in disseminating information. The standard of ``urgency to 
inform'' requires that the records requested pertain to a matter of 
current exigency to the public and that delaying a response to a 
request for records would compromise a significant recognized interest 
to and throughout the general public; or
    (iii) The loss of substantial due process rights.
    (2) A request for expedited processing may be made at any time. 
Requests must be submitted to the component that maintains the records 
requested. The time period for making the determination on the request 
for expedited processing under this section shall commence on the date 
that the component receives the request.
    (3) A requester who seeks expedited processing must submit a 
statement, certified to be true and correct, explaining in detail the 
basis for making the request for expedited processing. As a matter of 
administrative discretion, a component may waive the formal 
certification requirement.
    (4) A requester seeking expedited processing under paragraph 
(e)(1)(ii) of this section, who is not a full-time member of the news 
media must establish that he or she is a person whose primary 
professional activity or occupation is information dissemination. Such 
a requester also must establish a particular urgency to inform the 
public about the government activity involved in the request--one that 
extends beyond the public's right to know about government activity 
generally.
    (5) A component shall notify the requester within ten calendar days 
of the receipt of a request for expedited processing of its decision 
whether to grant or deny expedited processing. If expedited processing 
is granted, the request shall be given priority, placed in the 
processing track for expedited requests, and shall be processed as soon 
as practicable. If a component denies expedited processing, any appeal 
of that decision that complies with the procedures set forth in Sec.  
1.8 of this subpart shall be acted on expeditiously.


Sec.  1.6  Responses to requests.

    (a) Acknowledgments of requests. Upon receipt of a request that 
will take longer than ten business days to process, a component shall 
send the requester an acknowledgment letter that assigns the request an 
individualized tracking number. The component shall also include in the 
acknowledgment a brief description of the records sought to allow 
requesters to more easily keep track of their requests.
    (b) Grants of requests. Once a component makes a determination to 
grant a request in full or in part, it shall notify the requester in 
writing. The component also shall inform the requester of any fees 
charged under Sec.  1.10 of this subpart and shall disclose the 
requested records to the requester promptly upon payment of any 
applicable fees. The component must also inform the requester of the 
availability of the FOIA Public Liaison to offer assistance.
    (c) Adverse determinations of requests. A component making an 
adverse determination denying a request in any respect shall notify the 
requester of that determination in writing. Adverse determinations, or 
denials of requests, include decisions that: the requested record is 
exempt, in whole or in part; the request does not reasonably describe 
the records sought; the information requested is not a record subject 
to the FOIA; the requested record does not exist, cannot be located, or 
has been destroyed; or the requested record is not readily reproducible 
in the form or format sought by the requester. Adverse determinations 
also include denials involving fees or fee waiver matters, and denials 
of requests for expedited processing.
    (d) Content of denial letter. The denial letter shall be signed by 
the head of the component, or FOIA designee, and shall include, when 
applicable:
    (1) The name and title or position of the person responsible for 
the denial;
    (2) A brief statement of the reasons for the denial, including any 
FOIA exemption applied by the component in denying the request; and
    (3) An estimate of the volume of any records or information 
withheld, for example, by providing the number of pages or some other 
reasonable form of estimation. This estimation is not required if the 
volume is otherwise indicated by deletions marked on records that are 
disclosed in part, or if the estimate would cause a harm protected by 
one of the exemptions.
    (4) A statement that the denial may be appealed under Sec.  1.8(a) 
of this subpart, and a description of the requirements set forth 
therein.
    (5) A statement notifying the requester of the assistance available 
from the component's FOIA Public Liaison and the dispute resolution 
services offered by the Office of Government Information Services.
    (e) Markings on released documents. Records disclosed in part must 
be marked clearly to show the amount of information deleted and the 
exemption under which the deletion was made unless doing so would harm 
an interest protected by an applicable exemption. The location of the 
information deleted shall also be indicated on the record, if 
technically feasible.
    (f) Use of record exclusions.
    (1) In the event a component identifies records that may be subject 
to exclusion from the requirements of the FOIA pursuant to 5 U.S.C. 
552(c), the component shall consult with the Department of Justice, 
Office of Information Policy (OIP), before applying the exclusion.
    (2) A component invoking an exclusion must maintain an 
administrative record of the process of invocation and of the 
consultation with OIP.


Sec.  1.7  Confidential commercial information.

    (a) Definitions.
    (1) Confidential commercial information means trade secrets and 
commercial or financial information obtained by the Department from a 
submitter that may be protected from disclosure under Exemption 4 of 
the FOIA.
    (2) Submitter means any person or entity from whom the Department 
obtains confidential commercial information, directly or indirectly.
    (3) Designation of confidential commercial information. A submitter 
of confidential commercial information must use good faith efforts to 
designate by appropriate markings, either at the time of submission or 
within a reasonable time thereafter, any portion of its submission that 
it considers to be protected from disclosure under Exemption 4. These 
designations will expire ten years after the date of the submission 
unless the submitter requests and provides justification for a longer 
designation period.
    (b) When notice to submitters is required.
    (1) A component shall promptly provide written notice to a 
submitter whenever:
    (i) The requested confidential commercial information has been 
designated in good faith by the submitter as information considered 
protected from disclosure under Exemption 4; or
    (ii) The component has a reason to believe that the requested 
confidential commercial information may be protected from disclosure 
under Exemption 4 of the FOIA.
    (2) The notice shall either describe the confidential commercial 
information requested or include a copy of the

[[Page 54064]]

requested records or portions of records containing the information. In 
cases involving a voluminous number of submitters, notice may be made 
by posting or publishing the notice in a place or manner reasonably 
likely to accomplish it.
    (c) Exceptions to submitter notice requirements. The notice 
requirements of this section shall not apply if:
    (1) The component determines that the confidential commercial 
information is exempt from disclosure under the FOIA;
    (2) The confidential commercial information lawfully has been 
published or has been officially made available to the public; or
    (3) Disclosure of the confidential commercial information is 
required by a statute other than the FOIA or by a regulation issued in 
accordance with the requirements of Executive Order 12600 of June 23, 
1987;
    (d) Opportunity to object to disclosure. (1) A component will 
specify a reasonable time period as determined within its 
administrative discretion within which the submitter must respond to 
the notice referenced above. If a submitter has any objections to 
disclosure, it should provide the component a detailed written 
statement that specifies all grounds for withholding the particular 
confidential commercial information under any exemption of the FOIA. In 
order to rely on Exemption 4 as a basis for nondisclosure, the 
submitter must explain why the information constitutes a trade secret, 
or commercial or financial information that is privileged or 
confidential.
    (2) A submitter who fails to respond within the time period 
specified in the notice shall be considered to have no objection to 
disclosure of the information. An objection to disclosure received by 
the component after the time period specified in the notice will not be 
considered by the component. Any information provided by a submitter 
under this subpart may itself be subject to disclosure under the FOIA 
and/or protected from disclosure by applicable exemptions or by a 
statute other than the FOIA.
    (e) Analysis of objections. A component shall consider a 
submitter's objections and specific grounds for nondisclosure in 
deciding whether to disclose the requested confidential commercial 
information.
    (f) Notice of intent to disclose. Whenever a component decides to 
disclose confidential commercial information over the objection of a 
submitter, the component shall provide the submitter written notice, 
which shall include:
    (1) A statement of the reasons why each of the submitter's 
disclosure objections was not sustained;
    (2) Copies of the records that the component intends to disclose 
or, in the alternative, a description of the confidential commercial 
information to be disclosed; and
    (3) A specified disclosure date, which shall be a reasonable time 
subsequent to the notice.
    (g) Notice of FOIA lawsuit. Whenever a requester files a lawsuit 
seeking to compel the disclosure of confidential commercial 
information, the component shall promptly notify the submitter.
    (h) Requester notification. The component shall notify a requester 
whenever it provides the submitter with notice and an opportunity to 
object to disclosure; whenever it notifies the submitter of its intent 
to disclose the requested confidential commercial information; and 
whenever a submitter files a lawsuit to prevent the disclosure of the 
confidential commercial information.


Sec.  1.8  Administrative appeals.

    (a) Requirements for making an appeal. Before seeking review by a 
court of a component's adverse determination, a requester generally 
must first submit a timely administrative appeal. A requester may 
appeal any adverse determinations denying his or her request to the 
official specified in the appropriate Appendix to this subpart. 
Examples of adverse determinations are provided in Sec.  1.6(c) of this 
subpart. The requester must make the appeal in writing and to be 
considered timely it must be postmarked, or in the case of electronic 
submissions, transmitted, within 90 calendar days after the date of the 
component's final response. The appeal letter should clearly identify 
the component's determination that is being appealed and the assigned 
request number. The requester should mark both the appeal letter and 
envelope, or subject line of the electronic transmission, ``Freedom of 
Information Act Appeal.''
    (b) Adjudication of appeals.
    (1) The FOIA appeal official or designee specified in the 
appropriate Appendix will act on all appeals under this section.
    (2) An appeal ordinarily will not be adjudicated if the request 
becomes a matter of FOIA litigation.
    (3) On receipt of any appeal involving classified information, the 
FOIA appeal official or designee must take appropriate action to ensure 
compliance with applicable classification rules.
    (c) Decision on appeals. A decision on an appeal must be made in 
writing by the component within 20 business days after receipt of the 
appeal. A decision that upholds a component's determination must 
contain a statement that identifies the reasons for the affirmance, 
including any FOIA exemptions applied. The decision must provide the 
requester with notification of the statutory right to file a lawsuit 
and will inform the requester of the mediation services offered by the 
Office of Government Information Services of the National Archives and 
Records Administration as a non-exclusive alternative to litigation. If 
a component's decision is remanded or modified on appeal the requester 
will be notified of that determination in writing. The component will 
then further process the request in accordance with that appeal 
determination and respond directly to the requester. Appeals that have 
not been postmarked or transmitted within the specified time frame will 
be considered untimely and will be administratively closed with written 
notice to the requester.
    (d) Engaging in dispute resolution services provided by Office of 
Government Information Services (OGIS). Mediation is a voluntary 
process. If a component agrees to participate in the mediation services 
provided by OGIS, it will actively engage as a partner to the process 
in an attempt to resolve the dispute.


Sec.  1.9  Preservation of records.

    Each component shall preserve all correspondence pertaining to the 
requests that it receives under this subpart, as well as copies of all 
requested records, until disposition or destruction is authorized 
pursuant to title 44 of the United States Code or the General Records 
Schedule 4.2 of the National Archives and Records Administration. 
Records that are identified as responsive to a request will not be 
disposed of or destroyed while they are the subject of a pending 
request, administrative appeal, or lawsuit under the FOIA.


Sec.  1.10  Fees.

    (a) In general. Components may charge for processing requests under 
the FOIA in accordance with the provisions of this section or may issue 
their own fee schedules as long as they are consistent with the OMB 
Guidelines. In order to resolve any fee issues that arise under this 
section, a component may contact a requester for additional 
information. A component ordinarily will collect all applicable fees 
before sending copies of records to a requester.

[[Page 54065]]

Requesters must pay fees by check or money order made payable to the 
Treasury of the United States, or by other means specified at https://home.treasury.gov/footer/freedom-of-information-act.
    (b) Definitions. For purposes of this section:
    (1) Commercial-use request is a request for information for a use 
or a purpose that furthers a commercial, trade, or profit interest, 
which can include furthering those interests through litigation.
    (2) Direct costs are those expenses that a component expends in 
searching for and duplicating (and, in the case of commercial-use 
requests, reviewing) records in order to respond to a FOIA request. For 
example, direct costs include the salary of the employee performing the 
work (i.e., the basic rate of pay for the employee, plus 16 percent of 
that rate to cover benefits) and the cost of operating computers and 
other electronic equipment, such as photocopiers and scanners. Direct 
costs do not include overhead expenses such as the costs of space, and 
of heating or lighting a facility. Components shall ensure that 
searches, review, and duplication are conducted in the most efficient 
and the least expensive manner.
    (3) Duplication is reproducing a copy of a record or of the 
information contained in it, necessary to respond to a FOIA request. 
Copies can take the form of paper, audiovisual materials, or electronic 
records, among others.
    (4) Educational institution is any school that operates a program 
of scholarly research. A requester in this category must show that the 
request is made in connection with the requester's role at the 
educational institution. Components may seek assurance from the 
requester that the request is in furtherance of scholarly research and 
will advise requesters of their placement in this category.
    (5) Noncommercial scientific institution is an institution that is 
not operated on a ``commercial'' basis, as defined in paragraph (b)(1) 
of this section, and that is operated solely for the purpose of 
conducting scientific research, the results of which are not intended 
to promote any particular product or industry. A requester in this 
category must show that the request is authorized by and is made under 
the auspices of a qualifying institution and that the records are 
sought to further scientific research and not for a commercial use.
    (6) Representative of the news media is any person or entity that 
actively gathers information of potential interest to a segment of the 
public, uses its editorial skills to turn the raw materials into a 
distinct work, and distributes that work to an audience. The term 
``news'' means information that is about current events or that would 
be of current interest to the public. Examples of news media entities 
include television or radio stations broadcasting news to the public at 
large and publishers of periodicals that disseminate ``news'' and make 
their products available through a variety of means to the general 
public. A request for records that supports the news-dissemination 
function of the requester shall not be considered to be for a 
commercial use. ``Freelance'' journalists who demonstrate a solid basis 
for expecting publication through a news media entity shall be 
considered as a representative of the news media. A publishing contract 
would provide the clearest evidence that publication is expected; 
however, components shall also consider a requester's past publication 
record in making this determination.
    (7) Other requester refers to a requester who does not fall within 
any of the previously described categories.
    (8) Review is the examination of a record located in response to a 
request in order to determine whether any portion of it is exempt from 
disclosure. Review time includes time spent processing any record for 
disclosure, such as doing all that is necessary to prepare the record 
for disclosure, including the process of redacting the record and 
marking the appropriate exemptions. Review time also includes time 
spent obtaining and considering any formal objection to disclosure made 
by a confidential commercial information submitter under Sec.  1.7 of 
this subpart, but it does not include time spent resolving general 
legal or policy issues regarding the application of exemptions. Review 
costs are properly charged even if a record ultimately is not 
disclosed.
    (9) Search is the process of looking for and retrieving records or 
information responsive to a request. Search time includes time devoted 
to page-by-page or line-by-line identification of information within 
records; and the reasonable efforts expended to locate and retrieve 
information from electronic records.
    (c) Charging fees. Unless a component has issued a separate fee 
schedule, or a waiver or reduction of fees has been granted under 
paragraph (k) of this section, components shall charge the following 
fees. Because the fee amounts provided below already account for the 
direct costs associated with a given fee type, components should not 
add any additional costs to those charges.
    (1) Search. (i) Search fees shall be charged for all requests, 
subject to the restrictions of paragraph (d) of this section. 
Components will charge search fees for all other requesters, subject to 
the restrictions of paragraph (d) of this section. Components may 
properly charge for time spent searching even if they do not locate any 
responsive records or if they determine that the records are entirely 
exempt from disclosure.
    (ii) For each quarter hour spent by personnel searching for 
requested records, including electronic searches that do not require 
new programming, the fees shall be as follows: Executive--$21; 
professional--$16.50; and administrative--$13.00.
    (iii) In addition, requesters will be charged the direct costs 
associated with the creation of any new computer program required to 
locate the requested records.
    (2) Duplication. Duplication fees will be charged to all 
requesters, subject to the restrictions of paragraph (d) of this 
section. A component shall honor a requester's preference for receiving 
a record in a particular form or format where it is readily 
reproducible by the component in the form or format requested. Where 
photocopies are supplied, the component will provide one copy per 
request at a cost of $0.15 per page. For copies of records produced on 
tapes, disks, other forms of duplication, or other electronic media, 
components will charge the direct costs of producing the copy, 
including operator time. Where paper documents must be scanned in order 
to comply with a requester's preference to receive the records in an 
electronic format, the requester shall pay the direct costs associated 
with scanning those materials, including operator's time. For other 
forms of duplication, components will charge the direct costs.
    (3) Review. Review fees will only be charged to requesters who make 
commercial-use requests. Review fees will be assessed in connection 
with the initial review of the record, i.e., the review conducted by a 
component to determine whether an exemption applies to a particular 
record or portion of a record. No charge will be made for review at the 
administrative appeal stage of exemptions applied at the initial review 
stage. However, when the appellate authority determines that a 
particular exemption no longer applies, any costs associated with a 
component's re-review of the records in order to consider the use of 
other exemptions may be assessed as review fees. Review

[[Page 54066]]

costs are properly charged even if a record ultimately is not 
disclosed. Review fees will be charged at the same rates as those 
charged for a search under paragraph (c)(1)(ii) of this section.
    (d) Restrictions on charging fees. (1) No search fees will be 
charged for requests by educational institutions, noncommercial 
scientific institutions, or representatives of the news media (unless 
the records are sought for commercial use).
    (2) If a component fails to comply with the FOIA's time limits in 
which to respond to a request, it may not charge search fees, or, in 
the instances of requests from requesters described in paragraph (d)(1) 
of this section, may not charge duplication fees, except as described 
in paragraphs (d)(2)(i) through (iii) of this section.
    (i) If a component has determined that unusual circumstances as 
defined by the FOIA apply and the agency provided timely written notice 
to the requester in accordance with the FOIA, a failure to comply with 
the time limit shall be excused for an additional ten days.
    (ii) If a component has determined that unusual circumstances as 
defined by the FOIA apply, and more than 5,000 pages are necessary to 
respond to the request, the component may charge search fees, or, in 
the case of requesters described in paragraph (d)(1) of this section, 
may charge duplication fees if the following steps are taken. The 
component must have provided timely written notice of unusual 
circumstances to the requester in accordance with the FOIA and the 
component must have discussed with the requester via written mail, 
email, or telephone (or made not less than three good-faith attempts to 
do so) how the requester could effectively limit the scope of the 
request in accordance with 5 U.S.C. 552(a)(6)(B)(ii). If this exception 
is satisfied, the component may charge all applicable fees incurred in 
the processing of the request.
    (iii) If a court has determined that exceptional circumstances 
exist as defined in the FOIA, a failure to comply with the time limits 
shall be excused for the length of time provided by the court order.
    (3) No search or review fees will be charged for a quarter-hour 
period unless more than half of that period is required for search or 
review.
    (4) Except for requesters seeking records for a commercial use, 
components will provide without charge:
    (i) The first 100 pages of duplication (or the cost equivalent for 
other media); and
    (ii) The first two hours of search.
    (5) When, after first deducting the 100 free pages (or its cost 
equivalent) and the first two hours of search, a total fee calculated 
under paragraph (c) of this section is $25.00 or less for any request, 
no fee will be charged.
    (e) Notice of anticipated fees in excess of $25.00. When a 
component determines or estimates that the fees to be assessed in 
accordance with this section will exceed $25.00, the component shall 
notify the requester of the actual or estimated amount of the fees, 
including a breakdown of the fees for search, review or duplication, 
unless the requester has indicated a willingness to pay fees as high as 
those anticipated. If only a portion of the fee can be estimated 
readily, the component shall advise the requester accordingly. In cases 
in which a requester has been notified that the actual or estimated 
fees are in excess of $25.00, the request shall not be considered 
received and further work will not be completed until the requester 
commits in writing to pay the actual or estimated total fee. Such a 
commitment must be made by the requester in writing, must indicate a 
given dollar amount the requester is willing to pay, and must be 
received by the component within 30 calendar days from the date of 
notification of the fee estimate. If a commitment is not received 
within this period, the requester shall be notified, in writing, that 
the request shall be closed. Components will inform the requester of 
their right to seek assistance from the appropriate component FOIA 
Public Liaison or other FOIA professional to assist the requester in 
reformulating request in an effort to reduce fees. Components are not 
required to accept payments in installments. If the requester has 
indicated a willingness to pay some designated amount of fees, but the 
component estimates that the total fee will exceed that amount, the 
component will toll the processing of the request when it notifies the 
requester of the estimated fees in excess of the amount the requester 
has indicated a willingness to pay. The Component will inquire whether 
the requester wishes to revise the amount of fees the requester is 
willing to pay or modify the request. Once the requester responds, the 
time to respond will resume from where it was at the date of the 
notification.
    (f) Charges for other services. Although not required to provide 
special services, if a component chooses to do so as a matter of 
administrative discretion, the direct costs of providing the service 
will be charged. Examples of such services include certifying that 
records are true copies, providing multiple copies of the same 
document, or sending records by means other than first class mail.
    (g) Charging interest. Components may charge interest on any unpaid 
bill starting on the 31st day following the date of billing the 
requester. Interest charges will be assessed at the rate provided in 31 
U.S.C. 3717 and will accrue from the billing date until payment is 
received by the component. Components will follow the provisions of the 
Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as 
amended, and its administrative procedures, including the use of 
consumer reporting agencies, collection agencies, and offset.
    (h) Aggregating requests. When a component reasonably believes that 
a requester or a group of requesters acting in concert is attempting to 
divide a single request into a series of requests for the purpose of 
avoiding fees, the component may aggregate those requests and charge 
accordingly. Components may presume that multiple requests of this type 
made within a 30-day period have been made in order to avoid fees. For 
requests separated by a longer period, components will aggregate them 
only where there is a reasonable basis for determining that aggregation 
is warranted in view of all the circumstances involved. Multiple 
requests involving unrelated matters will not be aggregated.
    (i) Advance payments. (1) For requests other than those described 
in paragraphs (i)(2) and (i)(3) of this section, a component shall not 
require the requester to make an advance payment before work is 
commenced or continued on a request. Payment owed for work already 
completed (i.e., payment before copies are sent to a requester) is not 
an advance payment.
    (2) When a component determines or estimates that a total fee to be 
charged under this section will exceed $250.00, it may require that the 
requester make an advance payment up to the amount of the entire 
anticipated fee before beginning to process the request. A component 
may elect to process the request prior to collecting fees when it 
receives a satisfactory assurance of full payment from a requester with 
a history of prompt payment.
    (3) Where a requester has previously failed to pay a properly 
charged FOIA fee to any component or agency within 30 calendar days of 
the billing date, a component may require that the requester pay the 
full amount due, plus any applicable interest on that prior request and 
the component may require that the requester make an advance payment of 
the full amount of any anticipated fee before the component

[[Page 54067]]

begins to process a new request or continues to process a pending 
request, or any pending appeal. Where a component has a reasonable 
basis to believe that a requester has misrepresented his or her 
identity in order to avoid paying outstanding fees, it may require that 
the requester provide proof of identity.
    (4) In cases in which a component requires advance payment, the 
request shall not be considered received and further work will not be 
completed until the required payment is received. If the requester does 
not pay the advance payment within 30 calendar days after the date of 
the component's fee determination letter, the request will be closed.
    (j) Other statutes specifically providing for fees. The fee 
schedule of this section does not apply to fees charged under any 
statute that specifically requires an agency to set and collect fees 
for particular types of records. In instances where records responsive 
to a request are subject to a statutorily-based fee schedule program, 
the component will inform the requester of the contact information for 
that source.
    (k) Requirements for waiver or reduction of fees.
    (1) Requesters may seek a waiver of fees by submitting a written 
application demonstrating how disclosure of the requested information 
is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities 
of the government and is not primarily in the commercial interest of 
the requester.
    (2) A component must furnish records responsive to a request 
without charge or at a reduced rate when it determines, based on all 
available information, that disclosure of the requested information is 
in the public interest because it is likely to contribute significantly 
to public understanding of the operations or activities of the 
government and is not primarily in the commercial interest of the 
requester. In deciding whether this standard is satisfied the component 
must consider the factors described in paragraphs (k)(2)(i) through 
(iii) of this section:
    (i) Disclosure of the requested information would shed light on the 
operations or activities of the government. The subject of the request 
must concern identifiable operations or activities of the Federal 
Government with a connection that is direct and clear, not remote or 
attenuated.
    (ii) Disclosure of the requested information would be likely to 
contribute significantly to public understanding of those operations or 
activities. This factor is satisfied when the following criteria are 
met:
    (A) Disclosure of the requested records must be meaningfully 
informative about government operations or activities. The disclosure 
of information that is already in the public domain, in either the same 
or a substantially identical form, would not be meaningfully 
informative if nothing new would be added to the public's 
understanding.
    (B) The disclosure must contribute to the understanding of a 
reasonably broad audience of persons interested in the subject, as 
opposed to the individual understanding of the requester. A requester's 
expertise in the subject area as well as the requester's ability and 
intention to effectively convey information to the public must be 
considered. Components will presume that a representative of the news 
media will satisfy this consideration.
    (iii) The disclosure must not be primarily in the commercial 
interest of the requester. To determine whether disclosure of the 
requested information is primarily in the commercial interest of the 
requester, components will consider the following criteria:
    (A) Components must identify whether the requester has any 
commercial interest that would be furthered by the requested 
disclosure. A commercial interest includes any commercial, trade, or 
profit interest. Requesters must be given an opportunity to provide 
explanatory information regarding this consideration.
    (B) If there is an identified commercial interest, the component 
must determine whether that is the primary interest furthered by the 
request. A waiver or reduction of fees is justified when the 
requirements of paragraphs (k)(2)(i) and (ii) of this section are 
satisfied and any commercial interest is not the primary interest 
furthered by the request. Components ordinarily will presume that when 
a news media requester has satisfied the requirements of paragraphs 
(k)(2)(i) and (ii) of this section, the request is not primarily in the 
commercial interest of the requester. Disclosure to data brokers or 
others who merely compile and market government information for direct 
economic return will not be presumed to primarily serve the public 
interest.
    (3) Where only some of the records to be released satisfy the 
requirements for a waiver of fees, a waiver shall be granted for those 
records.
    (4) Requests for a waiver or reduction of fees should be made when 
the request is first submitted to the component and should address the 
criteria referenced above. A requester may submit a fee waiver request 
at a later time so long as the underlying record request is pending or 
on administrative appeal. When a requester who has committed to pay 
fees subsequently asks for a waiver of those fees and that waiver is 
denied, the requester shall be required to pay any costs incurred up to 
the date the fee waiver request was received.
    (5) The requester shall be notified in writing of the decision to 
grant or deny the fee waiver.


Sec.  1.11  Other rights and services.

    Nothing in this subpart shall be construed to entitle any person, 
as of right, to any service or to the disclosure of any record to which 
such person is not entitled under the FOIA.

Appendix A to Subpart A of Part 1--Departmental Offices

    1. In general. This appendix applies to the Departmental Offices 
as defined in 31 CFR 1.1(b)(1).
    2. Public Reading Room. The public reading room for the 
Departmental Offices is the Treasury Library. The library is located 
in the Freedman's Bank Building (Treasury Annex), Room 1020, 1500 
Pennsylvania Avenue NW, Washington, DC 20220. For building security 
purposes, visitors are required to make an appointment by calling 
202-622-0990. Treasury also maintains an electronic reading room, 
which may be accessed at https://home.treasury.gov/footer/freedom-of-information-act.
    3. Requests for records.
    (a) Initial determinations as to whether to grant requests for 
records of the Departmental Offices will be made by the Director for 
FOIA and Transparency, or the designee of such official, with the 
exception of initial determinations by the Office of the Inspector 
General and the Special Inspector General for the Troubled Asset 
Relief Program, which will be made by the designee of the respective 
Inspector General.
    (b) Requests for records should be sent to: Freedom of 
Information Request, Departmental Offices, Director, FOIA and 
Transparency, Department of the Treasury, 1500 Pennsylvania Avenue 
NW, Washington, DC 20220. Requests may also be submitted via email 
at [email protected].
    4. Administrative appeal of initial determination to deny 
records.
    (a) Appellate determinations with respect to records of the 
Departmental Offices or requests for expedited processing will be 
made by the Deputy Assistant Secretary for Privacy, Transparency, 
and Records, or the designee of such official, with the exception of 
appellate determinations by the Office of the Inspector General and 
the Special Inspector General for the Troubled Asset Relief Program, 
which will be made by the respective Inspector General or his or her 
designee.
    (b) Appeals should be addressed to: Freedom of Information 
Appeal, Departmental Offices, FOIA and

[[Page 54068]]

Transparency, Department of the Treasury, 1500 Pennsylvania Avenue 
NW, Washington, DC 20220. Appeals may also be submitted via email at 
[email protected].

Appendix B to Subpart A of Part 1--Internal Revenue Service

    1. In general. This appendix applies to the Internal Revenue 
Service (IRS). See also 26 CFR 601.702.
    2. Public reading room. The IRS no longer maintains physical 
reading rooms. Documents for the public are found on various 
websites at irs.gov including the electronic FOIA Reading Room 
located at https://www.irs.gov/uac/electronic-reading-room.
    3. Requests for records. Initial determinations as to whether to 
grant requests for records of the IRS, grant expedited processing, 
grant a fee waiver, or determine requester category will be made by 
those officials specified in 26 CFR 601.702.
    Requests for records should be submitted to the IRS using the 
information below:

               IRS Accepts FOIA Requests by Fax or by Mail
------------------------------------------------------------------------
  If your request is for IRS Headquarters
   Office records concerning matters of      If your request is for your
     nationwide applicability, such as      own records or other records
    published guidance (regulations and        controlled at IRS field
   revenue rulings), program management,    locations including Division
    operations, or policies, including      Counsel offices that are not
 National or Headquarters Offices of Chief   available at the Electronic
 Counsel records that are not available at     FOIA Reading Room site:
  the Electronic FOIA Reading Room site:
------------------------------------------------------------------------
Fax: 877-807-9215                           Fax: 877-891-6035.
Mail: IRS FOIA Request, Stop 211, P.O. Box  Mail: IRS FOIA Request, Stop
 621506, Atlanta, GA 30362-3006.             93A, Post Office Box
                                             621506, Atlanta GA 30362-
                                             3006.
------------------------------------------------------------------------

    4. Administrative appeal of initial determination to deny 
records. Appellate determinations with respect to records of the 
Internal Revenue Service will be made by the Commissioner of 
Internal Revenue or the delegate of such officer. Appeals must be in 
writing and addressed to: IRS Appeals Attention: FOIA Appeals, M/
Stop 55202, 5045 E. Butler Ave., Fresno, CA 93727-5136.

Appendix C to Subpart A of Part 1--Bureau of Engraving and Printing

    1. In general. This appendix applies to the Bureau of Engraving 
and Printing (BEP).
    2. Public reading room. BEP's public reading room is located at 
14th and C Streets SW, Washington, DC 20228. Individuals wishing to 
visit the public reading room must request an appointment by 
telephoning (202) 874-2500. The reading room is open on official 
business days from 10:00 a.m. to 4:00 p.m. eastern standard time. 
Visitors shall comply with 31 CFR part 605, governing the conduct of 
persons within the buildings and grounds of the BEP. In addition, 
BEP also maintains an electronic reading room, which may be accessed 
at https://www.bep.gov/bepfoialibrary.html.
    3. Requests for records. Initial determinations as to whether to 
grant or deny requests for records of the BEP or applicable fees 
will be made by the BEP Director delegate, i.e., Disclosure Officer. 
Requests may be mailed or faxed to: FOIA/PA Request, Disclosure 
Officer, Bureau of Engraving and Printing, Office of the Chief 
Counsel--FOIA and Transparency Services, Washington, DC 20228-0001, 
Fax Number: (202) 874-2951.
    4. Administrative Appeal of initial determination to deny 
records. Appellate determinations with respect to records of the BEP 
will be made by the Director of the BEP or the delegate of the 
Director for purposes of this section. Appeals may be mailed or 
delivered in person to: FOIA/PA APPEAL, Director, Bureau of 
Engraving and Printing, Office of the Director, 14th and C Streets 
SW, Washington, DC 20228-0001.

Appendix D to Subpart A of Part 1-- Bureau of the Fiscal Service

    1. In general. This appendix applies to the Bureau of the Fiscal 
Service.
    2. Public reading room. The public reading room for the Bureau 
of the Fiscal Service is the Treasury Library. The library is 
located in the Freedman's Bank Building (Treasury Annex), Room 1020, 
1500 Pennsylvania Avenue NW, Washington, DC 20220. For building 
security reasons, visitors are required to make an appointment by 
calling 202-622-0990. Fiscal Service also maintains an electronic 
reading room, which may be accessed at https://www.fiscal.treasury.gov/foia/foia_readingroom.htm.
    3. Requests for records. Initial determinations whether to grant 
requests for records will be made by the Disclosure Officer, Bureau 
of the Fiscal Service. Requests may be mailed or delivered in person 
to: Freedom of Information Request, Disclosure Officer, Bureau of 
the Fiscal Service, 401 14th Street SW, Washington, DC 20227.
    4. Administrative appeal of initial determination to deny 
records. Appellate determinations will be made by the Commissioner, 
Bureau of the Fiscal Service, or that official's delegate. Appeals 
may be mailed to: Freedom of Information Appeal (FOIA), 
Commissioner, Bureau of the Fiscal Service 401 14th Street SW, 
Washington, DC 20227.
    Appeals may be delivered personally to the Office of the 
Commissioner, Bureau of the Fiscal Service, 401 14th Street SW, 
Washington, DC.

Appendix E to Subpart A of Part 1--United States Mint

    1. In general. This appendix applies to the United States Mint.
    2. Public reading room. The U.S. Mint will provide a room on an 
ad hoc basis when necessary. Contact the Freedom of Information/
Privacy Act Officer, United States Mint, Judiciary Square Building, 
7th Floor, 633 3rd Street NW, Washington, DC 20220.
    3. Requests for records. Initial determinations as to whether to 
grant requests for records of the United States Mint will be made by 
the Freedom of Information/Privacy Act Officer, United States Mint. 
Requests may be mailed or delivered in person to: Freedom of 
Information Act Request, Freedom of Information/Privacy Act Officer, 
United States Mint, Judiciary Square Building, 7th Floor, 633 3rd 
Street NW, Washington, DC 20220.
    4. Administrative appeal of initial determination to deny 
records. Appellate determinations with respect to records of the 
United States Mint will be made by the Director of the Mint. Appeals 
made by mail should be addressed to: Freedom of Information Appeal, 
Director, United States Mint, Judiciary Square Building, 7th Floor, 
633 3rd Street NW, Washington, DC 20220.

Appendix F to Subpart A of Part 1--Office of the Comptroller of the 
Currency

    1. In general. This appendix applies to the Office of the 
Comptroller of the Currency.
    2. Public reading room. The Office of the Comptroller of the 
Currency will make materials available through its Public 
Information Room at 250 E Street SW, Washington, DC 20219.
    3. Requests for records. Initial determinations as to whether to 
grant requests for records of the Office of the Comptroller of the 
Currency will be made by the Disclosure Officer or the official so 
designated. Requests may be mailed or delivered in person to: 
Freedom of Information Act Request, Disclosure Officer, 
Communications Division, 3rd Floor, Comptroller of the Currency, 250 
E Street SW, Washington, DC 20219.
    4. Administrative appeal of initial determination to deny 
records. Appellate determinations with respect to records of the 
Comptroller of the Currency will be made by the Chief Counsel or 
delegates of such official. Appeals made by mail shall be addressed 
to: Communications Division, Comptroller of the Currency, 250 E 
Street SW, Washington, DC 20219.

[[Page 54069]]

    Appeals may be delivered personally to the Communications 
Division, Comptroller of the Currency, 250 E Street SW, Washington, 
DC.

Appendix G to Subpart A of Part 1--Financial Crimes Enforcement Network

    1. In general. This appendix applies to the Financial Crimes 
Enforcement Network (FinCEN).
    2. Public reading room. FinCEN will provide records on the 
online reading room located on the FinCEN FOIA page or in the Code 
of Federal Regulations.
    3. Requests for records. Initial determinations as to whether to 
grant requests for records of FinCEN will be made by the Freedom of 
Information Act/Privacy Act Officer, FinCEN. Requests for records 
may be mailed to: Freecom of Information Act/Privacy Act Request, 
Financial Crimes Enforcement Network, Post Office Box 39, Vienna, VA 
22183.
    4 Administrative appeal of initial determination to deny 
records. Appellate determinations with respect to the records of 
FinCEN will be made by the Director of FinCEN or the delegate of the 
Director. Appeals should be mailed to: Freedom of Information Act 
Appeal, Post Office Box 39, Vienna, VA 22183, or emailed to: 
[email protected].

Appendix H to Subpart A of Part 1--Alcohol and Tobacco Tax and Trade 
Bureau

    1. In general. This appendix applies to the Alcohol and Tobacco 
Tax and Trade Bureau (TTB).
    2. Public reading room. The public reading room for TTB is 
maintained at 1310 G Street NW, Washington, DC 20005. For building 
security purposes, visitors are required to make an appointment by 
calling 202-882-9904.
    3. Requests for records. Initial determinations as to whether to 
grant requests for records of TTB will be made by the Director, 
Regulations and Rulings Division. Requests for records may be mailed 
to: TTB FOIA Requester Service Center, 1310 G Street NW, Box 12, 
Washington, DC 20005. Requests may also be faxed to: 202-453-2331.
    4. Administrative appeal of initial determination to deny 
records. Appellate determinations with respect to the records of TTB 
will be made by the Assistant Administrator (Headquarters 
Operations), Alcohol and Tobacco Tax and Trade Burea or the delegate 
of such official. Appeals may be mailed or delivered in person to: 
FOIA Appeal, Assistant Administrator (Headquarters Operations), 
Alcohol and Tobacco Tax and Trade Bureau, 1310 G Street NW, Box 12, 
Washington, DC 20005.

Appendix I to Subpart A of Part 1--Treasury Inspector General for Tax 
Administration

    1. In general. This appendix applies to the Treasury Inspector 
General for Tax Administration (TIGTA).
    2. Public reading room. TIGTA will provide a room upon request 
when necessary. Contact the Disclosure Branch, Office of Chief 
Counsel, TIGTA, at 202-622-4068.
    3. Requests for records. Initial determinations as to whether to 
grant requests for records of TIGTA will be made by the Disclosure 
Officer, TIGTA. Requests for records may be mailed to: Freedom of 
Information Act/Privacy Act Request, Treasury Inspector General for 
Tax Administration, Office of Chief Counsel, Disclosure Branch, 1401 
H Street NW, Room 469, Washington, DC 20005. You may also view the 
How to Make a FOIA Request for TIGTA Records at https://www.treasury.gov/tigta/important_foia_mafr.shtml. TIGTA's FOIA email 
address is [email protected].
    4. Administrative appeal of initial determination to deny 
records. Appellate determinations with respect to the records of 
TIGTA will be made by the Chief Counsel, TIGTA, or the delegate of 
the Chief Counsel. Appeals should be mailed to: Freedom of 
Information Act/Privacy Act Appeal, Treasury Inspector General for 
Tax Administration, Office of Chief Counsel, 1401 H Street NW, Room 
469, Washington, DC 20005.

David F. Eisner,
Assistant Secretary for Management.
[FR Doc. 2018-23447 Filed 10-25-18; 8:45 am]
 BILLING CODE 4810-25-P