\[Federal Register: January 27, 2003 (Volume 68, Number 17)\]

\[Rules and **Regulations**\]

\[Page 4055-4069\]

From the Federal Register Online via GPO Access \[wais.access.gpo.gov\]

\[DOCID:fr27ja03-19\]

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Part VIII

Department of Homeland Security

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6 CFR Chapter I and Part 5

Freedom of Information Act and Privacy Act Procedures; Interim Final

Rule

6 CFR Part 5

Production or Disclosure of Official Information in Connection With

Legal Proceedings; Interim Final Rule

6 CFR Part 7

Classified National Security Information; Interim Final Rule

\[\[Page 4056\]\]

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DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

6 CFR Chapter I and Part 5

Freedom of Information Act and Privacy Act Procedures

AGENCY: Office of the Secretary, Homeland Security.

ACTION: Interim final rule.

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

SUMMARY: This interim final rule establishes procedures for the public

to obtain information from the Office of the Secretary, Department of

Homeland Security, under the Freedom of Information Act and the Privacy

Act.

DATES: This interim final rule is effective January 27, 2003. Written

comments may be submitted by February 26, 2003.

ADDRESSES: Submit written comments (preferably an original and three

copies) to Associate General Counsel (General Law), Department of

Homeland Security, Washington, DC 20528.

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

free call.

SUPPLEMENTARY INFORMATION:

I. Background

On November 25, 2002, the President signed into law the Homeland

Security Act (Pub. L. 107-296), which created the new Department of

Homeland Security (DHS). Pursuant to the provisions of the Act, the new

Department came into existence on January 24, 2003.

In order to establish procedures to facilitate public interaction

with the DHS Office of the Secretary, DHS is issuing an initial series

of **proposed** and interim final **regulations**.

II\. The Interim Final Rule

This interim final rule establishes procedures for the DHS Office

of the Secretary necessary to implement the Freedom of Information Act

(5 U.S.C. 552) and the Privacy Act (5 U.S.C. 552a). Except to the

extent a Department component has adopted separate guidance under FOIA

or the Privacy Act, the provisions of this subpart shall to apply each

component of the Department.

The Freedom of Information Act provides for the full disclosure of

agency records and information to the public unless that information is

exempted under clearly delineated statutory language. The Privacy Act

serves to safeguard public interest in informational privacy by

delineating the duties and responsibilities of federal agencies that

collect, store, and disseminate personal information about individuals.

The procedures established here ensure that the Department of Homeland

Security fully satisfies its responsibility to the public to disclose

departmental information while simultaneously safeguarding individual

privacy.

The Privacy Act serves to balance the government\'s need to maintain

information about individuals with the rights of individuals to be

protected against unwarranted invasions of their privacy stemming from

federal agencies\' collection, maintenance, use, and disclosure of

personal information about them. Agencies are required to issue

**regulations** outlining the agency\'s rules and procedures for

implementation of the Privacy Act and its provisions in the agency.

This includes procedures on how individuals may request access to

information about themselves, request amendment or correction of those

records, and request an accounting of disclosures of their records by

the Department.

III\. Procedural Requirements

Because the DHS came into existence on January 24, 2003, it is

necessary to promptly establish procedures to facilitate the

interaction of the public with the Department. Furthermore, this

Interim Final Rule generally parallels the procedures currently used by

other agencies to implement the Freedom of Information Act and the

Privacy Act. Accordingly the Department has determined that notice and

public procedure are impracticable, unnecessary and contrary to the

public interest pursuant to 5 U.S.C. 553(b)(B). For the same reasons,

the Department has determined that this interim rule should be issued

without a delayed effective date pursuant to 5 U.S.C. 553 (d)(3).

Because no notice of **proposed** rulemaking is required, the

provisions of the Regulatory Flexibility Act (5 U.S.C. Chapter 6) do

not apply. It has been determined that this rulemaking is not a

significant regulatory action for the purposes of Executive Order

12866\. Accordingly, a regulatory impact analysis is not required.

List of Subjects in 6 CFR Part 5

Classified information, Freedom of information, Privacy.

Authority and Issuance

For the reasons set forth above, the Department of Homeland

Security establishes 6 CFR Chapter I in new Title 6\--Homeland Security,

consisting at this time of part 5 to read as set forth below.

Dated: January 24, 2003.

Tom Ridge,

Secretary of Homeland Security.

Title 6\--Homeland Security

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

PART 5\--DISCLOSURE OF RECORDS AND INFORMATION

Subpart A\--Freedom of Information Act

Sec.

5.1 General provisions.

5.2 Public reading rooms.

5.3 Requirements for making requests.

5.4 Responsibility for responding to requests.

5.5 Timing of responses to requests.

5.6 Responses to requests.

5.7 Classified information.

5.8 Business information.

5.9 Appeals.

5.10 Preservation of records.

5.11 Fees.

5.12 Other rights and services.

Subpart B\--Privacy Act

5.20 General provisions.

5.21 Requests for access to records.

5.22 Responsibility for responding to requests for access to

records.

5.23 Responses to requests for access to records.

5.24 Classified information.

5.25 Appeals.

5.26 Requests for amendment or correction of records.

5.27 Requests for an accounting of record disclosures.

5.28 Preservation of records.

5.29 Fees.

5.30 Notice of court-ordered and emergency disclosures.

5.31 Security of systems of records.

5.32 Contracts for the operation of record systems.

5.33 Use and collection of social security numbers.

5.34 Standards of conduct for administration of the Privacy Act.

5.35 Sanctions and penalties.

5.36 Other rights and services.

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

Homeland Security

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

Homeland Security

Authority: Pub. L. 107-296, 116 Stat. 2135; (6 U.S.C. 101 et

seq.); 5 U.S.C. 301. Subpart A also issued under 5 U.S.C. 552.

Subpart B also issued under 5 U.S.C. 552a.

\[\[Page 4057\]\]

Subpart A\--Freedom of Information Act

Sec. 5.1 General provisions.

(a)(1) This subpart A contains the rules that the Department of

Homeland Security (Department) follows in processing requests for

records under the Freedom of Information Act (FOIA) (5 U.S.C. 552).

These rules should be read together with the FOIA, which provides

additional information about access to records maintained by the

Department. Requests made by individuals for records about themselves

under the Privacy Act of 1974 (5 U.S.C. 552a), which are processed

under subpart B of this part, are processed under this subpart also.

Information routinely provided to the public as part of a regular

Department activity (for example, press releases issued by the

Assistant Secretary for Public Affairs may be provided to the public

without following this subpart).

\(2\) The provisions established by this subpart shall apply to all

Department components that are transferred to the Department. Except to

the extent a Department component has adopted separate guidance under

FOIA, the provisions of this subpart shall apply to each component of

the Department. Departmental components may issue their own guidance

under this subpart pursuant to approval by the Department.

\(b\) As used in this subpart, component means each separate bureau,

office, board, division, commission, service, or administration of the

Department.

Sec. 5.2 Public reading rooms.

\(a\) Records that are required to be maintained by the Department in

a public reading room will be made available electronically at

[www.dhs.gov/foia](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=www.dhs.gov/foia).
Each Department component will be responsible for

determining which of the records it generates are required to be made

available and to make those records available either in its own reading

room or in the Department\'s central reading room. Each component shall

maintain and make available for public inspection and copying a current

subject-matter index of its reading room records. Each index shall be

updated regularly, at least quarterly, with respect to newly included

records.

\(b\) The Department components maintain public reading rooms or

areas at the locations listed below:

\(1\) Animal and Plant Health Inspection Service Library, 4700 River

Road, Riverdale, MD 20737-1232;

\(2\) Plum Island Animal Disease Center, the APHIS address above or,

USDA-ARS, 5601 Sunnyside Avenue, Building 1, Room 2248, Beltsville, MD

20705-5128;

\(3\) Critical Infrastructure Assurance Office (A former office of

the Bureau of Industry and Security) does not maintain a conventional

public reading room. Records that are required to be in the public

reading room are available electronically at
[http://www.bis.doc.gov/FOIA/Default.htm](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.bis.doc.gov/FOIA/Default.htm)

;

\(4\) FIRESTAT (formerly the Integrated Hazard Information System of

the National Oceanic and Atmospheric Administration), NOAA Public

Reference Facility, 1305 East-West Highway (SSMC4), Room 8627, Silver

Spring, MD 20910;

\(5\) National Communication Service (a former component of the

Defense Information Systems Agency) does not maintain a conventional

public reading room. Records that are required to be in the public

reading room are available electronically at
[http://disa.mil/gc/foia/foia.html](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://disa.mil/gc/foia/foia.html)

;

\(6\) The address for each component and program listed below is:

U.S. Department of Energy; 1000 Independence Avenue, SW., Washington,

DC 20585:

\(i\) Energy Assurance Office;

\(ii\) Environmental Measurements Laboratory;

\(iii\) Nuclear Incident Response Team;

\(iv\) The chemical and biological national security and supporting

programs and activities of the non-proliferation and verification

research and development program;

\(v\) The life sciences activities related to microbial pathogens of

Biological and Environmental Research Program;

\(vi\) The nuclear smuggling programs and activities within the

proliferation detection program of the non-proliferation and

verification research and development program;

\(vii\) The nuclear assessment program and activities of the

assessment, detection, and cooperation program of the international

materials protection and cooperation program, and the advanced

scientific computing research program and activities at Lawrence

Livermore National Laboratory; and

\(viii\) The National Infrastructure Simulation and Analysis Center;

\(7\) The address for each component and program listed below is:

Freedom of Information Act Officer at: Department of Health and Human

Services, Freedom of Information Officer, Room 645-F, Hubert H.

Humphrey Building, Independence Avenue, SW., Washington, DC 20201:

\(i\) Metropolitan Medical Response System;

\(ii\) National Disaster Medical System;

\(8\) Office of Emergency Preparedness please contact the Strategic

National Stockpile Centers for Disease Control and Agency for Toxic

Substances and Disease Registry, 1600 Clifton Road, NE., Room 4103,

Building 1, Atlanta, GA 30333;

\(9\) Immigration and Naturalization Service, 111 Massachusetts

Avenue, NW., 2nd Floor, ULLICO Building, Washington, DC 20536;

\(10\) For the National Infrastructure Protection Center, the

National Domestic Preparedness Office, and the Domestic Emergency

Support Team: Federal Bureau of Investigation, 935 Pennsylvania Avenue,

NW., Department of Justice, Washington, DC 20535-0001;

\(11\) Office of Domestic Preparedness, U.S. Department of Justice,

Office of Justice Programs, 810 7th Street, NW., Room 5430, Washington,

DC 20531;

\(12\) Visa Office, Department of State, 2201 C Street, NW.,

Washington, DC 20520;

\(13\) Federal Aviation Administration, 800 Independence Avenue, SW.,

Washington, DC 20591;

\(14\) Transportation Security Administration, 400 Seventh Street,

SW., Washington, DC 20590;

\(15\) United States Coast Guard Headquarters, 2100 Second Street,

SW., Washington, DC 20593-0001 (for district offices, consult your

phone book);

\(16\) The Federal Law Enforcement Training Center does not maintain

a conventional public reading room. Records that are required to be in

the public reading room are available electronically at
[http://www.fletc.gov/irm/foia/readingroom.htm](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.fletc.gov/irm/foia/readingroom.htm)

;

\(17\) U.S. Customs Service, Freedom of Information Request, 1300

Pennsylvania Avenue, NW., Mint Annex, Washington, DC 20229-0001 (for a

list of field office reading room locations please consult 19 CFR

103.1);

\(18\) U.S. Secret Service, Main Treasury, Freedom of Information

Request, 950 H Street, NW., Suite 3000, Washington, DC;

\(19\) Federal Emergency Management Agency, Federal Center Plaza, 500

C Street, SW., Room 840, Washington, DC 20472 (for regional offices,

consult your phone book);

\(20\) For the Federal Computer Incident Response Center and the

Federal Protective Service: Central Office, GSA Headquarters, 1800 F

Street, NW (CAI), Washington, DC 20405 (for regional offices, consult

the phone book);

\(c\) Components shall also make reading room records created by the

Department on or after November 1, 1996, available electronically via

the component web-site. This includes each component\'s index of its

reading room

\[\[Page 4058\]\]

records, which will indicate which records are available

electronically.

Sec. 5.3 Requirements for making requests.

\(a\) How made and addressed. You may make a request for records of

the Department by writing directly to the Department component that

maintains those records. For additional information about the FOIA, you

may refer directly to the statute. If you are making a request for

records about yourself, see Sec. 5.21(d) for additional requirements.

If you are making a request for records about another individual,

either a written authorization signed by that individual permitting

disclosure of those records to you or proof that that individual is

deceased (for example, a copy of a death certificate or an obituary)

must be submitted. Your request should be sent to the component\'s FOIA

office at the address listed in appendix A to part 5. In most cases,

your FOIA request should be sent to a component\'s central FOIA office.

(The functions of each component are summarized elsewhere in this title

and in the description of the Department and its components in the

\`\`United States Government Manual,\'\' which is issued annually and is

available in most libraries, as well as for sale from the Government

Printing Office\'s Superintendent of Documents. This manual also can be

accessed electronically at the Government Printing Office\'s World Wide

Web site (which can be found at <http://www.access.gpo.gov/su_docs>).)

If you cannot determine where within the Department to send your

request, you may send it to the Departmental Disclosure Officer,

Department of Homeland Security, Washington, DC 20528. That office will

forward your request to the component(s) it believes most likely to

have the records that you want. Your request will be considered

received as of the date it is received by the proper component\'s FOIA

office. For the quickest possible handling, you should mark both your

request letter and the envelope \`\`Freedom of Information Act
Request.\'\'

\(b\) Description of records sought. You must describe the records

that you seek in enough detail to enable Department personnel to locate

them with a reasonable amount of effort. Whenever possible, your

request should include specific information about each record sought,

such as the date, title or name, author, recipient, and subject matter

of the record. If known, you should include any file designations or

descriptions for the records that you want. As a general rule, the more

specific you are about the records or type of records that you want,

the more likely the Department will be able to locate those records in

response to your request. If a component determines that your request

does not reasonably describe records, it shall tell you either what

additional information is needed or why your request is otherwise

insufficient. The component also shall give you an opportunity to

discuss your request so that you may modify it to meet the requirements

of this section. If your request does not reasonably describe the

records you seek, the agency\'s response to your request may be delayed.

\(c\) Agreement to pay fees. If you make a FOIA request, it shall be

considered a firm commitment by you to pay all applicable fees charged

under Sec. 5.11 up to \$ 25.00, unless you seek a waiver of fees. In

making your FOIA request, please indicate whether you are willing to

pay for the request or desire a waiver. The component responsible for

responding to your request ordinarily will confirm this commitment in

an acknowledgement letter. When making a request, you may specify a

willingness to pay a greater or lesser amount. If you are seeking a

waiver of fees you must provide a justification for your fee waiver

request in accordance with the requirements of Sec. 5.11(k). If your

request for a fee waiver is denied, the component will notify you of

that decision and will request an agreement from you to pay fees up to

\$25, or a greater or lesser amount specified by you. Your request shall

not be considered received and further work shall not be done on it

until you agree to pay fees. If you do not provide a firm commitment to

pay the anticipated fee within the time period specified by the

component, the request will be administratively closed.

Sec. 5.4 Responsibility for responding to requests.

\(a\) In general. Except as stated in paragraphs (c), (d), and (e) of

this section, the component that first receives a request for a record

and has possession of that record is the component responsible for

responding to the request. In determining which records are responsive

to a request, a component ordinarily will include only records in its

possession as of the date the component begins its search for them. If

any other date is used, the component shall inform the requester of

that date.

\(b\) Authority to grant or deny requests. The head of a component,

or the component head\'s designee, is authorized to grant or deny any

request for a record of that component.

\(c\) Consultations and referrals. When a component receives a

request for a record in its possession, it shall determine whether

another component, or another agency of the Federal Government, is

better able to determine whether the record is exempt from disclosure

under the FOIA and, if so, whether it should be disclosed as a matter

of administrative discretion. If the receiving component determines

that it is best able to process the record in response to the request,

then it shall do so. If the receiving component determines that it is

not best able to process the record, then it shall either:

\(1\) Respond to the request regarding that record, after consulting

with the component or agency best able to determine whether to disclose

it and with any other component or agency that has a substantial

interest in it; or

\(2\) Refer the responsibility for responding to the request

regarding that record to the component best able to determine whether

to disclose it, or to another agency that originated the record (but

only if that agency is subject to the FOIA). Ordinarily, the component

or agency that originated a record will be presumed to be best able to

determine whether to disclose it.

\(d\) Law enforcement information. Whenever a request is made for a

record containing information that relates to an investigation of a

possible violation of law and was originated by another component or

agency, the receiving component shall either refer the responsibility

for responding to the request regarding that information to that other

component or agency or consult with that other component or agency.

\(e\) Classified information. Whenever a request is made for a record

containing information that has been classified, or may be appropriate

for classification, by another component or agency under Executive

Order 12958 or any other executive order concerning the classification

of records, the receiving component shall refer the responsibility for

responding to the request regarding that information to the component

or agency that classified the information, or which should consider the

information for classification, or which has the primary interest in

it, as appropriate. Whenever a record contains information that has

been derivatively classified by a component because it contains

information classified by another component or agency, the component

shall refer the responsibility for responding to the request regarding

that information to the component or agency that classified the

underlying information.

\[\[Page 4059\]\]

\(f\) Notice of referral. Whenever a component refers all or any part

of the responsibility for responding to a request to another component

or agency, it ordinarily shall notify the requester of the referral and

inform the requester of the name of each component or agency to which

the request has been referred and of the part of the request that has

been referred.

\(g\) Timing of responses to consultations and referrals. All

consultations and referrals will be handled according to the date the

FOIA request initially was received by the first component or agency,

not any later date.

\(h\) Agreements regarding consultations and referrals. Components

may make agreements with other components or agencies to eliminate the

need for consultations or referrals for particular types of records.

Sec. 5.5 Timing of responses to requests.

\(a\) In general. Components ordinarily shall respond to requests

according to their order of receipt.

\(b\) Multitrack processing. (1) A component may use two or more

processing tracks by distinguishing between simple and more complex

requests based on the amount of work and/or time needed to process the

request, including through limits based on the number of pages

involved. If a component does so, it shall advise requesters in its

slower track(s) of the limits of its faster track(s).

\(2\) A component using multitrack processing may provide requesters

in its slower track(s) with an opportunity to limit the scope of their

requests in order to qualify for faster processing within the specified

limits of the component\'s faster track(s). A component doing so will

contact the requester either by telephone or by letter, whichever is

more efficient in each case.

\(c\) Unusual circumstances. (1) Where the statutory time limits for

processing a request cannot be met because of \`\`unusual

circumstances,\'\' as defined in the FOIA, and the component determines

to extend the time limits on that basis, the component shall as soon as

practicable notify the requester in writing of the unusual

circumstances and of the date by which processing of the request can be

expected to be completed. Where the extension is for more than ten

working days, the component shall provide the requester with an

opportunity either to modify the request so that it may be processed

within the time limits or to arrange an alternative time period with

the component for processing the request or a modified request.

\(2\) Where a component reasonably believes that multiple requests

submitted by a requester, or by a group of requesters acting in

concert, constitute a single request that would otherwise involve

unusual circumstances, and the requests involve clearly related

matters, they may be aggregated. Multiple requests involving unrelated

matters will not be aggregated.

\(d\) Expedited processing. (1) Requests and appeals will be taken

out of order and given expedited treatment whenever it is determined

that they involve:

\(i\) Circumstances in which the lack of expedited treatment could

reasonably be expected to pose an imminent threat to the life or

physical safety of an individual;

\(ii\) An urgency to inform the public about an actual or alleged

federal government activity, if made by a person primarily engaged in

disseminating information.

\(2\) A request for expedited processing may be made at the time of

the initial request for records or at any later time. A request for

expedited processing must be submitted to the component that maintains

the record requested. Requests based on the categories in paragraphs

(d)(1)(i), (ii), and (iii) of this section must be submitted to the

component that maintains the records requested.

\(3\) A requester who seeks expedited processing must submit a

statement, certified to be true and correct to the best of that

person\'s knowledge and belief, explaining in detail the basis for

requesting expedited processing. For example, a requester within the

category in paragraph (d)(1)(ii) of this section, if not a full-time

member of the news media, must establish that he or she is a person

whose main professional activity or occupation is information

dissemination, though it need not be his or her sole occupation. A

requester within the category in paragraph (d)(1)(ii) of this section

also must establish a particular urgency to inform the public about the

government activity involved in the request, beyond the public\'s right

to know about government activity generally. The formality of

certification may be waived as a matter of administrative discretion.

\(4\) Within ten calendar days of its receipt of a request for

expedited processing, the proper component shall decide whether to

grant it and shall notify the requester of the decision. If a request

for expedited treatment is granted, the request shall be given priority

and shall be processed as soon as practicable. If a request for

expedited processing is denied, any appeal of that decision shall be

acted on expeditiously.

Sec. 5.6 Responses to requests.

\(a\) Acknowledgements of requests. On receipt of a request, a

component ordinarily shall send an acknowledgement letter to the

requester which shall confirm the requester\'s agreement to pay fees

under Sec. 5.3(c) and provide an assigned request number for further

reference.

\(b\) Grants of requests. Ordinarily, a component shall have twenty

business days from when a request is received to determine whether to

grant or deny the request. Once a component makes a determination to

grant a request in whole or in part, it shall notify the requester in

writing. The component shall inform the requester in the notice of any

fee charged under Sec. 5.11 and shall disclose records to the

requester promptly on payment of any applicable fee. Records disclosed

in part shall be marked or annotated to show the amount of information

deleted unless doing so would harm an interest protected by an

applicable exemption. The location of the information deleted also

shall be indicated on the record, if technically feasible.

\(c\) Adverse determinations of requests. A component making an

adverse determination denying a request in any respect shall notify the

requester of that determination in writing. Adverse determinations, or

denials of requests, consist of: A determination to withhold any

requested record in whole or in part; a determination that a requested

record does not exist or cannot be located; a determination that a

record is not readily reproducible in the form or format sought by the

requester; a determination that what has been requested is not a record

subject to the FOIA; a determination on any disputed fee matter,

including a denial of a request for a fee waiver; and a denial of a

request for expedited processing. The denial letter shall be signed by

the head of the component, or the component head\'s designee, and shall

include:

\(1\) The name and title or position of the person responsible for

the denial;

\(2\) A brief statement of the reason(s) for the denial, including

any FOIA exemption applied by the component in denying the request;

\(3\) An estimate of the volume of records or information withheld,

in number of pages or in some other reasonable form of estimation. This

estimate does not need to be provided if the volume is otherwise

indicated through deletions on records disclosed in part, or if

providing an estimate

\[\[Page 4060\]\]

would harm an interest protected by an applicable exemption; and

\(4\) A statement that the denial may be appealed under Sec. 5.9(a)

and a description of the requirements of Sec. 5.9(a).

Sec. 5.7 Classified information.

In processing a request for information that is classified under

Executive Order 12958 (3 CFR, 1996 Comp., p. 333) or any other

executive order, the originating component shall review the information

to determine whether it should remain classified. Information

determined to no longer require classification shall not be withheld on

the basis of Exemption 1 of the FOIA. On receipt of any appeal

involving classified information, the Associate General Counsel

(General Law) shall take appropriate action to ensure compliance with

Part 7 of this title.

Sec. 5.8 Business information.

\(a\) In general. Business information obtained by the Department

from a submitter will be disclosed under the FOIA, if otherwise

allowable, only under this section.

\(b\) Definitions. For purposes of this section:

\(1\) Business information means commercial or financial information

obtained by the Department from a submitter that may be protected from

disclosure under Exemption 4 of the FOIA.

\(2\) Submitter means any person or entity from whom the Department

obtains business information, directly or indirectly. The term

includes, but is not limited to, corporations; state, local, and tribal

governments; and foreign governments.

\(c\) Designation of business information. A submitter of business

information will use good-faith efforts to designate, by appropriate

markings, either at the time of submission or at a reasonable time

thereafter, any portions of its submission that it considers to be

protected from disclosure under Exemption 4. These designations will

expire ten years after the date of the submission unless the submitter

requests, and provides justification for, a longer designation period.

\(d\) Notice to submitters. A component shall provide a submitter

with prompt written notice of a FOIA request or administrative appeal

that seeks its business information wherever required under paragraph

\(e\) of this section, except as provided in paragraph (h) of this

section, in order to give the submitter an opportunity to object to

disclosure of any specified portion of that information under paragraph

\(f\) of this section. The notice shall either describe the business

information requested or include copies of the requested records or

record portions containing the information. When notification of a

voluminous number of submitters is required, notification may be made

by posting or publishing the notice in a place reasonably likely to

accomplish it.

\(e\) Where notice is required. Notice shall be given to a submitter

wherever:

\(1\) The information has been designated in good faith by the

submitter as information considered protected from disclosure under

Exemption 4; or

\(2\) The component has reason to believe that the information may be

protected from disclosure under Exemption 4.

\(f\) Opportunity to object to disclosure. A component will allow a

submitter a reasonable time to respond to the notice described in

paragraph (d) of this section and will specify that time period within

the notice. If a submitter has any objection to disclosure, it is

required to submit a detailed written statement. The statement must

specify all grounds for withholding any portion of the information

under any exemption of the FOIA and, in the case of Exemption 4, it

must show why the information is a trade secret or commercial or

financial information that is privileged or confidential. In the event

that a submitter fails to respond to the notice within the time

specified in it, the submitter will be considered to have no objection

to disclosure of the information. Information provided by the submitter

that is not received by the component until after its disclosure

decision has been made shall not be considered by the component.

Information provided by a submitter under this paragraph may itself be

subject to disclosure under the FOIA.

\(g\) Notice of intent to disclose. A component shall consider a

submitter\'s objections and specific grounds for nondisclosure in

deciding whether to disclose business information. Whenever a component

decides to disclose business information over the objection of a

submitter, the component shall give the submitter written notice, which

shall include:

\(1\) A statement of the reason(s) why each of the submitter\'s

disclosure objections was not sustained;

\(2\) A description of the business information to be disclosed; and

\(3\) A specified disclosure date, which shall be a reasonable time

subsequent to the notice.

\(h\) Exceptions to notice requirements. The notice requirements of

paragraphs (d) and (g) of this section shall not apply if:

\(1\) The component determines that the information should not be

disclosed pursuant to exemption four and/or any other exemption of the

FOIA;

\(2\) The information lawfully has been published or has been

officially made available to the public;

\(3\) Disclosure of the information is required by statute (other

than the FOIA) or by a regulation issued in accordance with the

requirements of Executive Order 12600 (3 CFR, 1988 Comp., p. 235); or

\(4\) The designation made by the submitter under paragraph (c) of

this section appears obviously frivolous, except that in such a case

the component shall, within a reasonable time prior to a specified

disclosure date, give the submitter written notice of any final

decision to disclose the information.

\(i\) Notice of FOIA lawsuit. Whenever a requester files a lawsuit

seeking to compel the disclosure of business information, the component

shall promptly notify the submitter.

\(j\) Corresponding notice to requesters. Whenever a component

provides a submitter with notice and an opportunity to object to

disclosure under paragraph (d) of this section, the component shall

also notify the requester(s). Whenever a component notifies a submitter

of its intent to disclose requested information under paragraph (g) of

this section, the component shall also notify the requester(s).

Whenever a submitter files a lawsuit seeking to prevent the disclosure

of business information, the component shall notify the requester(s).

Sec. 5.9 Appeals.

\(a\) Appeals of adverse determinations. (1) If you are dissatisfied

with a component\'s response to your request, you may appeal an adverse

determination denying your request, in any respect, to the Associate

General Counsel (General Law), Department of Homeland Security,

Washington, DC 20528. You must make your appeal in writing and it must

be received by the Associate General Counsel (General Law) within 60

days of the date of the letter denying your request. Your appeal letter

may include as much or as little related information as you wish, as

long as it clearly identifies the component determination (including

the assigned request number, if known) that you are appealing. For the

quickest possible handling, you should mark your appeal

\[\[Page 4061\]\]

letter and the envelope \`\`Freedom of Information Act Appeal.\'\'

\(2\) An adverse determination by the Associate General Counsel

(General Law) will be the final action of the Department; and

\(3\) An appeal ordinarily will not be acted on if the request

becomes a matter of FOIA litigation.

\(b\) Responses to appeals. The decision on your appeal will be made

in writing. A decision affirming an adverse determination in whole or

in part shall contain a statement of the reason(s) for the affirmance,

including any FOIA exemption(s) applied, and will inform you of the

FOIA provisions for court review of the decision. If the adverse

determination is reversed or modified on appeal, in whole or in part,

you will be notified in a written decision and your request will be

reprocessed in accordance with that appeal decision.

\(c\) When appeal is required. If you wish to seek review by a court

of any adverse determination, you must first appeal it under this

section.

Sec. 5.10 Preservation of records.

Each component shall preserve all correspondence pertaining to the

requests that it receives under this subpart, as well as copies of all

requested records, until disposition or destruction is authorized by

title 44 of the United States Code or the National Archives and Records

Administration\'s General Records Schedule 14. Records will not be

disposed of while they are the subject of a pending request, appeal, or

lawsuit under the FOIA.

Sec. 5.11 Fees.

\(a\) In general. Components shall charge for processing requests

under the FOIA in accordance with paragraph (c) of this section, except

where fees are limited under paragraph (d) of this section or where a

waiver or reduction of fees is granted under paragraph (k) of this

section. A component ordinarily shall collect all applicable fees

before sending copies of requested records to a requester. Requesters

must pay fees by check or money order made payable to the Treasury of

the United States.

\(b\) Definitions. For purposes of this section:

\(1\) Commercial use request means a request from or on behalf of a

person who seeks information for a use or purpose that furthers his or

her commercial, trade, or profit interests, which can include

furthering those interests through litigation. Components shall

determine, whenever reasonably possible, the use to which a requester

will put the requested records. When it appears that the requester will

put the records to a commercial use, either because of the nature of

the request itself or because a component has reasonable cause to doubt

a requester\'s stated use, the component shall provide the requester a

reasonable opportunity to submit further clarification.

\(2\) Direct costs means those expenses that an agency actually

incurs in searching for and duplicating (and, in the case of commercial

use requests, reviewing) records to respond to a FOIA request. Direct

costs include, for example, the salary of the employee performing the

work (the basic rate of pay for the employee, plus 16 percent of that

rate to cover benefits) and the cost of operating duplication

machinery. Not included in direct costs are overhead expenses such as

the costs of space and heating or lighting of the facility in which the

records are kept.

\(3\) Duplication means the making of a copy of a record, or of the

information contained in it, necessary to respond to a FOIA request.

Copies can take the form of paper, microform, audiovisual materials, or

electronic records (for example, magnetic tape or disk), among others.

Components shall honor a requester\'s specified preference of form or

format of disclosure if the record is readily reproducible with

reasonable efforts in the requested form or format by the office

responding to the request.

\(4\) Educational institution means a preschool, a public or private

elementary or secondary school, an institution of undergraduate higher

education, an institution of graduate higher education, an institution

of professional education, or an institution of vocational education,

that operates a program of scholarly research. To be in this category,

a requester must show that the request is authorized by and is made

under the auspices of a qualifying institution and that the records are

not sought for a commercial use but are sought to further scholarly

research.

\(5\) Noncommercial scientific institution means an institution that

is not operated on a \`\`commercial\'\' basis, as that term is defined
in

paragraph (b)(1) of this section, and that is operated solely for the

purpose of conducting scientific research the results of which are not

intended to promote any particular product or industry. To be in this

category, a requester must show that the request is authorized by and

is made under the auspices of a qualifying institution and that the

records are not sought for a commercial use but are sought to further

scientific research.

\(6\) Representative of the news media, or news media requester,

means any person actively gathering news for an entity that is

organized and operated to publish or broadcast news to the public. The

term \`\`news\'\' means information that is about current events or that

would be of current interest to the public. Examples of news media

entities include television or radio stations broadcasting to the

public at large and publishers of periodicals (but only in those

instances where they can qualify as disseminators of \`\`news\'\') who
make

their products available for purchase or subscription by the general

public. For \`\`freelance\'\' journalists to be regarded as working for
a

news organization, they must demonstrate a solid basis for expecting

publication through that organization. A publication contract would be

the clearest proof, but components shall also look to the past

publication record of a requester in making this determination. To be

in this category, a requester must not be seeking the requested records

for a commercial use. However, a request for records supporting the

news-dissemination function of the requester shall not be considered to

be for a commercial use.

\(7\) Review means the examination of a record located in response to

a request in order to determine whether any portion of it is exempt

from disclosure. It also includes processing any record for disclosure

(for example, doing all that is necessary to redact it and prepare it

for disclosure). Review costs are recoverable even if a record

ultimately is not disclosed. Review time includes time spent

considering any formal objection to disclosure made by a business

submitter under Sec. 5.8, but does not include time spent resolving

general legal or policy issues regarding the application of exemptions.

\(8\) Search means the process of looking for and retrieving records

or information responsive to a request. It includes page-by-page or

line-by-line identification of information within records and also

includes reasonable efforts to locate and retrieve information from

records maintained in electronic form or format. Components shall

ensure that searches are done in the most efficient and least expensive

manner reasonably possible. For example, components shall not search

line-by-line where duplicating an entire document would be quicker and

less expensive.

\(c\) Fees. In responding to FOIA requests, components shall charge

the following fees unless a waiver or reduction of fees has been

granted under paragraph (k) of this section:

\(1\) Search. (i) Search fees shall be charged for all requests other

than requests made by educational

\[\[Page 4062\]\]

institutions, noncommercial scientific institutions, or representatives

of the news media, subject to the limitations of paragraph (d) of this

section. Components may charge for time spent searching even if they do

not locate any responsive record or if they withhold the record(s)

located as entirely exempt from disclosure.

\(ii\) Fees for search time are assessed by the hourly wage of the

personnel filling the request. These fees are subject to change.

Currently, for each quarter hour spent by clerical personnel in

searching for and retrieving a requested record, the fee will be \$4.00.

Where a search and retrieval cannot be performed entirely by clerical

personnel (for example, where the identification of records within the

scope of a request requires the use of professional personnel) the fee

will be \$7.00 for each quarter hour of search time spent by

professional personnel. Where the time of managerial personnel is

required, the fee will be \$10.25 for each quarter hour of time spent by

those personnel.

\(iii\) For computer searches of records, requesters will be charged

the direct costs of conducting the search, although certain requesters

(as provided in paragraph (d)(1) of this section) will be charged no

search fee and certain other requesters (as provided in paragraph

(d)(3) of this section) will be entitled to the cost equivalent of two

hours of manual search time without charge. These direct costs will

include the cost of operating a central processing unit for that

portion of operating time that is directly attributable to searching

for responsive records, as well as the costs of operator/programmer

salary apportionable to the search.

\(iv\) For requests requiring the retrieval of records from any

Federal Records Center, certain additional costs may be incurred in

accordance with the Transactional Billing Rate Schedule established by

the National Archives and Records Administration, effective October 1,

2002\.

\(2\) Duplication. Duplication fees will be charged to all

requesters, subject to the limitations of paragraph (d) of this

section. For a paper photocopy of a record (no more than one copy of

which need be supplied), the fee will be ten cents per page. For copies

produced by computer, such as tapes or printouts, components will

charge the direct costs, including operator time, of producing the

copy. For other forms of duplication, components will charge the direct

costs of that duplication.

\(3\) Review. Review fees will be charged to requesters who make a

commercial use request. Review fees will be charged only for the

initial record review (the review done when a component determines

whether an exemption applies to a particular record or record portion

at the initial request level). No charge will be made for review at the

administrative appeal level for an exemption already applied. However,

records or record portions withheld under an exemption that is

subsequently determined not to apply may be reviewed again to determine

whether any other exemption not previously considered applies; the

costs of that review are chargeable where it is made necessary by such

a change of circumstances. Review fees will be charged at the same

rates as those charged for a search under paragraph (c)(1)(ii) of this

section.

\(d\) Restrictions on charging fees. (1) No search fee will be

charged for requests by educational institutions, noncommercial

scientific institutions, or representatives of the news media.

\(2\) No search fee or review fee will be charged for a quarter-hour

period unless more than half of that period is required for search or

review.

\(3\) Except for requesters seeking records for a commercial use,

components will provide without charge:

\(i\) The first 100 pages of duplication (or the cost equivalent);

and

\(ii\) The first two hours of search (or the cost equivalent).

\(4\) No fee will be charged whenever a total fee calculated under

paragraph (c) of this section is less than the agency\'s cost to process

the check. Currently, whenever a total fee calculated under paragraph

\(c\) of this section is \$14.00 or less for any request, no fee will be

charged.

\(5\) The provisions of paragraphs (d) (3) and (d)(4) of this section

work together. This means that for requesters other than those seeking

records for a commercial use, no fee will be charged unless the cost of

search in excess of two hours plus the cost of duplication in excess of

100 pages totals more than \$14.00.

\(e\) Notice of anticipated fees in excess of \$25.00. When a

component determines or estimates that the fees to be charged under

this section will amount to more than \$25.00, the component shall

notify the requester of the actual or estimated amount of the fees,

unless the requester has indicated a willingness to pay fees as high as

those anticipated. If only a portion of the fee can be estimated

readily, the component shall advise the requester that the estimated

fee may be only a portion of the total fee. In cases in which a

requester has been notified that actual or estimated fees amount to

more than \$25.00, the request shall not be considered received and

further work shall not be done on it until the requester makes a firm

commitment to pay the anticipated total fee. Any such agreement should

be memorialized by the requester in writing and must be received by the

component within a time period specified by the component in its notice

to the requester. If the requester does not provide a firm commitment

to pay the anticipated fee within the time period specified by the

component, the request will be administratively closed. A notice under

this paragraph will offer the requester an opportunity to discuss the

matter with Department personnel in order to reformulate the request to

meet the requester\'s needs at a lower cost.

\(f\) Charges for other services. Apart from the other provisions of

this section, when a component chooses as a matter of administrative

discretion to provide a special service (such as certifying that

records are true copies or sending them by other than ordinary mail)

the direct costs of providing the service ordinarily will be charged.

\(g\) Charging interest. Components may charge interest on any unpaid

bill starting on the 31st day following the date of billing the

requester. Interest charges will be assessed at the rate provided in 31

U.S.C. 3717 and will accrue from the date of the billing until payment

is received by the component. Components will follow the provisions of

the Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as

amended, and its administrative procedures, including the use of

consumer reporting agencies, collection agencies, and offset.

\(h\) Aggregating requests. Where a component reasonably believes

that a requester or a group of requesters acting together is attempting

to divide a request into a series of requests for the purpose of

avoiding fees, the component may aggregate those requests and charge

accordingly. Components may presume that multiple requests of this type

made within a 30-day period have been made in order to avoid fees.

Where requests are separated by a longer period, components will

aggregate them only where there exists a solid basis for determining

that aggregation is warranted under all the circumstances involved.

Multiple requests involving unrelated matters will not be aggregated.

\(i\) Advance payments. (1) For requests other than those described

in paragraphs (i)(2) and (3) of this section, a component shall not

require the requester to make a advance payment before work is begun or

continued on a request. Payment owed for work already completed (such

as a prepayment before

\[\[Page 4063\]\]

copies are sent to a requester) is not an advance payment.

\(2\) Where a component determines or estimates that a total fee to

be charged under this section will be more than \$250.00, it may require

the requester to make an advance payment of an amount up to the amount

of the entire anticipated fee before beginning to process the request,

except where it receives a satisfactory assurance of full payment from

a requester that has a history of prompt payment.

\(3\) Where a requester has previously failed to pay a properly

charged FOIA fee to any component or agency within 30 days of the date

of billing, a component may require the requester to pay the full

amount due, plus any applicable interest, and to make an advance

payment of the full amount of any anticipated fee, before the component

begins to process a new request or continues to process a pending

request from that requester.

\(4\) In cases in which a component requires advance payment, the

request shall not be considered received and further work will not be

done on it until the required payment is received.

\(j\) Other statutes specifically providing for fees. The fee

schedule of this section does not apply to fees charged under any

statute that specifically requires an agency to set and collect fees

for particular types of records. Where records responsive to requests

are maintained for distribution by agencies operating such statutorily

based fee schedule programs, components will inform requesters of the

steps for obtaining records from those sources so that they may do so

most economically.

\(k\) Requirements for waiver or reduction of fees. (1) Records

responsive to a request will be furnished without charge or at a charge

reduced below that established under paragraph (c) of this section

where a component determines, based on all available information, that

the requester has demonstrated that:

\(i\) Disclosure of the requested information is in the public

interest because it is likely to contribute significantly to public

understanding of the operations or activities of the government; and

\(ii\) Disclosure of the information is not primarily in the

commercial interest of the requester.

\(2\) To determine whether the first fee waiver requirement is met,

components will consider the following factors:

\(i\) The subject of the request: Whether the subject of the

requested records concerns \`\`the operations or activities of the

government.\'\' The subject of the requested records must concern

identifiable operations or activities of the federal government, with a

connection that is direct and clear, not remote or attenuated.

\(ii\) The informative value of the information to be disclosed:

Whether the disclosure is \`\`likely to contribute\'\' to an
understanding

of government operations or activities. The disclosable portions of the

requested records must be meaningfully informative about government

operations or activities in order to be \`\`likely to contribute\'\' to
an

increased public understanding of those operations or activities. The

disclosure of information that already is in the public domain, in

either a duplicative or a substantially identical form, would not be as

likely to contribute to such understanding where nothing new would be

added to the public\'s understanding.

\(iii\) The contribution to an understanding of the subject by the

public likely to result from disclosure: Whether disclosure of the

requested information will contribute to \`\`public understanding.\'\'
The

disclosure must contribute to the understanding of a reasonably broad

audience of persons interested in the subject, as opposed to the

individual understanding of the requester. A requester\'s expertise in

the subject area and ability and intention to effectively convey

information to the public shall be considered. It shall be presumed

that a representative of the news media will satisfy this

consideration.

\(iv\) The significance of the contribution to public understanding:

Whether the disclosure is likely to contribute \`\`significantly\'\' to

public understanding of government operations or activities. The

public\'s understanding of the subject in question, as compared to the

level of public understanding existing prior to the disclosure, must be

enhanced by the disclosure to a significant extent. Components shall

not make value judgments about whether information that would

contribute significantly to public understanding of the operations or

activities of the government is \`\`important\'\' enough to be made
public.

\(3\) To determine whether the second fee waiver requirement is met,

components will consider the following factors:

\(i\) The existence and magnitude of a commercial interest: Whether

the requester has a commercial interest that would be furthered by the

requested disclosure. Components shall consider any commercial interest

of the requester (with reference to the definition of \`\`commercial

use\'\' in paragraph (b)(1) of this section), or of any person on whose

behalf the requester may be acting, that would be furthered by the

requested disclosure. Requesters shall be given an opportunity in the

administrative process to provide explanatory information regarding

this consideration.

\(ii\) The primary interest in disclosure: Whether any identified

commercial interest of the requester is sufficiently large, in

comparison with the public interest in disclosure, that disclosure is

\`\`primarily in the commercial interest of the requester.\'\' A fee
waiver

or reduction is justified where the public interest standard is

satisfied and that public interest is greater in magnitude than that of

any identified commercial interest in disclosure. Components ordinarily

shall presume that where a news media requester has satisfied the

public interest standard, the public interest will be the interest

primarily served by disclosure to that requester. Disclosure to data

brokers or others who merely compile and market government information

for direct economic return shall not be presumed to primarily serve the

public interest.

\(4\) Where only some of the records to be released satisfy the

requirements for a waiver of fees, a waiver shall be granted for those

records.

\(5\) Requests for the waiver or reduction of fees should address the

factors listed in paragraphs (k)(2) and (3) of this section, insofar as

they apply to each request. Components will exercise their discretion

to consider the cost-effectiveness of their investment of

administrative resources in this decisionmaking process, however, in

deciding to grant waivers or reductions of fees.

\(l\) Payment of outstanding fees. The Department shall not process a

FOIA request from persons with an unpaid fee from any previous FOIA

request to any Federal agency until that outstanding fee has been paid

in full to the agency.

Sec. 5.12 Other rights and services.

Nothing in this subpart shall be construed to entitle any person,

as of right, to any service or to the disclosure of any record to which

such person is not entitled under the FOIA.

Subpart B\--Privacy Act

Sec. 5.20 General provisions.

\(a\) Purpose and scope. (1) This subpart contains the rules that the

Department of Homeland Security (Department) follows under the Privacy

Act of 1974 (5 U.S.C. 552a). These rules should be read together with

the Privacy Act, which provides additional information about records

maintained

\[\[Page 4064\]\]

on individuals. The rules in this subpart apply to all records in

systems of records maintained by the Department that are retrieved by

an individual\'s name or personal identifier. They describe the

procedures by which individuals may request access to records about

themselves, request amendment or correction of those records, and

request an accounting of disclosures of those by the Department. In

addition, the Department processes all Privacy Act requests for access

to records under the Freedom of Information Act (FOIA) ( 5 U.S.C. 552),

following the rules contained in subpart A of this part, which gives

requests the benefit of both statutes.

\(2\) The provisions established by this subpart shall apply to all

Department components that are transferred to the Department. Except to

the extent a Department component has adopted separate guidance under

the Privacy Act, the provisions of this subpart shall apply to each

component of the Department. Departmental components may issue their

own guidance under this subpart pursuant to approval by the Department.

\(b\) Definitions. As used in this subpart:

\(1\) Component means each separate bureau, office, board, division,

commission, service, or administration of the Department.

\(2\) Request for access to a record means a request made under

Privacy Act subsection (d)(1).

\(3\) Request for amendment or correction of a record means a request

made under Privacy Act subsection (d)(2).

\(4\) Request for an accounting means a request made under Privacy

Act subsection (c)(3).

\(5\) Requester means an individual who makes a request for access, a

request for amendment or correction, or a request for an accounting

under the Privacy Act.

\(c\) Authority to request records for a law enforcement purpose. The

head of a component or designee thereof is authorized to make written

requests under subsection (b)(7) of the Privacy Act for records

maintained by other agencies that are necessary to carry out an

authorized law enforcement activity.

\(d\) Notice on Departmental use of (b)(1) exemption. As a general

matter, when applying the (b)(1) exemption for disclosures within an

agency on a need to know basis, the Department will consider itself a

single entity, meaning that information may be disclosed between

components of the Department under the (b)(1) exemption.

\(e\) Interim Retention of Authorities. As an interim solution, all

agencies and components under the Department will retain the necessary

authority from their original purpose in order to conduct these

necessary activities. This includes the authority to maintain Privacy

Act systems of records, disseminate information pursuant to existing or

new routine uses, and retention of exemption authorities under sections

\(j\) and (k) of the Privacy Act, where applicable. This retention of an

agency or component\'s authorities and information practices will remain

in effect until this regulation is promulgated as a final rule, or the

Department revises all systems of records notices. This retention of

authority is necessary to allow components to fulfill their mission and

purpose during the transition period of the establishment of the

Department. During this transition period, the Department shall

evaluate with the components the existing authorities and information

practices and determine what revisions (if any) are appropriate and

should be made to these existing authorities and practices. The

Department anticipates that such revisions will be made either through

the issuance of a revised system of records notices or through

subsequent final **regulations**.

Sec. 5.21 Requests for access to records.

\(a\) How made and addressed. You may make a request for access to a

Department of Homeland Security record about yourself by appearing in

person or by writing directly to the Department component that

maintains the record. Your request should be sent or delivered to the

component\'s Privacy Act office at the address listed in appendix A to

this part. In most cases, a component\'s central Privacy Act office is

the place to send a Privacy Act request. For records held by a field

office of the U.S. Customs Service, U.S. Secret Service, U.S. Coast

Guard, or any other Department component with field offices, however,

you must write directly to that Customs, Secret Service, Coast Guard,

or other field office address, which can be found in most telephone

books or by calling the component\'s central Privacy Act office. (The

functions of each component are summarized elsewhere in this title and

in the description of the Department and its components in the
\`\`United

States Government Manual,\'\' which is issued annually and is available

in most libraries, as well as for sale from the Government Printing

Office\'s Superintendent of Documents. This manual also can be accessed

electronically at the Government Printing Office\'s World Wide Web site

(which can be found at <http://www.access.gpo.gov/su_docs>). Some

records are maintained under a government-wide systems of records

notice, for example, Official Personnel Files are maintained under the

authority of the Office of Personnel Management. In order to access

records maintained under a government-wide notice, please send your

request to the Privacy Act office of the original department or agency

from which the component was transferred to the Department. If you

cannot determine where within the Department to send your request, you

may send it to the Departmental Disclosure Officer, Department of

Homeland Security, Washington, DC 20528, and that office will forward

it to the component(s) it believes most likely to have the records that

you seek. For the quickest possible handling, you should mark both your

request letter and the envelope \`\`Privacy Act Request.\'\'

\(b\) Description of records sought. You must describe the records

that you want in enough detail to enable Department personnel to locate

the system of records containing them with a reasonable amount of

effort. Whenever possible, your request should describe the records

sought, the time periods in which you believe they were compiled, and

the name or identifying number of each system of records in which you

believe they are kept. The Department publishes notices in the Federal

Register that describe its components\' systems of records. A

description of the Department\'s systems of records also may be found as

part of the \`\`Privacy Act Compilation\'\' published by the National

Archives and Records Administration\'s Office of the Federal Register.

This compilation is available in most large reference and university

libraries. This compilation also can be accessed electronically at the

Government Printing Office\'s World Wide Web site (which can be found at

<http://www.access.gpo.gov/su_docs>).

\(c\) Agreement to pay fees. If you make a Privacy Act request for

access to records, it shall be considered an agreement by you to pay

all applicable fees charged under Sec. 5.29, up to \$25.00. The

component responsible for responding to your request ordinarily shall

confirm this agreement in an acknowledgement letter. When making a

request, you may specify a willingness to pay a greater or lesser

amount.

\(d\) Verification of identity. When you make a request for access to

records about yourself, you must verify your identity. You must state

your full name, current address, and date and place of

\[\[Page 4065\]\]

birth. You must sign your request and your signature must either be

notarized or submitted by you under 28 U.S.C. 1746, a law that permits

statements to be made under penalty of perjury as a substitute for

notarization. While no specific form is required, you may obtain forms

for this purpose from the Departmental Disclosure Officer, Department

of Homeland Security, Washington, DC 20528. In order to help the

identification and location of requested records, you may also, at your

option, include your social security number.

\(e\) Verification of guardianship. When making a request as the

parent or guardian of a minor or as the guardian of someone determined

by a court to be incompetent, for access to records about that

individual, you must establish:

\(1\) The identity of the individual who is the subject of the

record, by stating the name, current address, date and place of birth,

and, at your option, the social security number of the individual;

\(2\) Your own identity, as required in paragraph (d) of this

section;

\(3\) That you are the parent or guardian of that individual, which

you may prove by providing a copy of the individual\'s birth certificate

showing your parentage or by providing a court order establishing your

guardianship; and

\(4\) That you are acting on behalf of that individual in making the

request.

\(f\) Verification in the case of third party information requests.

If you are making a request for records concerning an individual on

behalf of that individual, you must provide a statement from the

individual verifying the identity of the individual as provided in

paragraph (d) of this section. You must also provide a statement from

the individual certifying the individual\'s agreement that records

concerning the individual may be released to you.

Sec. 5.22 Responsibility for responding to requests for access to

records.

\(a\) In general. Except as stated in paragraphs (c), (d), and (e) of

this section, the component that first receives a request for access to

a record, and has possession of that record, is the component

responsible for responding to the request. In determining which records

are responsive to a request, a component ordinarily shall include only

those records in its possession as of the date the component begins its

search for them. If any other date is used, the component shall inform

the requester of that date.

\(b\) Authority to grant or deny requests. The head of a component,

or the component head\'s designee, is authorized to grant or deny any

request for access or amendment to a record of that component.

\(c\) Consultations and referrals. When a component receives a

request for access to a record in its possession, it shall determine

whether another component, or another agency of the Federal Government,

is better able to determine whether the record is exempt from access

under the Privacy Act. If the receiving component determines that it is

best able to process the record in response to the request, then it

shall do so. If the receiving component determines that it is not best

able to process the record, then it shall either:

\(1\) Respond to the request regarding that record, after consulting

with the component or agency best able to determine whether the record

is exempt from access and with any other component or agency that has a

substantial interest in it; or

\(2\) Refer the responsibility for responding to the request

regarding that record to the component best able to determine whether

it is exempt from access, or to another agency that originated the

record (but only if that agency is subject to the Privacy Act).

Ordinarily, the component or agency that originated a record will be

presumed to be best able to determine whether it is exempt from access.

\(d\) Law enforcement information. Whenever a request is made for

access to a record containing information that relates to an

investigation of a possible violation of law and that was originated by

another component or agency, the receiving component shall either refer

the responsibility for responding to the request regarding that

information to that other component or agency or shall consult with

that other component or agency.

\(e\) Classified information. Whenever a request is made for access

to a record containing information that has been classified by or may

be appropriate for classification by another component or agency under

Executive Order 12958 or any other executive order concerning the

classification of records, the receiving component shall refer the

responsibility for responding to the request regarding that information

to the component or agency that classified the information, should

consider the information for classification, or has the primary

interest in it, as appropriate. Whenever a record contains information

that has been derivatively classified by a component because it

contains information classified by another component or agency, the

component shall refer the responsibility for responding to the request

regarding that information to the component or agency that classified

the underlying information.

\(f\) Release of Medical Records. Pursuant to 5 U.S.C. 552a(f)(3),

where requests are made for access to medical records, including

psychological records, the decision to release directly to the

individual, or to withhold direct release, shall be made by a medical

practitioner. Where the medical practitioner has ruled that direct

release will cause harm to the individual who is requesting access,

normal release through the individual\'s chosen medical practitioner

will be recommended. Final review and decision on appeals of

disapprovals of direct release will rest with the General Counsel.

\(g\) Notice of referral. Whenever a component refers all or any part

of the responsibility for responding to a request to another component

or agency, it ordinarily shall notify the requester of the referral and

inform the requester of the name of each component or agency to which

the request has been referred and of the part of the request that has

been referred.

\(h\) Timing of responses to consultations and referrals. All

consultations and referrals shall be handled according to the date the

Privacy Act access request was initially received by the first

component or agency, not any later date.

\(i\) Agreements regarding consultations and referrals. Components

may make agreements with other components or agencies to eliminate the

need for consultations or referrals for particular types of records.

Sec. 5.23 Responses to requests for access to records.

\(a\) Acknowledgements of requests. On receipt of a request, a

component ordinarily shall send an acknowledgement letter to the

requester which shall confirm the requester\'s agreement to pay fees

under Sec. 5.21(c) and provide an assigned request number for further

reference.

\(b\) Grants of requests for access. Once a component makes a

determination to grant a request for access in whole or in part, it

shall notify the requester in writing. The component shall inform the

requester in the notice of any fee charged under Sec. 5.29 and shall

disclose records to the requester promptly on payment of any applicable

fee. If a request is made in person, the component may disclose records

to the requester directly, in a manner not unreasonably disruptive of

its

\[\[Page 4066\]\]

operations, on payment of any applicable fee and with a written record

made of the grant of the request. If a requester is accompanied by

another person, the requester shall be required to authorize in writing

any discussion of the records in the presence of the other person.

\(c\) Adverse determinations of requests for access. A component

making an adverse determination denying a request for access in any

respect shall notify the requester of that determination in writing.

Adverse determinations, or denials of requests, consist of: a

determination to withhold any requested record in whole or in part; a

determination that a requested record does not exist or cannot be

located; a determination that what has been requested is not a record

subject to the Privacy Act; a determination on any disputed fee matter;

and a denial of a request for expedited treatment. The notification

letter shall be signed by the head of the component, or the component

head\'s designee, and shall include:

\(1\) The name and title or position of the person responsible for

the denial;

\(2\) A brief statement of the reason(s) for the denial, including

any Privacy Act exemption(s) applied by the component in denying the

request; and

\(3\) A statement that the denial may be appealed under Sec. 5.25(a)

and a description of the requirements of Sec. 5.25(a).

Sec. 5.24 Classified information.

In processing a request for access to a record containing

information that is classified under Executive Order 12958 or any other

executive order, the originating component shall review the information

to determine whether it should remain classified. Information

determined to no longer require classification shall not be withheld

from a requester on the basis of Exemption (k)(1) of the Privacy Act.

On receipt of any appeal involving classified information, the

Associate General Counsel (General Law), shall take appropriate action

to ensure compliance with Part 7 of this title.

Sec. 5.25 Appeals.

\(a\) Appeals. If you are dissatisfied with a component\'s response to

your request for access to records, you may appeal an adverse

determination denying your request in any respect to the Associate

General Counsel (General Law), Department of Homeland Security,

Washington, DC 20528. You must make your appeal in writing and it must

be received by the Associate General Counsel (General Law) within 60

days of the date of the letter denying your request. Your appeal letter

may include as much or as little related information as you wish, as

long as it clearly identifies the component determination (including

the assigned request number, if known) that you are appealing. For the

quickest possible handling, you should mark both your appeal letter and

the envelope \`\`Privacy Act Appeal.\'\'

\(b\) Responses to appeals. The decision on your appeal will be made

in writing. A decision affirming an adverse determination in whole or

in part will include a brief statement of the reason(s) for the

affirmance, including any Privacy Act exemption applied, and will

inform you of the Privacy Act provisions for court review of the

decision. If the adverse determination is reversed or modified on

appeal in whole or in part, you will be notified in a written decision

and your request will be reprocessed in accordance with that appeal

decision. An adverse determination by the Associate General Counsel

(General Law) will be the final action of the Department.

\(c\) When appeal is required. If you wish to seek review by a court

of any adverse determination or denial of a request, you must first

appeal it under this section. An appeal will not be acted on if the

request becomes a matter of litigation.

Sec. 5.26 Requests for amendment or correction of records.

\(a\) How made and addressed. Unless the record is not subject to

amendment or correction as stated in paragraph (f) of this section, you

may make a request for amendment or correction of a record of the

Department about you by writing directly to the Department component

that maintains the record, following the procedures in Sec. 5.21. Your

request should identify each particular record in question, state the

amendment or correction that you want, and state why you believe that

the record is not accurate, relevant, timely, or complete. You may

submit any documentation that you think would be helpful. If you

believe that the same record is in more than one system of records, you

should state that and address your request to each component that

maintains a system of records containing the record.

\(b\) Component responses. Within ten working days of receiving your

request for amendment or correction of records, a component shall send

you a written acknowledgment of its receipt of your request, and it

shall promptly notify you whether your request is granted or denied. If

the component grants your request in whole or in part, it shall

describe the amendment or correction made and shall advise you of your

right to obtain a copy of the corrected or amended record, in

disclosable form. If the component denies your request in whole or in

part, it shall send you a letter signed by the head of the component,

or the component head\'s designee, that shall state:

\(1\) The reason(s) for the denial; and

\(2\) The procedure for appeal of the denial under paragraph (c) of

this section, including the name and business address of the official

who will act on your appeal.

\(c\) Appeals. You may appeal a denial of a request for amendment or

correction to the Associate General Counsel (General Law) in the same

manner as a denial of a request for access to records (see Sec. 5.25)

and the same procedures shall be followed. If your appeal is denied,

you shall be advised of your right to file a Statement of Disagreement

as described in paragraph (d) of this section and of your right under

the Privacy Act for court review of the decision.

\(d\) Statements of Disagreement. If your appeal under this section

is denied in whole or in part, you have the right to file a Statement

of Disagreement that states your reason(s) for disagreeing with the

Department\'s denial of your request for amendment or correction.

Statements of Disagreement must be concise, must clearly identify each

part of any record that is disputed, and should be no longer than one

typed page for each fact disputed. Your Statement of Disagreement must

be sent to the component involved, which shall place it in the system

of records in which the disputed record is maintained and shall mark

the disputed record to indicate that a Statement of Disagreement has

been filed and where in the system of records it may be found.

\(e\) Notification of amendment/correction or disagreement. Within 30

working days of the amendment or correction of a record, the component

that maintains the record shall notify all persons, organizations, or

agencies to which it previously disclosed the record, if an accounting

of that disclosure was made, that the record has been amended or

corrected. If an individual has filed a Statement of Disagreement, the

component shall append a copy of it to the disputed record whenever the

record is disclosed and may also append a concise statement of its

reason(s) for denying the request to amend or correct the record.

\(f\) Records not subject to amendment or correction. The following

records are not subject to amendment or correction:

\[\[Page 4067\]\]

\(1\) Transcripts of testimony given under oath or written statements

made under oath;

\(2\) Transcripts of grand jury proceedings, judicial proceedings, or

quasi-judicial proceedings, which are the official record of those

proceedings;

\(3\) Presentence records that originated with the courts; and

\(4\) Records in systems of records that have been exempted from

amendment and correction under Privacy Act (5 U.S.C. 552a(j) or (k)) by

notice published in the Federal Register.

Sec. 5.27 Requests for an accounting of record disclosures.

\(a\) How made and addressed. Except where accountings of disclosures

are not required to be kept (as stated in paragraph (b) of this

section), you may make a request for an accounting of any disclosure

that has been made by the Department to another person, organization,

or agency of any record about you. This accounting contains the date,

nature, and purpose of each disclosure, as well as the name and address

of the person, organization, or agency to which the disclosure was

made. Your request for an accounting should identify each particular

record in question and should be made by writing directly to the

Department component that maintains the record, following the

procedures in Sec. 5.21.

\(b\) Where accountings are not required. Components are not required

to provide accountings to you where they relate to:

\(1\) Disclosures for which accountings are not required to be kept,

such as disclosures that are made to employees within the agency and

disclosures that are made under the FOIA;

\(2\) Disclosures made to law enforcement agencies for authorized law

enforcement activities in response to written requests from those law

enforcement agencies specifying the law enforcement activities for

which the disclosures are sought; or

\(3\) Disclosures made from law enforcement systems of records that

have been exempted from accounting requirements.

\(c\) Appeals. You may appeal a denial of a request for an accounting

to the Associate General Counsel (General Law) in the same manner as a

denial of a request for access to records (see Sec. 5.25) and the same

procedures will be followed.

Sec. 5.28 Preservation of records.

Each component will preserve all correspondence pertaining to the

requests that it receives under this subpart, as well as copies of all

requested records, until disposition or destruction is authorized by

title 44 of the United States Code or the National Archives and Records

Administration\'s General Records Schedule 14. Records will not be

disposed of while they are the subject of a pending request, appeal, or

lawsuit under the Act.

Sec. 5.29 Fees.

\(a\) Components shall charge fees for duplication of records under

the Privacy Act in the same way in which they charge duplication fees

under Sec. 5.11.

\(b\) The Department shall not process a request under the Privacy

Act from persons with an unpaid fee from any previous Privacy Act

request to any Federal agency until that outstanding fee has been paid

in full to the agency.

Sec. 5.30 Notice of court-ordered and emergency disclosures.

\(a\) Court-ordered disclosures. When a record pertaining to an

individual is required to be disclosed by a court order, the component

shall make reasonable efforts to provide notice of this to the

individual. Notice shall be given within a reasonable time after the

component\'s receipt of the order, except that in a case in which the

order is not a matter of public record, the notice shall be given only

after the order becomes public. This notice shall be mailed to the

individual\'s last known address and shall contain a copy of the order

and a description of the information disclosed. Notice shall not be

given if disclosure is made from a criminal law enforcement system of

records that has been exempted from the notice requirement.

\(b\) Emergency disclosures. Upon disclosing a record pertaining to

an individual made under compelling circumstances affecting health or

safety, the component shall notify that individual of the disclosure.

This notice shall be mailed to the individual\'s last known address and

shall state the nature of the information disclosed; the person,

organization, or agency to which it was disclosed; the date of

disclosure; and the compelling circumstances justifying the disclosure.

Sec. 5.31 Security of systems of records.

\(a\) In general. Each component shall establish administrative and

physical controls to prevent unauthorized access to its systems of

records, to prevent unauthorized disclosure of records, and to prevent

physical damage to or destruction of records. The stringency of these

controls shall correspond to the sensitivity of the records that the

controls protect. At a minimum, each component\'s administrative and

physical controls shall ensure that:

\(1\) Records are protected from public view;

\(2\) The area in which records are kept is supervised during

business hours to prevent unauthorized persons from having access to

them;

\(3\) Records are inaccessible to unauthorized persons outside of

business hours; and

\(4\) Records are not disclosed to unauthorized persons or under

unauthorized circumstances in either oral or written form.

\(b\) Procedures required. Each component shall have procedures that

restrict access to records to only those individuals within the

Department who must have access to those records in order to perform

their duties and that prevent inadvertent disclosure of records.

Sec. 5.32 Contracts for the operation of record systems.

Under 5 U.S.C. 552a(m), any approved contract for the operation of

a record system will contain the standard contract requirements issued

by the General Services Administration to ensure compliance with the

requirements of the Privacy Act for that record system. The contracting

component will be responsible for ensuring that the contractor complies

with these contract requirements.

Sec. 5.33 Use and collection of social security numbers.

Each component shall ensure that employees authorized to collect

information are aware:

\(a\) That individuals may not be denied any right, benefit, or

privilege as a result of refusing to provide their social security

numbers, unless the collection is authorized either by a statute or by

a regulation issued prior to 1975; and

\(b\) That individuals requested to provide their social security

numbers must be informed of:

\(1\) Whether providing social security numbers is mandatory or

voluntary;

\(2\) Any statutory or regulatory authority that authorizes the

collection of social security numbers; and

\(3\) The uses that will be made of the numbers.

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

Each component will inform its employees of the provisions of the

Privacy Act, including the Act\'s civil liability and criminal penalty

provisions. Unless otherwise permitted by law, the Department shall:

\[\[Page 4068\]\]

\(a\) Collect from individuals only the information that is relevant

and necessary to discharge the responsibilities of the Department;

\(b\) Collect information about an individual directly from that

individual whenever practicable and when the information may result in

adverse determinations about an individual\'s rights, benefits, and

privileges under federal programs;

\(c\) Inform each individual from whom information is collected of:

\(1\) The legal authority to collect the information and whether

providing it is mandatory or voluntary;

\(2\) The principal purpose for which the Department intends to use

the information;

\(3\) The routine uses the Department may make of the information;

and

\(4\) The effects on the individual, if any, of not providing the

information;

\(d\) Ensure that the component maintains no system of records

without public notice and that it notifies appropriate Department

officials of the existence or development of any system of records that

is not the subject of a current or planned public notice;

\(e\) Maintain all records that are used by the Department in making

any determination about an individual with such accuracy, relevance,

timeliness, and completeness as is reasonably necessary to ensure

fairness to the individual in the determination;

\(f\) Except as to disclosures made to an agency or made under the

FOIA, make reasonable efforts, prior to disseminating any record about

an individual, to ensure that the record is accurate, relevant, timely,

and complete;

\(g\) Maintain no record describing how an individual exercises his

or her First Amendment rights, unless it is expressly authorized by

statute or by the individual about whom the record is maintained, or is

pertinent to and within the scope of an authorized law enforcement

activity;

\(h\) When required by the Privacy Act, maintain an accounting in the

specified form of all disclosures of records by the Department to

persons, organizations, or agencies;

\(i\) Maintain and use records with care to prevent the unauthorized

or inadvertent disclosure of a record to anyone.

Sec. 5.35 Sanctions and penalties.

Under the provisions of the Privacy Act, 5 U.S.C. 552a, civil and

criminal penalties may be assessed.

Sec. 5.36 Other rights and services.

Nothing in this subpart shall be construed to entitle any person,

as of right, to any service or to the disclosure of any record to which

such person is not entitled under the Privacy Act.

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

Homeland Security

I. For the following Headquarters components of the Department

of Homeland Security, FOIA and Privacy Act requests should be sent

to the Departmental Disclosure Office, Department of Homeland

Security, Washington, DC 20528. The Headquarters components are:

A

Office of the Secretary

Office of the Deputy Secretary

Office of the Under Secretary for Management

B

Office of the General Counsel

Office of the Inspector General

Office of International Affairs

Office of Legislative Affairs

Office of Public Affairs

Office of National Capital Region Coordination

Office of Professional Responsibility

Office for State and Local Government Coordination

C

Directorate of Border and Transportation Security

Directorate of Emergency Preparedness and Response

Directorate of Information Analysis and Infrastructure Protection

Directorate of Science and Technology

II\. Requests made to components that have transferred or will

transfer into the Department of Homeland Security, should be sent as

follows:

A. Former components of the Department of Agriculture:

1\. Animal and Plant Health Inspection Service, USDA, APHIS, LPA,

FOIA, 4700 River Road, Unit 50, Riverdale, MD 20737-1232

2\. Plum Island Animal Disease Center; Submit request to the APHIS

address above or, FOIA Coordinator, USDA-REE-ARS-Information Staff,

5601 Sunnyside Avenue, Bldg. 1, Room 2248, Mail Stop 5128,

Beltsville, MD 20705-5128

B. Former components of the Department of Commerce:

1\. Critical Infrastructure Assurance Office (A former office of the

Bureau of Industry and Security); Freedom of Information

Coordinator, Bureau of Industry and Security, Room 6883, U.S.

Department of Commerce, Washington, DC 20230

2\. FIRESTAT (formerly the Integrated Hazard Information System of

the National Oceanic and Atmospheric Administration), National

Oceanic and Atmospheric Administration, Public Reference Facility

(OFAx2), 1315 East-West Highway (SSMC3), Room 10703, Silver Spring,

MD 20910

C. Former components of the Department of Defense:

1\. National Communications Service (A former component of the

Defense Information Systems Agency), Defense Information Systems

Agency, ATTN: RGC/FOIA Officer, 701 S. Courthouse Rd., Arlington, VA

22204-2199

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

The address for each component and program listed below is: U.S.

Department of Energy, 1000 Independence Avenue, SW., Washington, DC

20585

1\. Energy Assurance Office

2\. Environmental Measurements Laboratory

3\. Nuclear Incident Response Team

4\. The chemical and biological national security and supporting

programs and activities of the non-proliferation and verification

research and development program.

5\. The life sciences activities related to microbial pathogens

of Biological and Environmental Research Program.

6\. The nuclear smuggling programs and activities within the

proliferation detection program of the non-proliferation and

verification research and development program.

7\. The nuclear assessment program and activities of the

assessment, detection, and cooperation program of the international

materials protection and cooperation program, and the advanced

scientific computing research program and activities at Lawrence

Livermore National Laboratory.

8\. National Infrastructure Simulation and Analysis Center

E. Former components of the Department of Health and Human

Services:

1\. The address for each component and program listed below is:

Department of Health and Human Services, Freedom of Information

Officer, Room 645-F, Hubert H. Humphrey Building, Independence

Avenue, SW., Washington, DC 20201;

a\. Metropolitan Medical Response System,

b\. National Disaster Medical System, and

c\. Office of Emergency Preparedness

d\. Strategic National Stockpile

2\. Centers for Disease Control and Agency for Toxic Substances

and Disease Registry, Attn: FOI Office, MS-D54, 1600 Clifton Road,

NE., Atlanta, GA 30333.

F. Former components of the Department of Justice:

1\. Immigration and Naturalization Service, Director, Freedom of

Information/Privacy Act Program, Department of Justice, 425 Eye

Street, NW., 2nd Floor, ULLICO Building, Washington, DC 20536 (for

field offices, consult your phone book).

2\. The address for each component and program listed below is:

Federal Bureau of Investigation, Chief, FOIPA Section, 935

Pennsylvania Avenue, NW., Department of Justice, Washington, DC

20535-0001;

a\. National Infrastructure Protection Center,

b\. National Domestic Preparedness Office, and

c\. Domestic Emergency Support Team.

3\. Office of Domestic Preparedness, U.S. Department of Justice,

Office of Justice Programs, Office of the General Counsel,

\[\[Page 4069\]\]

Attention: FOIA Staff, 810 7th Street, NW., Room 5400, Washington,

DC 20531.

G. Former components of the Department of State:

Visa Office, Information and Privacy Coordinator, Office of

Information Resources, Management Programs and Services, A/RPS/IPS,

SA-2, Department of State, Washington, DC 20522-6001, Re: Freedom of

Information Act Request.

H. Former components of the Department of Transportation:

1\. Federal Aviation Administration, National Freedom of Information

Act Staff, ARC-40, 800 Independence Avenue, SW., Washington, DC

20591 (for regional centers, consult your phone book).

2\. Transportation Security Administration, TSA-1, FOIA Division, 400

Seventh Street, SW., Washington, DC 20590

3\. United States Coast Guard, HQ USCG Commandant, G-CIM, 2100 Second

Street, SW., Washington, DC 20593-0001 (for district offices,

consult your phone book).

I. Former components of the Department of Treasury:

1\. Federal Law Enforcement Training Center, Freedom of Information

Act Officer, Townhouse 389, Glynco, GA 31524

2\. U.S. Customs Service, Freedom of Information Act Request, Mint

Annex, 1300 Pennsylvania Avenue, NW., Washington, DC 20229 (for

field offices, consult your phone book).

3\. U.S. Secret Service, Freedom of Information Act Request, 950 H

Street, NW., Suite 3000, Washington, DC 20223, e-mail

<FOIA@USSS.Treas.gov>. Appeals should be addressed to the Deputy

Director, United States Secret Service, Freedom of Information and

Privacy Act Appeal Officer, at these same contact points.

J. Federal Emergency Management Agency: Federal Emergency

Management Agency, Office of General Counsel, 500 C Street, SW.,

Room 840, Washington, DC 20472 (for regional offices, consult your

phone book).

K. Former components of the General Services Administration:

1\. For the Federal Computer Incident Response Center and the Federal

Protective Service: Chief, FOIA Information Management Branch, GSA

(CAIM), 1800 F Street, NW., Washington, DC 20405 (for regional

offices, consult your phone book).

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

Homeland Security

The Headquarters components of the Department of Homeland

Security do not maintain a conventional public reading room. Records

that are required to be in the public reading room are available

electronically at
[http://www.dhs.gov/FOIA](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.dhs.gov/FOIA).

Entities that will transfer into the Department of Homeland

Security maintain public reading rooms as follows:

1\. Former components of the Department of Agriculture:

Animal and Plant Health Inspection Service Library, 4700 River Road,

Riverdale, MD 20737-1232

Plum Island Animal Disease Center, the APHIS address above or, USDA-

ARS, 5601 Sunnyside Avenue, Building 1, Room 2248, Beltsville, MD

20705-5128

2\. Former components of the Department of Commerce:

The Critical Infrastructure Assurance Office (A former office of

the Bureau of Industry and Security) does not maintain a

conventional public reading room. Records that are required to be in

the public reading room are available electronically at
[http://www.bis.doc.gov/FOIA/Default.htm](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.bis.doc.gov/FOIA/Default.htm)

FIRESTAT (formerly the Integrated Hazard Information System of

the National Oceanic and Atmospheric Administration), NOAA Public

Reference Facility, 1305 East-West Highway (SSMC4), Room 8627,

Silver Spring, MD 20910

3\. Former components of the Department of Defense:

The National Communication Service (A former component of the

Defense Information Systems Agency) does not maintain a conventional

public reading room. Records that are required to be in the public

reading room are available electronically at
[http://disa.mil/gc/foia/foia.html](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://disa.mil/gc/foia/foia.html)

4\. Former components and programs of the Department of Energy:

The address for each component and program listed below is: U.S.

Department of Energy; 1000 Independence Avenue, SW., Washington, DC

20585

Energy Assurance Office

Environmental Measurements Laboratory

Nuclear Incident Response Team

The chemical and biological national security and supporting

programs and activities of the non-proliferation and verification

research and development program.

The life sciences activities related to microbial pathogens of

Biological and Environmental Research Program.

The nuclear smuggling programs and activities within the

proliferation detection program of the non-proliferation and

verification research and development program.

The nuclear assessment program and activities of the assessment,

detection, and cooperation program of the international materials

protection and cooperation program, and the advanced scientific

computing research program and activities at Lawrence Livermore

National Laboratory.

The National Infrastructure Simulation and Analysis Center

5\. Former components of the Department of Health and Human

Services:

For the Metropolitan Medical Response System, the National

Disaster Medical System, and the Office of Emergency Preparedness

please contact the Freedom of Information Act Officer at: Department

of Health and Human Services, Freedom of Information Officer, Room

645-F, Hubert H. Humphrey Building, Independence Avenue, SW.,

Washington, DC 20201

Strategic National Stockpile, Centers for Disease Control and

Agency for Toxic Substances and Disease Registry, 1600 Clifton Road,

NE., Room 4103, Building 1, Atlanta, GA 30333

6\. Former components of the Department of Justice:

Immigration and Naturalization Service, 111 Massachusetts

Avenue, NW., 2nd Floor, ULLICO Building, Washington, DC 20536

For the National Infrastructure Protection Center, the National

Domestic Preparedness Office, and the Domestic Emergency Support

Team: Federal Bureau of Investigation, 935 Pennsylvania Avenue, NW.,

Department of Justice, Washington, DC 20535-0001

Office of Domestic Preparedness, U.S. Department of Justice,

Office of Justice Programs, 810 7th Street, NW., Room 5430,

Washington, DC 20531

7\. Former components of the Department of State:

Visa Office, Department of State, 2201 C Street, NW.,

Washington, DC 20520

8\. Former components of the Department of Transportation:

Federal Aviation Administration, 800 Independence Avenue, SW.,

Washington, DC 20591

Transportation Security Administration, 400 Seventh Street, SW.,

Washington, DC 20590

United States Coast Guard Headquarters, 2100 Second Street, SW.,

Washington, DC 20593-0001 (for district offices, consult your phone

book).

9\. Former components of the Department of Treasury:

The Federal Law Enforcement Training Center does not maintain a

conventional public reading room. Records that are required to be in

the public reading room are available electronically at
[http://www.fletc.gov/irm/foia/readingroom.htm](http://frwebgate.access.gpo.gov/cgi-bin/leaving.cgi?from=leavingFR.html&log=linklog&to=http://www.fletc.gov/irm/foia/readingroom.htm)

U.S. Customs Service, 1300 Pennsylvania Avenue, NW., Washington,

DC 20229 (for a list of field office public reading rooms please

consult 19 CFR 103.1).

U.S. Secret Service, Main Treasury, 1500 Pennsylvania Avenue,

NW., Washington, DC 20220

10\. Federal Emergency Management Agency:

Federal Emergency Management Agency, Federal Center Plaza, 500 C

Street, SW., Room 840 Washington, DC 20472 (for regional offices,

consult your phone book)

11\. Former components of the General Services Administration:

For the Federal Computer Incident Response Center and the

Federal Protective Service: Central Office, GSA Headquarters, 1800 F

Street, NW., (CAI), Washington, DC 20405 (for regional offices,

consult your phone book)

\[FR Doc. 03-1996 Filed 1-24-03; 11:34 am\]

BILLING CODE 4410-10-P