6324 Federal Register / Vol. 84, No. 39 / Wednesday, February 27, 2019 / Rules and Regulations 

DEPARTMENT OF THE TREASURY 

31 CFR Part 1 

RIN 1505–AC35 

Freedom of Information Act 

Regulations 

AGENCY: Department of the Treasury. 

ACTION: Final rule. 

SUMMARY: This rule adopts revisions to 

the Department’s regulations under the 

Freedom of Information Act (FOIA). The 

regulations are being revised to update 

and streamline procedures and 

incorporate certain changes brought 

about by the amendments to the FOIA 

under the OPEN Government Act of 

2007 and the FOIA Improvement Act of 

2016. Additionally, the regulations are 

being updated to reflect developments 

in the case law and to include current 

cost figures to be used in calculating 

and charging fees. This final rule 

follows publication of a proposed rule 

on October 26, 2018; it adopts the 

proposal without substantive change, 

although certain sections have been 

renumbered and reorganized. 

DATES: The final rule is effective March 

29, 2019. 

FOR FURTHER INFORMATION CONTACT: 

Ryan Law, Deputy Assistant Secretary 

for Privacy, Transparency and Records, 

202–622–0930, extension 2 (this is not 

a toll-free number). 

SUPPLEMENTARY INFORMATION: 

Discussion of the Final Rule 

This rule adopts revisions to the 

Department’s regulations under the 

FOIA to update and streamline the 

language of several procedural 

provisions and to incorporate certain of 

the changes brought about by the 

amendments to the FOIA under the 

OPEN Government Act of 2007, Public 

Law 110–175, 121 Stat. 2524 and the 

FOIA Improvement Act of 2016, Public 

Law 114–185, 130 Stat. 538. 

Additionally, the regulations are being 

updated to reflect developments in case 

law and to include current cost figures 

to be used in calculating and charging 

fees. 

The revisions of the FOIA regulations 

in 31 CFR subpart A of part 1 

incorporate changes to the language and 

structure of the regulations. Revised 

provisions include § 1.0 (General 

Provisions), § 1.1 (Proactive disclosure 

of Department records), § 1.2 

(Requirements for making requests), 

§ 1.3 (Responsibility for responding to 

requests), § 1.45 (Responses to requests), 

§ 1.5 (Confidential commercial 

information), § 1.6 (Administrative 

appeals), and § 1.7 (Fees). 

Sections 1.1, 1.2, 1.4, and 1.7 all 

address the role of the FOIA Public 

Liaison in assisting requesters with 

resolving disputes related to their FOIA 

requests, as required by the OPEN 

Government Act of 2007. 

The 2007 Act also required agencies 

to assign tracking numbers to requests 

that will take longer than 10 days to 

process. This requirement is 

implemented through § 1.4. 

The FOIA Improvement Act of 2016 

provides that agencies must allow a 

minimum of 90 days for requesters to 

file an administrative appeal. The Act 

also requires that agencies notify 

requesters of the availability of dispute 

resolution services at various times 

throughout the FOIA process. This final 

rule updates the Department’s 

regulations to reflect those statutory 

changes (§§ 1.4 and 1.6). 

A number of changes have been made 

to the section on fees (§ 1.7). The 

definition of representative of the news 

media has been updated to reflect 

amendments to the FOIA under the 

OPEN Government Act of 2007. Further, 

§ 1.7 has been updated to reflect 

amendments to the FOIA in 2007 and 

2016 that limit the agency’s ability to 

assess fees when certain timelines or 

conditions are not met. The current 

regulation also revises § 1.7 to conform 

to a recent decision of the U.S. Court of 

Appeals for the District of Columbia 

Circuit addressing the ‘‘educational 

institution’’ fee category. See Sack v. 

Dept. of Defense, 823 F.3d687 (D.C. Cir. 

2016). Specifically, the definition of 

‘‘educational institution’’ is revised to 

reflect the holding in Sack that students 

who make FOIA requests in furtherance 

of their coursework or other schoolsponsored activities may qualify under 

this requester category. Therefore, the 

requirement that such a requester show 

that the request is made under the 

auspices of the educational institution is 

replaced with a requirement that the 

requester show that the request is made 

in connection with the requester’s role 

at the educational institution. Section 

1.7 also revises the Department’s fee 

schedule. The duplication charge for 

photocopying will decrease to $.15 per 

page, while document search and 

review charges have been established at 

$21.00, $16.50, and $13.00 per quarter 

hour for executive, professional, and 

administrative time, respectively. 

Treasury components will be given 

flexibility to publish their own fee 

schedules that deviate from the 

Department’s fee schedule as 

circumstances may warrant. Treasury 

components differ in the grades of 

employees that process FOIA requests, 

whether executive, professional, or 

administrative, and in the nature of 

records regularly produced for 

requesters. Therefore, Treasury has 

determined that as long as a component 

follows the OMB fee guidelines, it 

should have the discretion to establish 

its own fee structure. 

Further, the Appendices to the 

current regulation have been revised to 

reflect changes in organizational 

structure. Appendices pertaining to the 

United States Customs Service, United 

States Secret Service, Bureau of 

Alcohol, Tobacco and Firearms, Federal 

Law Enforcement Training Center, and 

the Office of Thrift Supervision have 

been deleted as these components are 

no longer part of the Department of the 

Treasury. The Bureau of the Public Debt 

and the Financial Management Service 

were merged in 2012 to form the Bureau 

of the Fiscal Service (Appendix D in 

these revised regulations). Appendices 

for two new components have been 

added: the Alcohol and Tobacco Tax 

and Trade Bureau (Appendix H) and the 

Treasury Inspector General for Tax 

Administration (Appendix I). 

This final rule contains no substantive 

changes to the proposed rule that 

Treasury published for comments on 

October 26, 2018. However, the rule was 

renumbered and slightly reorganized so 

that the section numbers would not 

conflict with provisions in Subpart B of 

Part 1. Specifically, the rule was 

renumbered to begin with § 1.0, § 1.6 

was redesignated as subsections (f) 

through (k) of § 1.4, and §§ 1.9 and 1.11 

were redesignated as subsections (e) and 

(f) of § 1.0. 

Regulatory Flexibility Act 

The Regulatory Flexibility Act (RFA), 

5 U.S.C. 601 et seq., requires agencies to 

prepare an initial regulatory flexibility 

analysis (IRFA) to determine the 

economic impact of the rule on small 

entities. A small entity is defined as 

either a small business, a small 

organization, or a small governmental 

jurisdiction; an individual is not a small 

entity. Section 605(b) of the RFA allows 

an agency to prepare a certification in 

lieu of an IRFA if the rule will not have 

a significant economic impact on a 

substantial number of small entities. 

Pursuant to 5 U.S.C. 605(b), it is hereby 

certified that this regulation will not 

have a significant economic impact on 

a substantial number of small entities. 

Under the FOIA, agencies may recover 

only the direct costs of searching for, 

reviewing, and duplicating the records 

processed for requesters. Thus, fees 

assessed by the Department are 

nominal. Further, the ‘‘small entities’’ 

that make FOIA requests, as compared 


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with individual requesters and other 

requesters, are relatively few in number. 

Regulatory Planning and Review 

Executive Orders 13563 and 12866 

direct agencies to assess costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits, of 

reducing costs, of harmonizing rules, 

and of promoting flexibility. This rule is 

not a ‘‘significant regulatory action’’ 

under Executive Order 12866. 

List of Subjects in 31 CFR Part 1 

Disclosure of records, Freedom of 

Information Act, Other disclosure 

provisions, Privacy Act. 

For the reasons stated in the 

preamble, the Department of the 

Treasury amends 31 CFR part 1 as 

follows: 

PART 1—DISCLOSURE OF RECORDS 

■ 1. The authority citation for part 1 is 

revised to read as follows: 

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

31 U.S.C. 301, 321; 31 U.S.C. 3717. 

■ 2. Subpart A is revised to read as 

follows: 

Subpart A—Freedom of Information Act 

Sec. 

1.0 General provisions. 

1.1 Proactive disclosures of Department 

records. 

1.2 Requirements for making requests. 

1.3 Responsibility for responding to 

requests. 

1.4 Responses to requests. 

1.5 Confidential commercial information. 

1.6 Administrative appeals. 

1.7 Fees. 

Appendix A to Subpart A of Part 1— 

Departmental Offices 

Appendix B to Subpart A of Part 1—Internal 

Revenue Service 

Appendix C to Subpart A of Part 1—Bureau 

of Engraving and Printing 

Appendix D to Subpart A of Part 1—Bureau 

of the Fiscal Service 

Appendix E to Subpart A of Part 1—United 

States Mint 

Appendix F to Subpart A of Part 1—Office 

of the Comptroller of the Currency 

Appendix G to Subpart A of Part 1— 

Financial Crimes Enforcement Network 

Appendix H to Subpart A of Part 1—Alcohol 

and Tobacco Tax and Trade Bureau 

Appendix I to Subpart A of Part 1—Treasury 

Inspector General for Tax Administration 

Subpart A—Freedom of Information 

Act 

§ 1.0 General provisions. 

(a) This subpart contains the rules 

that the Department of the Treasury 

follows in processing requests for 

records under the Freedom of 

Information Act (FOIA), 5 U.S.C. 552 as 

amended. These regulations apply to all 

components of the Department of the 

Treasury. Requests made by individuals 

for records about themselves under the 

Privacy Act of 1974, 5 U.S.C. 552a, are 

processed under subpart C of part 1 as 

well as under this subpart. 

(b) The components of the 

Department of the Treasury for the 

purposes of this subpart are the 

following offices and bureaus: 

(1) The Departmental Offices, which 

include the offices of: 

(i) The Secretary of the Treasury, 

including immediate staff; 

(ii) The Deputy Secretary of the 

Treasury, including immediate staff; 

(iii) The Chief of Staff, including 

immediate staff; 

(iv) The Executive Secretary of the 

Treasury and all offices reporting to 

such official, including immediate staff; 

(v) The Under Secretary (International 

Affairs) and all offices reporting to such 

official, including immediate staff; 

(vi) The Under Secretary (Domestic 

Finance) and all offices reporting to 

such official, including immediate staff; 

(vii) The Director of the Community 

Development Financial Institution Fund 

and all offices reporting to such official, 

including immediate staff; 

(viii) The Director of the Office of 

Financial Research and all offices 

reporting to such official, including 

immediate staff; 

(ix) The Under Secretary (Terrorism 

and Financial Intelligence) and all 

offices reporting to such official, 

including immediate staff; 

(x) The Director of the Office of 

Foreign Assets Control and all offices 

reporting to such official, including 

immediate staff; 

(xi) The General Counsel and all 

offices reporting to such official, 

including immediate staff, but not 

including legal counsel to the 

components listed in paragraphs (b)(2) 

through (10) of this section; 

(xii) The Treasurer of the United 

States, including immediate staff; 

(xiii) The Assistant Secretary 

(Legislative Affairs) and all offices 

reporting to such official, including 

immediate staff; 

(xiv) The Assistant Secretary (Public 

Affairs) and all offices reporting to such 

official, including immediate staff; 

(xv) The Assistant Secretary 

(Economic Policy) and all offices 

reporting to such official, including 

immediate staff; 

(xvi) The Assistant Secretary (Tax 

Policy) and all offices reporting to such 

official, including immediate staff; 

(xvii) The Assistant Secretary 

(Management) and all offices reporting 

to such official, including immediate 

staff; and 

(xix) The Inspector General and all 

offices reporting to such official, 

including immediate staff; 

(2) The Alcohol and Tobacco Tax and 

Trade Bureau; 

(3) The Bureau of Engraving and 

Printing; 

(4) The Bureau of the Fiscal Service; 

(5) The Financial Crimes Enforcement 

Network; 

(6) The Internal Revenue Service; 

(7) The Office of the Comptroller of 

the Currency; 

(8) The United States Mint; 

(9) The Treasury Inspector General for 

Tax Administration; 

(10) The Special Inspector General for 

the Troubled Asset Relief Program. 

(c) Any Treasury office which is now 

in existence or may hereafter be 

established, which is not specifically 

listed above and is not a subsidiary unit 

of a component of those listed above, 

shall be deemed a part of the 

Departmental Offices for the purpose of 

these regulations. 

(d) The head of each component is 

hereby authorized to substitute the 

official designated and change the 

address specified in the appendix to this 

subpart applicable to that component. 

Components may issue supplementary 

regulations applicable only to the 

component in question, which (except 

with respect to fee schedules) shall be 

consistent with these regulations. 

Persons interested in the records of a 

particular component should, therefore, 

also consult the Code of Federal 

Regulations for any rules or regulations 

promulgated specifically with respect to 

that component (see Appendices to this 

subpart for cross references). In the 

event of any actual or apparent 

inconsistency, these Departmental 

regulations shall govern. 

(e) Each component shall preserve all 

correspondence pertaining to the 

requests that it receives under this 

subpart, as well as copies of all 

requested records, until disposition or 

destruction is authorized pursuant to 

title 44 of the United States Code or the 

General Records Schedule 4.2 of the 

National Archives and Records 

Administration. Records that are 

identified as responsive to a request will 

not be disposed of or destroyed while 

they are the subject of a pending 


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request, administrative appeal, or 

lawsuit under the FOIA. 

(f) 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. 

§ 1.1 Proactive disclosure of Department 

records. 

(a) Records that are required by the 

FOIA to be made available for public 

inspection in an electronic format may 

be accessed through the Department’s 

website, http://www.treasury.gov, and/ 

or on the website of the component that 

maintains such records. The FOIA office 

of each component is responsible for 

determining which of the component’s 

records are required to be made publicly 

available, as well as identifying 

additional records of interest to the 

public that are appropriate for public 

disclosure, and for posting such records. 

Each component has a FOIA Public 

Liaison who can assist individuals in 

locating records particular to that 

component. A list of the Department’s 

FOIA Public Liaisons is available at: 

https://home.treasury.gov/footer/ 

freedom-of-information-act. 

(b) When a component receives three 

or more requests for the same records, 

it shall make available for public 

inspection in an electronic format, any 

records released in response to those 

requests. 

§ 1.2 Requirements for making requests. 

(a) General information. (1) Requests 

should be addressed to the FOIA office 

of the component that maintains the 

requested records. The appendices to 

this subpart list the addresses of each 

FOIA office and the methods for 

submitting requests to each component. 

Requesters are encouraged to submit 

requests online (through FOIA.gov, 

component web pages or by completing 

the ‘‘Submit an Online Request’’ form 

located at https://home.treasury.gov/ 

footer/freedom-of-information-act. 

(2) When a requester is unable to 

determine the appropriate Departmental 

component to which to direct a request, 

the requester may send the request to 

Freedom of Information Act Request, 

Department of the Treasury, 

Departmental Offices (DO), Director, 

FOIA and Transparency, 1500 

Pennsylvania Avenue NW, Washington, 

DC 20220. The FOIA and Transparency 

team will forward the request to the 

component(s) that it determines to be 

most likely to maintain the records that 

are sought. 

(3) A requester who is making a 

request for records about himself or 

herself must comply with the 

verification of identity provision set 

forth in section 1.26 of subpart C of this 

part. 

(4) Where a request for records 

pertains to a third party, a requester may 

receive greater access by submitting 

either a notarized authorization signed 

by that individual or a declaration by 

that individual made in compliance 

with the requirements set forth in 28 

U.S.C. 1746, authorizing disclosure of 

the records to the requester, or 

submitting proof that the individual is 

deceased (e.g., a copy of a death 

certificate). As an exercise of its 

administrative discretion, each 

component can require a requester to 

supply additional information, if 

necessary, in order to verify that a 

particular individual has consented to 

disclosure. 

(b) Description of records sought. 

Requesters must describe the records 

sought in sufficient detail to enable 

Department personnel to locate them 

with a reasonable amount of effort. To 

the extent possible, requesters should 

include specific information that may 

assist a component in identifying the 

requested records, such as the date, title 

or name, author, recipient, subject 

matter of the record, case number, file 

designation, or reference number. 

Requesters should refer to the 

Appendices of this subpart for 

additional component-specific 

requirements. In general, requesters 

should include as much detail as 

possible about the specific records or 

the types of records that they are 

seeking. If the requester fails to 

reasonably describe the records sought, 

the component shall inform the 

requester what additional information is 

needed or why the request is deficient. 

Requesters who are attempting to 

reformulate or modify such a request 

may discuss their request with the 

component’s designated FOIA contact 

or the FOIA Public Liaison. When a 

requester fails to provide sufficient 

detail after having been asked to clarify 

a request, the component shall notify 

the requester that the request has not 

been properly made and that the request 

will be administratively closed. 

§ 1.3 Responsibility for responding to 

requests. 

(a) In general. The component that 

first receives a request for a record and 

maintains that record is the component 

responsible for responding to the 

request. In determining which records 

are responsive to a request, a component 

ordinarily will include only records in 

its possession as of the date that it 

begins its search. If any other date is 

used, the component shall inform the 

requester of that date. A record that is 

excluded from the requirements of the 

FOIA pursuant to 5 U.S.C. 552(c), shall 

not be considered responsive to a 

request. 

(b) Authority to grant or deny 

requests. The head of a component, or 

designee, is authorized to grant or to 

deny any requests for records that are 

maintained by that component. 

(c) Re-routing of misdirected requests. 

When a component’s FOIA office 

determines that a request was 

misdirected within the agency, the 

receiving component’s FOIA office must 

route the request to the FOIA office of 

the proper component(s) within the 

agency. 

(d) Consultation, referral, and 

coordination. When reviewing records 

located by a component in response to 

a request, the component will determine 

whether another agency of the Federal 

Government is better able to determine 

whether the record is exempt from 

disclosure under the FOIA. As to any 

such record, the agency must proceed in 

one of the following ways: 

(1) Consultation. When records 

originated with the component 

processing the request, but contain 

within them information of interest to 

another agency or other Federal 

Government office, the agency 

processing the request should typically 

consult with that other entity prior to 

making a release determination. 

(2) Referral. (i) When the component 

processing the request believes that a 

different agency is best able to 

determine whether to disclose the 

record, the component typically should 

refer the responsibility for responding to 

the request regarding that record to that 

agency. Ordinarily, the agency that 

originated the record is presumed to be 

the best agency to make the disclosure 

determination. However, if the 

component processing the request is in 

the best position to respond regarding 

the record, then the record may be 

handled as a consultation. 

(ii) Whenever a component refers any 

part of the responsibility for responding 

to a request to another agency, it must 

document the referral, maintain a copy 

of the record that it refers, and notify the 

requester of the referral, informing the 

requester of the name(s) of the agency to 

which the record was referred, 

including that agency’s FOIA contact 

information. 

(3) Coordination. The standard 

referral procedure is not appropriate 

where disclosure of the identity of the 

agency to which the referral would be 

made could harm an interest protected 

by an applicable exemption, such as the 

exemptions that protect personal 


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privacy or national security interests. 

For example, if a non-law enforcement 

agency responding to a request for 

records on a living third party locates 

within its files records originating with 

a law enforcement agency, and if the 

existence of that law enforcement 

interest in the third party was not 

publicly known, then to disclose that 

law enforcement interest could cause an 

unwarranted invasion of the personal 

privacy of the third party. Similarly, if 

an agency locates within its files 

material originating with an Intelligence 

Community agency, and the 

involvement of that agency in the matter 

is classified and not publicly 

acknowledged, then to disclose or give 

attribution to the involvement of that 

Intelligence Community agency could 

cause national security harms. In such 

instances, in order to avoid harm to an 

interest protected by an applicable 

exemption, the agency that received the 

request should coordinate with the 

originating agency to seek its views on 

the disclosability of the record. The 

release determination for the record that 

is the subject of the coordination should 

then be conveyed to the requester by the 

agency that originally received the 

request. 

(4) Timing of responses to 

consultations and referrals. All 

consultations and referrals will be 

handled according to the date that the 

FOIA request was initially received by 

the component or other agency of the 

Federal government. 

(5) Agreements regarding 

consultations and referrals. Components 

may establish agreements with other 

Treasury components or agencies of the 

Federal government to eliminate the 

need for consultations or referrals with 

respect to particular types of records. 

(e) Classified information. On receipt 

of any request involving classified 

information, the component shall take 

appropriate action to ensure compliance 

with part 2 of this title and with all 

other laws and regulations relating to 

proper handling of classified 

information. Whenever a request 

involves a record containing 

information that has been classified or 

may be appropriate for classification by 

another component or agency under any 

applicable executive order concerning 

the classification of records, the 

receiving component shall refer the 

responsibility for responding to the 

request regarding that information to the 

component or agency that classified the 

information, or that should consider the 

information for classification. Whenever 

a component’s record contains 

information that has been derivatively 

classified, i.e., it contains information 

classified by another component or 

agency of the Federal government, the 

component shall refer the responsibility 

for responding to that portion of the 

request to the component or agency that 

classified the underlying information. 

§ 1.4 Responses to requests. 

(a) In general. Components ordinarily 

will respond to requests according to 

their order of receipt. The Appendices 

to this subpart contain the list of the 

Departmental components that are 

designated to accept requests. In 

instances involving misdirected 

requests, i.e., where a request is sent to 

one of the components designated in the 

Appendices but is actually seeking 

records maintained by another 

component, the response time will 

commence on the date that the request 

is received by the appropriate 

component, but in any event not later 

than ten working days after the request 

is first received. 

(b) Multitrack processing. All 

components must designate a specific 

track for requests that are granted 

expedited processing, in accordance 

with the standards set forth in 

paragraph (e) of this section. A 

component may also designate 

additional processing tracks that 

distinguish between simple and more 

complex requests based on the 

estimated amount of work or time 

needed to process the request. A 

component can consider factors such as 

the number of pages involved in 

processing the request or the need for 

consultations or referrals. Components 

shall advise requesters of the track into 

which their request falls and, when 

appropriate, shall offer the requesters an 

opportunity to narrow their request so 

that it can be placed in a different 

processing track. 

(c) Unusual circumstances. Whenever 

the statutory time limits for processing 

a request cannot be met because of 

‘‘unusual circumstances,’’ as defined in 

the FOIA, and the component extends 

the time limits on that basis, the 

component shall, before expiration of 

the twenty-day period to respond, notify 

the requester in writing of the unusual 

circumstances involved and of the date 

by which processing of the request can 

be expected to be completed. Where the 

extension exceeds ten working days, the 

component shall, as described by the 

FOIA, provide the requester with an 

opportunity to modify the request or 

agree to an alternative time period for 

processing. The component shall make 

available its designated FOIA contact or 

its FOIA Public Liaison for this purpose. 

The component must also alert 

requesters to the availability of the 

Office of Government Information 

Services to provide dispute resolution 

services. 

(d) Aggregating requests. For the 

purposes of identifying unusual 

circumstances under the FOIA, 

components may aggregate requests in 

cases where it reasonably appears that 

multiple requests, submitted either by a 

requester or by a group of requesters 

acting in concert, constitute a single 

request that would otherwise involve 

unusual circumstances. Components 

will not aggregate multiple requests that 

involve unrelated matters. 

(e) Expedited processing. (1) Requests 

and appeals will be processed on an 

expedited basis only upon request and 

when it is determined that they involve: 

(i) Circumstances in which the lack of 

expedited processing could reasonably 

be expected to pose an imminent threat 

to the life or physical safety of an 

individual; 

(ii) An urgency to inform the public 

about an actual or alleged Federal 

government activity, if made by a 

person who is primarily engaged in 

disseminating information. The 

standard of ‘‘urgency to inform’’ 

requires that the records requested 

pertain to a matter of current exigency 

to the public and that delaying a 

response to a request for records would 

compromise a significant recognized 

interest to and throughout the general 

public; or 

(iii) The loss of substantial due 

process rights. 

(2) A request for expedited processing 

may be made at any time. Requests must 

be submitted to the component that 

maintains the records requested. The 

time period for making the 

determination on the request for 

expedited processing under this section 

shall commence on the date that the 

component receives the request. 

(3) A requester who seeks expedited 

processing must submit a statement, 

certified to be true and correct, 

explaining in detail the basis for making 

the request for expedited processing. As 

a matter of administrative discretion, a 

component may waive the formal 

certification requirement. 

(4) A requester seeking expedited 

processing under paragraph (e)(1)(ii) of 

this section, who is not a full-time 

member of the news media must 

establish that he or she is a person 

whose primary professional activity or 

occupation is information 

dissemination. Such a requester also 

must establish a particular urgency to 

inform the public about the government 

activity involved in the request—one 

that extends beyond the public’s right to 


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know about government activity 

generally. 

(5) A component shall notify the 

requester within ten calendar days of 

the receipt of a request for expedited 

processing of its decision whether to 

grant or deny expedited processing. If 

expedited processing is granted, the 

request shall be given priority, placed in 

the processing track for expedited 

requests, and shall be processed as soon 

as practicable. If a component denies 

expedited processing, any appeal of that 

decision that complies with the 

procedures set forth in § 1.6 of this 

subpart shall be acted on expeditiously. 

(f) Acknowledgments of requests. 

Upon receipt of a request that will take 

longer than ten business days to 

process, a component shall send the 

requester an acknowledgment letter that 

assigns the request an individualized 

tracking number. The component shall 

also include in the acknowledgment a 

brief description of the records sought to 

allow requesters to more easily keep 

track of their requests. 

(g) Grants of requests. Once a 

component makes a determination to 

grant a request in full or in part, it shall 

notify the requester in writing. The 

component also shall inform the 

requester of any fees charged under § 1.7 

of this subpart and shall disclose the 

requested records to the requester 

promptly upon payment of any 

applicable fees. The component must 

also inform the requester of the 

availability of the FOIA Public Liaison 

to offer assistance. 

(h) Adverse determinations of 

requests. A component making an 

adverse determination denying a request 

in any respect shall notify the requester 

of that determination in writing. 

Adverse determinations, or denials of 

requests, include decisions that: The 

requested record is exempt, in whole or 

in part; the request does not reasonably 

describe the records sought; the 

information requested is not a record 

subject to the FOIA; the requested 

record does not exist, cannot be located, 

or has been destroyed; or the requested 

record is not readily reproducible in the 

form or format sought by the requester. 

Adverse determinations also include 

denials involving fees or fee waiver 

matters, and denials of requests for 

expedited processing. 

(i) Content of denial letter. The denial 

letter shall be signed by the head of the 

component, or FOIA designee, and shall 

include, when applicable: 

(1) The name and title or position of 

the person responsible for the denial; 

(2) A brief statement of the reasons for 

the denial, including any FOIA 

exemption applied by the component in 

denying the request; and 

(3) An estimate of the volume of any 

records or information withheld, for 

example, by providing the number of 

pages or some other reasonable form of 

estimation. This estimation is not 

required if the volume is otherwise 

indicated by deletions marked on 

records that are disclosed in part, or if 

the estimate would cause a harm 

protected by one of the exemptions. 

(4) A statement that the denial may be 

appealed under § 1.6(a) of this subpart, 

and a description of the requirements 

set forth therein. 

(5) A statement notifying the requester 

of the assistance available from the 

component’s FOIA Public Liaison and 

the dispute resolution services offered 

by the Office of Government 

Information Services. 

(j) Markings on released documents. 

Records disclosed in part must be 

marked clearly to show the amount of 

information deleted and the exemption 

under which the deletion was made 

unless doing so would harm an interest 

protected by an applicable exemption. 

The location of the information deleted 

shall also be indicated on the record, if 

technically feasible. 

(k) Use of record exclusions. (1) In the 

event a component identifies records 

that may be subject to exclusion from 

the requirements of the FOIA pursuant 

to 5 U.S.C. 552(c), the component shall 

consult with the Department of Justice, 

Office of Information Policy (OIP), 

before applying the exclusion. 

(2) A component invoking an 

exclusion must maintain an 

administrative record of the process of 

invocation and of the consultation with 

OIP. 

§ 1.5 Confidential commercial information. 

(a) Definitions—(1) Confidential 

commercial information means trade 

secrets and commercial or financial 

information obtained by the Department 

from a submitter that may be protected 

from disclosure under Exemption 4 of 

the FOIA. 

(2) Submitter means any person or 

entity from whom the Department 

obtains confidential commercial 

information, directly or indirectly. 

(3) Designation of confidential 

commercial information. A submitter of 

confidential commercial information 

must use good faith efforts to designate 

by appropriate markings, either at the 

time of submission or within a 

reasonable time thereafter, any portion 

of its submission that it considers to be 

protected from disclosure under 

Exemption 4. These designations will 

expire ten years after the date of the 

submission unless the submitter 

requests and provides justification for a 

longer designation period. 

(b) When notice to submitters is 

required. (1) A component shall 

promptly provide written notice to a 

submitter whenever: 

(i) The requested confidential 

commercial information has been 

designated in good faith by the 

submitter as information considered 

protected from disclosure under 

Exemption 4; or 

(ii) The component has a reason to 

believe that the requested confidential 

commercial information may be 

protected from disclosure under 

Exemption 4 of the FOIA. 

(2) The notice shall either describe the 

confidential commercial information 

requested or include a copy of the 

requested records or portions of records 

containing the information. In cases 

involving a voluminous number of 

submitters, notice may be made by 

posting or publishing the notice in a 

place or manner reasonably likely to 

accomplish it. 

(c) Exceptions to submitter notice 

requirements. The notice requirements 

of this section shall not apply if: 

(1) The component determines that 

the confidential commercial information 

is exempt from disclosure under the 

FOIA; 

(2) The confidential commercial 

information lawfully has been 

published or has been officially made 

available to the public; or 

(3) Disclosure of the confidential 

commercial information is required by a 

statute other than the FOIA or by a 

regulation issued in accordance with the 

requirements of Executive Order 12600 

of June 23, 1987; 

(d) Opportunity to object to 

disclosure. (1) A component will specify 

a reasonable time period as determined 

within its administrative discretion 

within which the submitter must 

respond to the notice referenced above. 

If a submitter has any objections to 

disclosure, it should provide the 

component a detailed written statement 

that specifies all grounds for 

withholding the particular confidential 

commercial information under any 

exemption of the FOIA. In order to rely 

on Exemption 4 as a basis for 

nondisclosure, the submitter must 

explain why the information constitutes 

a trade secret, or commercial or 

financial information that is privileged 

or confidential. 

(2) A submitter who fails to respond 

within the time period specified in the 

notice shall be considered to have no 

objection to disclosure of the 

information. An objection to disclosure 


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received by the component after the 

time period specified in the notice will 

not be considered by the component. 

Any information provided by a 

submitter under this subpart may itself 

be subject to disclosure under the FOIA 

and/or protected from disclosure by 

applicable exemptions or by a statute 

other than the FOIA. 

(e) Analysis of objections. A 

component shall consider a submitter’s 

objections and specific grounds for 

nondisclosure in deciding whether to 

disclose the requested confidential 

commercial information. 

(f) Notice of intent to disclose. 

Whenever a component decides to 

disclose confidential commercial 

information over the objection of a 

submitter, the component shall provide 

the submitter written notice, which 

shall include: 

(1) A statement of the reasons why 

each of the submitter’s disclosure 

objections was not sustained; 

(2) Copies of the records that the 

component intends to disclose or, in the 

alternative, a description of the 

confidential commercial information to 

be disclosed; and 

(3) A specified disclosure date, which 

shall be a reasonable time subsequent to 

the notice. 

(g) Notice of FOIA lawsuit. Whenever 

a requester files a lawsuit seeking to 

compel the disclosure of confidential 

commercial information, the component 

shall promptly notify the submitter. 

(h) Requester notification. The 

component shall notify a requester 

whenever it provides the submitter with 

notice and an opportunity to object to 

disclosure; whenever it notifies the 

submitter of its intent to disclose the 

requested confidential commercial 

information; and whenever a submitter 

files a lawsuit to prevent the disclosure 

of the confidential commercial 

information. 

§ 1.6 Administrative appeals. 

(a) Requirements for making an 

appeal. Before seeking review by a court 

of a component’s adverse determination, 

a requester generally must first submit 

a timely administrative appeal. A 

requester may appeal any adverse 

determinations denying his or her 

request to the official specified in the 

appropriate Appendix to this subpart. 

Examples of adverse determinations are 

provided in § 1.4(h) of this subpart. The 

requester must make the appeal in 

writing and to be considered timely it 

must be postmarked, or in the case of 

electronic submissions, transmitted, 

within 90 calendar days after the date of 

the component’s final response. The 

appeal letter should clearly identify the 

component’s determination that is being 

appealed and the assigned request 

number. The requester should mark 

both the appeal letter and envelope, or 

subject line of the electronic 

transmission, ‘‘Freedom of Information 

Act Appeal.’’ 

(b) Adjudication of appeals. (1) The 

FOIA appeal official or designee 

specified in the appropriate Appendix 

will act on all appeals under this 

section. 

(2) An appeal ordinarily will not be 

adjudicated if the request becomes a 

matter of FOIA litigation. 

(3) On receipt of any appeal involving 

classified information, the FOIA appeal 

official or designee must take 

appropriate action to ensure compliance 

with applicable classification rules. 

(c) Decision on appeals. A decision on 

an appeal must be made in writing by 

the component within 20 business days 

after receipt of the appeal. A decision 

that upholds a component’s 

determination must contain a statement 

that identifies the reasons for the 

affirmance, including any FOIA 

exemptions applied. The decision must 

provide the requester with notification 

of the statutory right to file a lawsuit 

and will inform the requester of the 

mediation services offered by the Office 

of Government Information Services of 

the National Archives and Records 

Administration as a non-exclusive 

alternative to litigation. If a component’s 

decision is remanded or modified on 

appeal the requester will be notified of 

that determination in writing. The 

component will then further process the 

request in accordance with that appeal 

determination and respond directly to 

the requester. Appeals that have not 

been postmarked or transmitted within 

the specified time frame will be 

considered untimely and will be 

administratively closed with written 

notice to the requester. 

(d) Engaging in dispute resolution 

services provided by Office of 

Government Information Services 

(OGIS). Mediation is a voluntary 

process. If a component agrees to 

participate in the mediation services 

provided by OGIS, it will actively 

engage as a partner to the process in an 

attempt to resolve the dispute. 

§ 1.7 Fees. 

(a) In general. Components may 

charge for processing requests under the 

FOIA in accordance with the provisions 

of this section or may issue their own 

fee schedules as long as they are 

consistent with the OMB Guidelines. In 

order to resolve any fee issues that arise 

under this section, a component may 

contact a requester for additional 

information. A component ordinarily 

will collect all applicable fees before 

sending copies of records to a requester. 

Requesters must pay fees by check or 

money order made payable to the 

Treasury of the United States, or by 

other means specified at https://

home.treasury.gov/footer/freedom-ofinformation-act. 

(b) Definitions. For purposes of this 

section: 

(1) Commercial-use request is a 

request for information for a use or a 

purpose that furthers a commercial, 

trade, or profit interest, which can 

include furthering those interests 

through litigation. 

(2) Direct costs are those expenses that 

a component expends in searching for 

and duplicating (and, in the case of 

commercial-use requests, reviewing) 

records in order to respond to a FOIA 

request. For example, direct costs 

include the salary of the employee 

performing the work (i.e., the basic rate 

of pay for the employee, plus 16 percent 

of that rate to cover benefits) and the 

cost of operating computers and other 

electronic equipment, such as 

photocopiers and scanners. Direct costs 

do not include overhead expenses such 

as the costs of space, and of heating or 

lighting a facility. Components shall 

ensure that searches, review, and 

duplication are conducted in the most 

efficient and the least expensive 

manner. 

(3) Duplication is reproducing a copy 

of a record or of the information 

contained in it, necessary to respond to 

a FOIA request. Copies can take the 

form of paper, audiovisual materials, or 

electronic records, among others. 

(4) Educational institution is any 

school that operates a program of 

scholarly research. A requester in this 

category must show that the request is 

made in connection with the requester’s 

role at the educational institution. 

Components may seek assurance from 

the requester that the request is in 

furtherance of scholarly research and 

will advise requesters of their placement 

in this category. 

(5) Noncommercial scientific 

institution is an institution that is not 

operated on a ‘‘commercial’’ basis, as 

defined in paragraph (b)(1) of this 

section, and that is operated solely for 

the purpose of conducting scientific 

research, the results of which are not 

intended to promote any particular 

product or industry. A requester in this 

category must show that the request is 

authorized by and is made under the 

auspices of a qualifying institution and 

that the records are sought to further 

scientific research and not for a 

commercial use. 


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(6) Representative of the news media 

is any person or entity that actively 

gathers information of potential interest 

to a segment of the public, uses its 

editorial skills to turn the raw materials 

into a distinct work, and distributes that 

work to an audience. The term ‘‘news’’ 

means information that is about current 

events or that would be of current 

interest to the public. Examples of news 

media entities include television or 

radio stations broadcasting news to the 

public at large and publishers of 

periodicals that disseminate ‘‘news’’ 

and make their products available 

through a variety of means to the 

general public. A request for records 

that supports the news-dissemination 

function of the requester shall not be 

considered to be for a commercial use. 

‘‘Freelance’’ journalists who 

demonstrate a solid basis for expecting 

publication through a news media entity 

shall be considered as a representative 

of the news media. A publishing 

contract would provide the clearest 

evidence that publication is expected; 

however, components shall also 

consider a requester’s past publication 

record in making this determination. 

(7) Other requester refers to a 

requester who does not fall within any 

of the previously described categories. 

(8) Review is the examination of a 

record located in response to a request 

in order to determine whether any 

portion of it is exempt from disclosure. 

Review time includes time spent 

processing any record for disclosure, 

such as doing all that is necessary to 

prepare the record for disclosure, 

including the process of redacting the 

record and marking the appropriate 

exemptions. Review time also includes 

time spent obtaining and considering 

any formal objection to disclosure made 

by a confidential commercial 

information submitter under § 1.5 of this 

subpart, but it does not include time 

spent resolving general legal or policy 

issues regarding the application of 

exemptions. Review costs are properly 

charged even if a record ultimately is 

not disclosed. 

(9) Search is the process of looking for 

and retrieving records or information 

responsive to a request. Search time 

includes time devoted to page-by-page 

or line-by-line identification of 

information within records; and the 

reasonable efforts expended to locate 

and retrieve information from electronic 

records. 

(c) Charging fees. Unless a component 

has issued a separate fee schedule, or a 

waiver or reduction of fees has been 

granted under paragraph (k) of this 

section, components shall charge the 

following fees. Because the fee amounts 

provided below already account for the 

direct costs associated with a given fee 

type, components should not add any 

additional costs to those charges. 

(1) Search. (i) Search fees shall be 

charged for all requests, subject to the 

restrictions of paragraph (d) of this 

section. Components will charge search 

fees for all other requesters, subject to 

the restrictions of paragraph (d) of this 

section. Components may properly 

charge for time spent searching even if 

they do not locate any responsive 

records or if they determine that the 

records are entirely exempt from 

disclosure. 

(ii) For each quarter hour spent by 

personnel searching for requested 

records, including electronic searches 

that do not require new programming, 

the fees shall be as follows: executive— 

$21; professional—$16.50; and 

administrative—$13.00. 

(iii) In addition, requesters will be 

charged the direct costs associated with 

the creation of any new computer 

program required to locate the requested 

records. 

(2) Duplication. Duplication fees will 

be charged to all requesters, subject to 

the restrictions of paragraph (d) of this 

section. A component shall honor a 

requester’s preference for receiving a 

record in a particular form or format 

where it is readily reproducible by the 

component in the form or format 

requested. Where photocopies are 

supplied, the component will provide 

one copy per request at a cost of $0.15 

per page. For copies of records 

produced on tapes, disks, other forms of 

duplication, or other electronic media, 

components will charge the direct costs 

of producing the copy, including 

operator time. Where paper documents 

must be scanned in order to comply 

with a requester’s preference to receive 

the records in an electronic format, the 

requester shall pay the direct costs 

associated with scanning those 

materials, including operator’s time. For 

other forms of duplication, components 

will charge the direct costs. 

(3) Review. Review fees will only be 

charged to requesters who make 

commercial-use requests. Review fees 

will be assessed in connection with the 

initial review of the record, i.e., the 

review conducted by a component to 

determine whether an exemption 

applies to a particular record or portion 

of a record. No charge will be made for 

review at the administrative appeal 

stage of exemptions applied at the 

initial review stage. However, when the 

appellate authority determines that a 

particular exemption no longer applies, 

any costs associated with a component’s 

re-review of the records in order to 

consider the use of other exemptions 

may be assessed as review fees. Review 

costs are properly charged even if a 

record ultimately is not disclosed. 

Review fees will be charged at the same 

rates as those charged for a search under 

paragraph (c)(1)(ii) of this section. 

(d) Restrictions on charging fees. (1) 

No search fees will be charged for 

requests by educational institutions, 

noncommercial scientific institutions, 

or representatives of the news media 

(unless the records are sought for 

commercial use). 

(2) If a component fails to comply 

with the FOIA’s time limits in which to 

respond to a request, it may not charge 

search fees, or, in the instances of 

requests from requesters described in 

paragraph (d)(1) of this section, may not 

charge duplication fees, except as 

described in paragraphs (d)(2)(i) through 

(iii) of this section. 

(i) If a component has determined that 

unusual circumstances as defined by the 

FOIA apply and the agency provided 

timely written notice to the requester in 

accordance with the FOIA, a failure to 

comply with the time limit shall be 

excused for an additional ten days. 

(ii) If a component has determined 

that unusual circumstances as defined 

by the FOIA apply, and more than 5,000 

pages are necessary to respond to the 

request, the component may charge 

search fees, or, in the case of requesters 

described in paragraph (d)(1) of this 

section, may charge duplication fees if 

the following steps are taken. The 

component must have provided timely 

written notice of unusual circumstances 

to the requester in accordance with the 

FOIA and the component must have 

discussed with the requester via written 

mail, email, or telephone (or made not 

less than three good-faith attempts to do 

so) how the requester could effectively 

limit the scope of the request in 

accordance with 5 U.S.C. 

552(a)(6)(B)(ii). If this exception is 

satisfied, the component may charge all 

applicable fees incurred in the 

processing of the request. 

(iii) If a court has determined that 

exceptional circumstances exist as 

defined in the FOIA, a failure to comply 

with the time limits shall be excused for 

the length of time provided by the court 

order. 

(3) No search or review fees will be 

charged for a quarter-hour period unless 

more than half of that period is required 

for search or review. 

(4) Except for requesters seeking 

records for a commercial use, 

components will provide without 

charge: 


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(i) The first 100 pages of duplication 

(or the cost equivalent for other media); 

and 

(ii) The first two hours of search. 

(5) When, after first deducting the 100 

free pages (or its cost equivalent) and 

the first two hours of search, a total fee 

calculated under paragraph (c) of this 

section is $25.00 or less for any request, 

no fee will be charged. 

(e) Notice of anticipated fees in excess 

of $25.00. When a component 

determines or estimates that the fees to 

be assessed in accordance with this 

section will exceed $25.00, the 

component shall notify the requester of 

the actual or estimated amount of the 

fees, including a breakdown of the fees 

for search, review or duplication, unless 

the requester has indicated a 

willingness to pay fees as high as those 

anticipated. If only a portion of the fee 

can be estimated readily, the component 

shall advise the requester accordingly. 

In cases in which a requester has been 

notified that the actual or estimated fees 

are in excess of $25.00, the request shall 

not be considered received and further 

work will not be completed until the 

requester commits in writing to pay the 

actual or estimated total fee. Such a 

commitment must be made by the 

requester in writing, must indicate a 

given dollar amount the requester is 

willing to pay, and must be received by 

the component within 30 calendar days 

from the date of notification of the fee 

estimate. If a commitment is not 

received within this period, the 

requester shall be notified, in writing, 

that the request shall be closed. 

Components will inform the requester of 

their right to seek assistance from the 

appropriate component FOIA Public 

Liaison or other FOIA professional to 

assist the requester in reformulating 

request in an effort to reduce fees. 

Components are not required to accept 

payments in installments. If the 

requester has indicated a willingness to 

pay some designated amount of fees, but 

the component estimates that the total 

fee will exceed that amount, the 

component will toll the processing of 

the request when it notifies the 

requester of the estimated fees in excess 

of the amount the requester has 

indicated a willingness to pay. The 

Component will inquire whether the 

requester wishes to revise the amount of 

fees the requester is willing to pay or 

modify the request. Once the requester 

responds, the time to respond will 

resume from where it was at the date of 

the notification. 

(f) Charges for other services. 

Although not required to provide 

special services, if a component chooses 

to do so as a matter of administrative 

discretion, the direct costs of providing 

the service will be charged. Examples of 

such services include certifying that 

records are true copies, providing 

multiple copies of the same document, 

or sending records by means other than 

first class mail. 

(g) Charging interest. Components 

may charge interest on any unpaid bill 

starting on the 31st day following the 

date of billing the requester. Interest 

charges will be assessed at the rate 

provided in 31 U.S.C. 3717 and will 

accrue from the billing date until 

payment is received by the component. 

Components will follow the provisions 

of the Debt Collection Act of 1982 (Pub. 

L. 97–365, 96 Stat. 1749), as amended, 

and its administrative procedures, 

including the use of consumer reporting 

agencies, collection agencies, and offset. 

(h) Aggregating requests. When a 

component reasonably believes that a 

requester or a group of requesters acting 

in concert is attempting to divide a 

single request into a series of requests 

for the purpose of avoiding fees, the 

component may aggregate those requests 

and charge accordingly. Components 

may presume that multiple requests of 

this type made within a 30-day period 

have been made in order to avoid fees. 

For requests separated by a longer 

period, components will aggregate them 

only where there is a reasonable basis 

for determining that aggregation is 

warranted in view of all the 

circumstances involved. Multiple 

requests involving unrelated matters 

will not be aggregated. 

(i) Advance payments. (1) For 

requests other than those described in 

paragraphs (i)(2) and (i)(3) of this 

section, a component shall not require 

the requester to make an advance 

payment before work is commenced or 

continued on a request. Payment owed 

for work already completed (i.e., 

payment before copies are sent to a 

requester) is not an advance payment. 

(2) When a component determines or 

estimates that a total fee to be charged 

under this section will exceed $250.00, 

it may require that the requester make 

an advance payment up to the amount 

of the entire anticipated fee before 

beginning to process the request. A 

component may elect to process the 

request prior to collecting fees when it 

receives a satisfactory assurance of full 

payment from a requester with a history 

of prompt payment. 

(3) Where a requester has previously 

failed to pay a properly charged FOIA 

fee to any component or agency within 

30 calendar days of the billing date, a 

component may require that the 

requester pay the full amount due, plus 

any applicable interest on that prior 

request and the component may require 

that the requester make an advance 

payment of the full amount of any 

anticipated fee before the component 

begins to process a new request or 

continues to process a pending request, 

or any pending appeal. Where a 

component has a reasonable basis to 

believe that a requester has 

misrepresented his or her identity in 

order to avoid paying outstanding fees, 

it may require that the requester provide 

proof of identity. 

(4) In cases in which a component 

requires advance payment, the request 

shall not be considered received and 

further work will not be completed until 

the required payment is received. If the 

requester does not pay the advance 

payment within 30 calendar days after 

the date of the component’s fee 

determination letter, the request will be 

closed. 

(j) Other statutes specifically 

providing for fees. The fee schedule of 

this section does not apply to fees 

charged under any statute that 

specifically requires an agency to set 

and collect fees for particular types of 

records. In instances where records 

responsive to a request are subject to a 

statutorily-based fee schedule program, 

the component will inform the requester 

of the contact information for that 

source. 

(k) Requirements for waiver or 

reduction of fees. (1) Requesters may 

seek a waiver of fees by submitting a 

written application demonstrating how 

disclosure of the requested information 

is in the public interest because it is 

likely to contribute significantly to 

public understanding of the operations 

or activities of the government and is 

not primarily in the commercial interest 

of the requester. 

(2) A component must furnish records 

responsive to a request without charge 

or at a reduced rate when it determines, 

based on all available information, that 

disclosure of the requested information 

is in the public interest because it is 

likely to contribute significantly to 

public understanding of the operations 

or activities of the government and is 

not primarily in the commercial interest 

of the requester. In deciding whether 

this standard is satisfied the component 

must consider the factors described in 

paragraphs (k)(2)(i) through (iii) of this 

section: 

(i) Disclosure of the requested 

information would shed light on the 

operations or activities of the 

government. The subject of the request 

must concern identifiable operations or 

activities of the Federal Government 

with a connection that is direct and 

clear, not remote or attenuated. 


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(ii) Disclosure of the requested 

information would be likely to 

contribute significantly to public 

understanding of those operations or 

activities. This factor is satisfied when 

the following criteria are met: 

(A) Disclosure of the requested 

records must be meaningfully 

informative about government 

operations or activities. The disclosure 

of information that is already in the 

public domain, in either the same or a 

substantially identical form, would not 

be meaningfully informative if nothing 

new would be added to the public’s 

understanding. 

(B) The disclosure must contribute to 

the understanding of a reasonably broad 

audience of persons interested in the 

subject, as opposed to the individual 

understanding of the requester. A 

requester’s expertise in the subject area 

as well as the requester’s ability and 

intention to effectively convey 

information to the public must be 

considered. Components will presume 

that a representative of the news media 

will satisfy this consideration. 

(iii) The disclosure must not be 

primarily in the commercial interest of 

the requester. To determine whether 

disclosure of the requested information 

is primarily in the commercial interest 

of the requester, components will 

consider the following criteria: 

(A) Components must identify 

whether the requester has any 

commercial interest that would be 

furthered by the requested disclosure. A 

commercial interest includes any 

commercial, trade, or profit interest. 

Requesters must be given an 

opportunity to provide explanatory 

information regarding this 

consideration. 

(B) If there is an identified 

commercial interest, the component 

must determine whether that is the 

primary interest furthered by the 

request. A waiver or reduction of fees is 

justified when the requirements of 

paragraphs (k)(2)(i) and (ii) of this 

section are satisfied and any commercial 

interest is not the primary interest 

furthered by the request. Components 

ordinarily will presume that when a 

news media requester has satisfied the 

requirements of paragraphs (k)(2)(i) and 

(ii) of this section, the request is not 

primarily in the commercial interest of 

the requester. Disclosure to data brokers 

or others who merely compile and 

market government information for 

direct economic return will not be 

presumed to primarily serve the public 

interest. 

(3) Where only some of the records to 

be released satisfy the requirements for 

a waiver of fees, a waiver shall be 

granted for those records. 

(4) Requests for a waiver or reduction 

of fees should be made when the request 

is first submitted to the component and 

should address the criteria referenced 

above. A requester may submit a fee 

waiver request at a later time so long as 

the underlying record request is 

pending or on administrative appeal. 

When a requester who has committed to 

pay fees subsequently asks for a waiver 

of those fees and that waiver is denied, 

the requester shall be required to pay 

any costs incurred up to the date the fee 

waiver request was received. 

(5) The requester shall be notified in 

writing of the decision to grant or deny 

the fee waiver. 

Appendix A to Subpart A of Part 1— 

Departmental Offices 

1. In general. This appendix applies to the 

Departmental Offices as defined in 31 CFR 

1.1(b)(1). 

2. Public Reading Room. The public 

reading room for the Departmental Offices is 

the Treasury Library. The library is located 

in the Freedman’s Bank Building (Treasury 

Annex), Room 1020, 1500 Pennsylvania 

Avenue NW, Washington, DC 20220. For 

building security purposes, visitors are 

required to make an appointment by calling 

202–622–0990. Treasury also maintains an 

electronic reading room, which may be 

accessed at https://home.treasury.gov/footer/ 

freedom-of-information-act. 

3. Requests for records. 

(a) Initial determinations as to whether to 

grant requests for records of the Departmental 

Offices will be made by the Director for FOIA 

and Transparency, or the designee of such 

official, with the exception of initial 

determinations by the Office of the Inspector 

General and the Special Inspector General for 

the Troubled Asset Relief Program, which 

will be made by the designee of the 

respective Inspector General. 

(b) Requests for records should be sent to: 

Freedom of Information Request, 

Departmental Offices, Director, FOIA and 

Transparency, Department of the Treasury, 

1500 Pennsylvania Avenue NW, Washington, 

DC 20220. Requests may also be submitted 

via email at FOIA@treasury.gov. 

4. Administrative appeal of initial 

determination to deny records. 

(a) Appellate determinations with respect 

to records of the Departmental Offices or 

requests for expedited processing will be 

made by the Deputy Assistant Secretary for 

Privacy, Transparency, and Records, or the 

designee of such official, with the exception 

of appellate determinations by the Office of 

the Inspector General and the Special 

Inspector General for the Troubled Asset 

Relief Program, which will be made by the 

respective Inspector General or his or her 

designee. 

(b) Appeals should be addressed to: 

Freedom of Information Appeal, 

Departmental Offices, FOIA and 

Transparency, Department of the Treasury, 

1500 Pennsylvania Avenue NW, Washington, 

DC 20220. Appeals may also be submitted via 

email at FOIA@treasury.gov. 

Appendix B to Subpart A of Part 1— 

Internal Revenue Service 

1. In general. This appendix applies to the 

Internal Revenue Service (IRS). See also 26 

CFR 601.702. 

2. Public reading room. The IRS no longer 

maintains physical reading rooms. 

Documents for the public are found on 

various websites at irs.gov including the 

electronic FOIA Reading Room located at 

https://www.irs.gov/uac/electronic-readingroom. 

3. Requests for records. Initial 

determinations as to whether to grant 

requests for records of the IRS, grant 

expedited processing, grant a fee waiver, or 

determine requester category will be made by 

those officials specified in 26 CFR 601.702. 

Requests for records should be submitted 

to the IRS using the information below: 

IRS accepts FOIA requests by fax or by mail 

If your request is for IRS Headquarters Office records concerning matters of nationwide applicability, such as published guidance (regulations and revenue rulings), program management, operations, or 

policies, including National or Headquarters Offices of Chief Counsel 

records that are not available at the Electronic FOIA Reading Room 

site:.

If your request is for your own records or other records controlled at 

IRS field locations including Division Counsel offices that are not 

available at the Electronic FOIA Reading Room site:.

Fax: 877–807–9215, Mail: IRS FOIA Request, Stop 211, PO Box 

621506, Atlanta, GA 30362–3006.

Fax: 877–891–6035, Mail: IRS FOIA Request, Stop 93A, Post Office 

Box 621506, Atlanta GA 30362–3006. 


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4. Administrative appeal of initial 

determination to deny records. Appellate 

determinations with respect to records of the 

Internal Revenue Service will be made by the 

Commissioner of Internal Revenue or the 

delegate of such officer. Appeals must be in 

writing and addressed to: IRS Appeals 

Attention: FOIA Appeals, M/Stop 55202, 

5045 E Butler Ave., Fresno, CA 93727–5136. 

Appendix C to Subpart A of Part 1— 

Bureau of Engraving and Printing 

1. In general. This appendix applies to the 

Bureau of Engraving and Printing (BEP). 

2. Public reading room. BEP’s public 

reading room is located at 14th and C Streets 

SW, Washington, DC 20228. Individuals 

wishing to visit the public reading room must 

request an appointment by telephoning (202) 

874–2500. The reading room is open on 

official business days from 10:00 a.m. to 4:00 

p.m. eastern standard time. Visitors shall 

comply with 31 CFR part 605, governing the 

conduct of persons within the buildings and 

grounds of the BEP. In addition, BEP also 

maintains an electronic reading room, which 

may be accessed at http://www.bep.gov/ 

bepfoialibrary.html. 

3. Requests for records. Initial 

determinations as to whether to grant or deny 

requests for records of the BEP or applicable 

fees will be made by the BEP Director 

delegate, i.e., Disclosure Officer. Requests 

may be mailed or faxed to: FOIA/PA Request, 

Disclosure Officer, Bureau of Engraving and 

Printing, Office of the Chief Counsel—FOIA 

and Transparency Services, Washington, DC 

20228–0001, Fax Number: (202) 874–2951. 

4. Administrative Appeal of initial 

determination to deny records. Appellate 

determinations with respect to records of the 

BEP will be made by the Director of the BEP 

or the delegate of the Director for purposes 

of this section. Appeals may be mailed or 

delivered in person to: FOIA/PA APPEAL, 

Director, Bureau of Engraving and Printing, 

Office of the Director, 14th and C Streets SW, 

Washington, DC 20228–0001. 

Appendix D to Subpart A of Part 1— 

Bureau of the Fiscal Service 

1. In general. This appendix applies to the 

Bureau of the Fiscal Service. 

2. Public reading room. The public reading 

room for the Bureau of the Fiscal Service is 

the Treasury Library. The library is located 

in the Freedman’s Bank Building (Treasury 

Annex), Room 1020, 1500 Pennsylvania 

Avenue NW, Washington, DC 20220. For 

building security reasons, visitors are 

required to make an appointment by calling 

202–622–0990. Fiscal Service also maintains 

an electronic reading room, which may be 

accessed at https://www.fiscal.treasury.gov/ 

foia/foia_readingroom.htm. 

3. Requests for records. Initial 

determinations whether to grant requests for 

records will be made by the Disclosure 

Officer, Bureau of the Fiscal Service. 

Requests may be mailed or delivered in 

person to: 

Freedom of Information Request, 

Disclosure Officer, Bureau of the Fiscal 

Service, 401 14th Street SW, Washington, DC 

20227. 

4. Administrative appeal of initial 

determination to deny records. Appellate 

determinations will be made by the 

Commissioner, Bureau of the Fiscal Service, 

or that official’s delegate. Appeals may be 

mailed to: Freedom of Information Appeal 

(FOIA), Commissioner, Bureau of the Fiscal 

Service, 401 14th Street SW, Washington, DC 

20227. 

Appeals may be delivered personally to the 

Office of the Commissioner, Bureau of the 

Fiscal Service, 401 14th Street SW, 

Washington, DC. 

Appendix E to Subpart A of Part 1— 

United States Mint 

1. In general. This appendix applies to the 

United States Mint. 

2. Public reading room. The U.S. Mint will 

provide a room on an ad hoc basis when 

necessary. Contact the Freedom of 

Information/Privacy Act Officer, United 

States Mint, Judiciary Square Building, 7th 

Floor, 633 3rd Street NW, Washington, DC 

20220. 

3. Requests for records. Initial 

determinations as to whether to grant 

requests for records of the United States Mint 

will be made by the Freedom of Information/ 

Privacy Act Officer, United States Mint. 

Requests may be mailed or delivered in 

person to: Freedom of Information Act 

Request, Freedom of Information/Privacy Act 

Officer, United States Mint, Judiciary Square 

Building, 7th Floor, 633 3rd Street NW, 

Washington, DC 20220. 

4. Administrative appeal of initial 

determination to deny records. Appellate 

determinations with respect to records of the 

United States Mint will be made by the 

Director of the Mint. Appeals made by mail 

should be addressed to: Freedom of 

Information Appeal, Director, United States 

Mint, Judiciary Square Building, 7th Floor, 

633 3rd Street NW, Washington, DC 20220. 

Appendix F to Subpart A of Part 1— 

Office of the Comptroller of the 

Currency 

1. In general. This appendix applies to the 

Office of the Comptroller of the Currency. 

2. Public reading room. The Office of the 

Comptroller of the Currency will make 

materials available through its Public 

Information Room at 250 E Street SW, 

Washington, DC 20219. 

3. Requests for records. Initial 

determinations as to whether to grant 

requests for records of the Office of the 

Comptroller of the Currency will be made by 

the Disclosure Officer or the official so 

designated. Requests may be mailed or 

delivered in person to: Freedom of 

Information Act Request, Disclosure Officer, 

Communications Division, 3rd Floor, 

Comptroller of the Currency, 250 E Street 

SW, Washington, DC 20219. 

4. Administrative appeal of initial 

determination to deny records. Appellate 

determinations with respect to records of the 

Comptroller of the Currency will be made by 

the Chief Counsel or delegates of such 

official. Appeals made by mail shall be 

addressed to: Communications Division, 

Comptroller of the Currency, 250 E Street 

SW, Washington, DC 20219. 

Appeals may be delivered personally to the 

Communications Division, Comptroller of the 

Currency, 250 E Street SW, Washington, DC. 

Appendix G to Subpart A of Part 1— 

Financial Crimes Enforcement Network 

1. In general. This appendix applies to the 

Financial Crimes Enforcement Network 

(FinCEN). 

2. Public reading room. FinCEN will 

provide records on the online reading room 

located on the FinCEN FOIA page or in the 

Code of Federal Regulations. 

3. Requests for records. Initial 

determinations as to whether to grant 

requests for records of FinCEN will be made 

by the Freedom of Information Act/Privacy 

Act Officer, FinCEN. Requests for records 

may be mailed to: Freecom of Information 

Act/Privacy Act Request, Financial Crimes 

Enforcement Network, Post Office Box 39, 

Vienna, VA 22183. 

4. Administrative appeal of initial 

determination to deny records. Appellate 

determinations with respect to the records of 

FinCEN will be made by the Director of 

FinCEN or the delegate of the Director. 

Appeals should be mailed to: Freedom of 

Information Act Appeal, Post Office Box 39, 

Vienna, VA 22183, or emailed to: 

FinCENFOIA@fincen.gov. 

Appendix H to Subpart A of Part 1— 

Alcohol and Tobacco Tax and Trade 

Bureau 

1. In general. This appendix applies to the 

Alcohol and Tobacco Tax and Trade Bureau 

(TTB). 

2. Public reading room. The public reading 

room for TTB is maintained at 1310 G Street 

NW, Washington, DC 20005. For building 

security purposes, visitors are required to 

make an appointment by calling 202–882– 

9904. 

3. Requests for records. Initial 

determinations as to whether to grant 

requests for records of TTB will be made by 

the Director, Regulations and Rulings 

Division. Requests for records may be mailed 

to: TTB FOIA Requester Service Center, 1310 

G Street NW, Box 12, Washington, DC 20005. 

Requests may also be faxed to: 202–453– 

2331. 

4. Administrative appeal of initial 

determination to deny records. Appellate 

determinations with respect to the records of 

TTB will be made by the Assistant 

Administrator (Headquarters Operations), 

Alcohol and Tobacco Tax and Trade Bureau 

or the delegate of such official. Appeals may 

be mailed or delivered in person to: FOIA 

Appeal, Assistant Administrator 

(Headquarters Operations), Alcohol and 

Tobacco Tax and Trade Bureau, 1310 G 

Street NW, Box 12, Washington, DC 20005. 

Appendix I to Subpart A of Part 1— 

Treasury Inspector General for Tax 

Administration 

1. In general. This appendix applies to the 

Treasury Inspector General for Tax 

Administration (TIGTA). 

2. Public reading room. TIGTA will 

provide a room upon request when 

necessary. Contact the Disclosure Branch, 


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Office of Chief Counsel, TIGTA, at 202–622– 

4068. 

3. Requests for records. Initial 

determinations as to whether to grant 

requests for records of TIGTA will be made 

by the Disclosure Officer, TIGTA. Requests 

for records may be mailed to: Freedom of 

Information Act/Privacy Act Request, 

Treasury Inspector General for Tax 

Administration, Office of Chief Counsel, 

Disclosure Branch, 1401 H Street NW, Room 

469, Washington, DC 20005. You may also 

view the How to Make a FOIA Request for 

TIGTA Records at https://www.treasury.gov/ 

tigta/important_foia_mafr.shtml. TIGTA’s 

FOIA email address is FOIA.Reading.Room@

tigta.treas.gov. 

4. Administrative appeal of initial 

determination to deny records. Appellate 

determinations with respect to the records of 

TIGTA will be made by the Chief Counsel, 

TIGTA, or the delegate of the Chief Counsel. 

Appeals should be mailed to: Freedom of 

Information Act/Privacy Act Appeal, 

Treasury Inspector General for Tax 

Administration, Office of Chief Counsel, 

1401 H Street NW, Room 469, Washington, 

DC 20005. 

David F. Eisner, 

Assistant Secretary for Management. 

[FR Doc. 2019–03320 Filed 2–26–19; 8:45 am] 

BILLING CODE 4810–25–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[EPA–R06–OAR–2015–0850; FRL–9989–09– 

Region 6] 

Air Plan Approval; New Mexico; 

Approval of Revised Statutes; Error 

Correction 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Direct final rule. 

SUMMARY: Pursuant to the Federal Clean 

Air Act (CAA or the Act), the 

Environmental Protection Agency (EPA) 

is approving revisions to New Mexico’s 

State Implementation Plan (SIP) that 

incorporate updates to the New Mexico 

statutes. EPA is also correcting its 

previous approval of some statute 

provisions as approval of these 

provisions into the SIP was in error. 

DATES: This rule is effective on May 28, 

2019 without further notice, unless the 

EPA receives relevant adverse comment 

by March 29, 2019. If the EPA receives 

such comment, the EPA will publish a 

timely withdrawal in the Federal 

Register informing the public that this 

rule will not take effect. 

ADDRESSES: Submit your comments, 

identified by Docket No. EPA–R06– 

OAR–2015–0850, at https://

www.regulations.gov or via email to 

Riley.Jeffrey@epa.gov. Follow the online 

instructions for submitting comments. 

Once submitted, comments cannot be 

edited or removed from Regulations.gov. 

The EPA may publish any comment 

received to its public docket. Do not 

submit electronically any information 

you consider to be Confidential 

Business Information (CBI) or other 

information whose disclosure is 

restricted by statute. Multimedia 

submissions (audio, video, etc.) must be 

accompanied by a written comment. 

The written comment is considered the 

official comment and should include 

discussion of all points you wish to 

make. The EPA will generally not 

consider comments or comment 

contents located outside of the primary 

submission (i.e. on the web, cloud, or 

other file sharing system). For 

additional submission methods, please 

contact Jeff Riley, (214) 665–8542, 

Riley.Jeffrey@epa.gov. For the full EPA 

public comment policy, information 

about CBI or multimedia submissions, 

and general guidance on making 

effective comments, please visit https:// 

www.epa.gov/dockets/commenting-epadockets. 

Docket: The index to the docket for 

this action is available electronically at 

www.regulations.gov and in hard copy 

at EPA Region 6, 1445 Ross Avenue, 

Suite 700, Dallas, Texas. While all 

documents in the docket are listed in 

the index, some information may be 

publicly available only at the hard copy 

location (e.g., copyrighted material), and 

some may not be publicly available at 

either location (e.g., CBI). 

FOR FURTHER INFORMATION CONTACT: Jeff 

Riley, (214) 665–8542, Riley.Jeffrey@

epa.gov. To inspect the hard copy 

materials, please schedule an 

appointment with Jeff Riley or Mr. Bill 

Deese at (214) 665–7253. 

SUPPLEMENTARY INFORMATION: 

Throughout this document ‘‘we,’’ ‘‘us,’’ 

and ‘‘our’’ means the EPA. 

I. Background 

A. CAA and SIPs 

Section 110 of the CAA requires states 

to develop and submit to the EPA a SIP 

to ensure that state air quality meets 

National Ambient Air Quality 

Standards. These ambient standards 

currently address six criteria pollutants: 

carbon monoxide, nitrogen dioxide, 

ozone, lead, particulate matter, and 

sulfur dioxide. Each federally-approved 

SIP protects air quality primarily by 

addressing air pollution at its point of 

origin through air pollution regulations 

and control strategies. The EPA 

approved SIP regulations and control 

strategies are federally enforceable. 

B. New Mexico’s Submittals 

On August 6, 2015, the New Mexico 

Environment Department (NMED) 

provided a demonstration of how the 

existing New Mexico SIP met the 

applicable section 110(a)(2) 

requirements for the revised primary 

annual fine particulate matter (PM2.5) 

National Ambient Air Quality Standard 

(NAAQS) promulgated on December 14, 

2012 (78 FR 3085, January 15,2013). 

Additionally, NMED provided updates 

to statutes originally approved into the 

SIP on November 2, 1984 (49 FR 44099). 

Sections 110(a)(2)(E)(ii) and 128 of the 

CAA require SIPs to contain statutory or 

regulatory provisions that: (1) Any 

board or body which approves permits 

or enforcement orders under the CAA 

have at least a majority of its members 

represent the public interest and not 

derive any significant portion of their 

income from persons subject to permits 

or enforcement orders under the CAA; 

and (2) any potential conflict of interest 

by members of such board or body or 

the head of an executive agency with 

similar powers be adequately disclosed. 

EPA approved updates to statutes under 

New Mexico Statutes Annotated 1978 

(NMSA) Chapter 10, Article 16 and 

NMSA 1978 Chapter 74, Articles 1 & 2 

to satisfy the CAA sections 

110(a)(2)(E)(ii) and 128 requirements. 

However, the August 6, 2015 State 

submittal included other updated 

statutes under NMSA 1978 Chapter 9, 

Article 7A and NMSA 1978 Chapter 74, 

Articles 1 & 2 that EPA did not act 

upon. See EPA’s proposal (82 FR 60933, 

December 26, 2017) and final approval 

(83 FR 12493, March 22, 2018) for 

further detail. 

C. Error Corrections Under CAA Section 

110(k)(6) 

Section 110(k)(6) of the CAA provides 

EPA with the authority to make 

corrections to prior SIP actions that are 

subsequently found to be in error in the 

same manner as the prior action, and to 

do so without requiring any further 

submission from the State. On March 6, 

2013, the Eleventh Circuit Court of 

Appeals issued a 2–1 decision relevant 

to EPA authority under Section 

110(k)(6). See Alabama Environmental 

Council v. EPA, 711 F.3d 1277 (11th Cir. 

2013). The majority opinion found that 

CAA section 110(k)(6) permits EPA to 

revise a SIP provision approved ‘‘in 

error’’ without any further submission 

from the State, so long as EPA provides 

the State and the public with its error 

determination and the basis thereof. 

This affirms EPA’s authority to use 


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