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APPENDIX C-STATEMENT OF EMPLOYMENT AND Office of the Secretary of the Treasury FINANCIAL INTERESTS FOR SPECIAL GOVERN

(including the Offices of the Under SecMENT EMPLOYEES

retaries, the General Counsel, the AsNote: Appendix C filed as part of the origi- sistant Secretaries, the Special Assistant nal document (April 16, 1966).

to the Secretary (for Enforcement), the

Fiscal Assistant Secretary, and the AsPART 1-DISCLOSURE OF RECORDS sistant Secretary for Administration),

the Bureau of Engraving and Printing, Sec. 1.1 Purpose of regulations.

the U.S. Savings Bonds Division, and the 1.2 Scope of regulations.

U.S. Secret Service. 1.3 Definitions.

§ 1.3 Definitions. 1.4 Records made available. 1.5 Records exempt from disclosure.

As used in this part the following defi1.6 Fees for services.

nitions shall apply: 1.7 Appeal.

(a) An “opinion” is a statement of 1.8 Records not to be otherwise withdrawn

reasons accompanying an “order.” or disclosed.

(b) An "order" is a final disposition 1.9 Oral information. 1.10 Testimony or the production of rec

having precedential significance of an cords in a court or other proceeding. adjudicative proceeding. 1.11 Regulations not applicable to oficial (c) "Statements of policy and interrequests.

pretations" are statements and interAUTHORITY: The provisions of this part

pretations of limited rather than general 1 issued under 5 U.S.C. 301, 552.

applicability adopted by the Department

upon which the Department may rely as SOURCE: The provisions of this Part 1 appear at 32 F.R. 9562, July 1, 1967; 32 F.R.

governing policy or precedents. They do 10059, July 8, 1967, unless otherwise noted.

not include advisory interpretations on a

specific set of facts addressed to a parNOTE: Former 88 1.10 and 1.11 redesig

ticular person which are not relied on, nated as $ $ 256.1 and 256.2 of Chapter II of this title, 32 F.R. 9562, July 1, 1967.

used or cited as precedent in the dis

position of other cases. § 1.1 Purpose of regulations.

(d) “Administrative staff manuals The regulations in this part are issued and instructions to staff" are internal to implement the public information instructions that affect a member of the provisions of Public Law 89-487, codified public, but they do not include instrucby Public Law 90-23 as 5 U.S.C. 552. The tions which set forth criteria or guidepublication requirements of 5 U.S.C. lines for the staff in auditing, or in552(a)(1) are met through the publica- spection procedures, or in the selection tion in the FEDERAL REGISTER of state. or handling of cases, such as operational ments of agency organization, functions tactics, allowable tolerances or criteria and procedures available of the Office for defense, prosecution or settlement of the Secretary and of other offices and of cases. bureaus of the Department, and revisions (e) The term "records" includes all thereof, and through the continuing pub- books, papers, maps, photograph, or lication therein of substantive and pro

other documentary materials, regardless cedural regulations of the Department. of physical form or characteristics, A current synopsis of the statements of made or received by the Treasury Deagency organization, functions and pro- partment in pursuance of Federal law cedures available will be published an

or in connection with the transaction of nually by the Office of the Federal Reg

public business, and preserved or apister in the U.S. Government Organiza

propriate for preservation by the Detion Manual.

partment as evidence of the organiza

tion, functions, policies, decisions, pro$1,2 Scope of regulations.

cedures, operations, or other activities of The regulations in this part apply to the Government or because of informathe disclosure of records of the Treasury tional value of data contained therein. Department which are not covered by Extra copies of documents preserved regulations issued under 5 U.S.C. 552 by only for convenience of reference are the bureau or office of the Department not records. The term "records” refers to which the records belong. Specifically, only to records in being and in the but without limitation, the regulations possession or under the control of an in this part apply to the records of the office or bureau covered by the regula

25 66-069472

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tions in this part. It does not include 1967, are shelved and indexed and are the compiling or procuring of a record available in the designated public readnot already in existence. Nor does it in- ing room to the extent feasible. If not clude objects or articles such as struc- so shelved and indexed, they may be retures, vehicles, equipment, etc.

quested as identifiable records and (f) The term “identifiable" means a shall be subject to the same fees as for reasonably specific description of th identifiable re rds. particular record sought which will (2) Identifiable records covered by enable a Treasury employee to locate paragraph (a) (4) of this section will the requested record. The burden of be made available upon request in identification rests with the person seek- writing to the Assistant Secretary for Ading the record.

ministration or to the head of the ap(g) The term "available” means pro- propriate bureau or office. A person apvided for inspection, copying, and pearing in the public reading room to purchase of copies.

request an identifiable record may comRecords made available.

plete a request for record form, to be 8 1.4

sent to the appropriate bureau or oiice, (a) Records covered. Within the or he may be directed to the appropriate meaning of the foregoing definitions, the bureau or office. Time will be required following records of the Treasury De- to obtain a record not at hand. The partment covered by the regulations in

person requesting a record will be inthis part, unless determined to be exempt formed as promptly as possible of the from disclosure under the provisions of time required to obtain it and the ap5 U.S.C. 552 and the regulations in this proximate cost of making the record part, will be made available, upon re- available. The person requesting the quest, in accordance with the procedures record will be required to make arrangeprovided in the regulations in this part: ments for payment of the estimated (1) Opinions and orders, (2) statements cost prior to the search for the record. of policy and interpretations, (3) ad- (d) Provision of copies. Copies of recministrative staff manuals and instruc- ords made available in the public readtions to staff, and (4) identifiable ing room under paragraph (c) of this secrecords.

tion may be made in that room througb (b) Determination of availability. The photocopy or similar process on paydetermination of which records are ment of the fees therefor set forth in available under this section will be made $ 1.6. Copies made available by mail in by the head of the bureau or office, or response to written request therefor, or his delegate, to which the record be- to a requester appearing personally, will longs, subject to the appeal provided in be subject to the same charge. § 1.7. If a record is of concern to another (e) Deletion of identifying details. Federal agency or body whose interest Before any records are made available in the record is paramount, the request under paragraph (a) (1), (2), or (3) of shall be referred to that other agency this section any identifying details the or body for determination; the person disclosure of which would be a clearly requesting the record shall be advised unwarranted invasion of personal priof the referral, and the record shall be vacy will be deleted by the appropriate made available or not in accordance with official and justification therefor will be that determination.

made in writing. (c) Means of access. (1) The matters (f) Deletion of matters exempt. To covered by paragraph (a) (1), (2), and the extent that a bureau or office of the (3) of this section, which are issued, Department may find it feasible and conadopted, or promulgated on or after July

sistent with the purposes of 5 U.S.C. 4, 1967, will be made available during

552, records that would be made availoffice hours in the public reading room of

able under paragraph (a) (1), (2), or the Treasury Department, 15th Street

(3) of this section, if not for the appliand Pennsylvania Avenue NW., Wash

cation of $ 1.5, nevertheless may be made ington D.C. 20220, or in such other read

available after deletion of those matters ing room as the Assistant Secretary for outlined in § 1.5 that the bureau or ofAdministration or the head of the ap

fice determines need be held exempt. propriate bureau or office, or his delegate, (g) Indexes. Indexes will be periodimay designate. Such matters issued, cally prepared and made available in the adopted or promulgated prior to July 4, public reading room and such other

places as the Secretary of the Treasury (4) Trade secrets and commercial or or his delegate may designate, with re- financial information obtained from a spect to the records having precedential person and privileged or confidential. significance to be made available under This exemption protects records which paragraph (a) (1), (2), and (3) of this would not customarily be made public by section, relating to matters which are is- the person from whom it was obtained sued, adopted or promulgated on or by the Department. It includes, but is after July 4, 1967.

not limited to, business sales statistics, (h) Submissions in response to notice inventories, customer lists, scientific or of proposed rulemaking. Comments sub- manufacturing processes or developmitted in response to public notice of ments; information customarily subject proposed rulemaking are classed as to protection as privileged in a court or identifiable records for purposes of this other proceeding, such as information part. Unless the person making the sub- protected by the doctor-patient, lawyermission states that the submission con- client, or lender-borrower privilege; intains privileged or confidential formation submitted by any person to information, and unless an official of the Department in confidence or where the office or bureau authorized to issue the Department has obligated itself not the rule under consideration determines to disclose information it received; that the submission in whole or in part formulae, designs, drawings, research is entitled to exemption from disclosure data and other records developed by ar in accordance with section 1.5 of these for the Government which are signifiregulations, the submission, or the non- cant as items of valuable property; confidential portion thereof, shall be (5) Interagency or intraagency memmade available to the public upon re- orandums or letters which would not be quest therefor. Each notice of proposed available by law to a party (other than rulemaking shall contain a statement an agency) in litigation with the agency, advising the public of this regulation. such as, internal draft, Memoranda be[32 F.R. 9562, July 1, 1967, as amended at tween officials or agencies, opinions an 36 F.R. 13835, July 27, 1971]

interpretations prepared by Government § 1.5 Records exempt from disclosure.

employees for the use of the Depart

ment, and records of the deliberations of (a) As determined by the head of the

the Department or staff groups which bureau or office of the Department to would not routinely be disclosed to a priwhich the record belongs, or his dele- vate party through the discovery process gate, subject to the appeal provided in

in litigation with the Department. This § 1.7, the following classes of records

exemption is also designed to protect covered by the regulations in this part from premature disclosure Government are exempt from disclosure:

plans, such as those undergoing develop(1) Matters that are specifically re- ment and those final plans which cannot quired by Executive order to be kept be made available in advance of their secret in the interest of the national effectuation without harm to the authordefense or foreign policy, including ized and appropriate purpose for which specifically Executive Order 10501, as they are being used; amended;

(6) Personnel and medical files and (2) Matters related solely to the in- similar files the disclosure of which ternal personnel rules and practices of would constitute a clearly unwarranted an agency, including instructions, man- invasion of personal privacy. In addition uals, and other records, or parts thereof, to exempting all personnel and medical which set forth operating rules, guide- files, this exemption protects all private lines, procedures or other criteria for or personal information contained in Treasury employees in audits, examina- other files, which, if disclosed to the pubtions, inspections, investigations, and lic, would amount to a clearly unwarnegotiations, or in the selection or han- ranted invasion of the privacy of any perdling of cases, such as operational tac- son, including a Government employee; tics, allowable tolerances or criteria for (7) Investigatory files compiled for defense, prosecution, or settlement of law enforcement purposes except to the cases;

extent available by law to a party other (3) Matters specifically exempted than an agency. This exemption protects from disclosure by statute; see, for ex- from disclosure, except to litigants in acample, 18 U.S.C. 1905 and 26 U.S.C. cordance with law, investigatory files 6103 and 7213;

compiled to enforce all kinds of laws and

is not limited to files compiled to enforce criminal statutes;

(8) Matters contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions, and

(9) Geological and geophysical information and data, including maps, concerning wells.

(b) A record which may be classified as exempt pursuant to paragraph (a) of this section nevertheless may be made available, in whole or in part, if it is determined in a particular case that there is no need to rely on the exemption. 8 1.6 Fees for services.

Fees for services performed by the Treasury Department will be imposed and collected as set forth in this section.

(a) As to all records made available pursuant to g 1.4(a), the following fees will be imposed and collected:

(1) For furnishing facsimile copies of records by photocopy or similar process:

Each page

(one side) Size

cents, each Up to 81/2" X 14"-

10 (2) For certifications and validations of a record, with Treasury seal $2, without Treasury seal $1.

(3) For certifications of any determination concerning records made under this part, with Treasury seal $2, without Treasury seal $1. This fee will not be im. posed or collected for a written determination, not certified, concerning records.

(4) For making available a record by mall an appropriate fee to cover the cost of postage and any packaging or special handling.

(b) (1) As to records requested pursuant to $ 1.4(a) (4), when a search must be performed by an executive, administrative, or professional employee under these regulations, the estimated cost will be collected in advance, as provided in § 1.4(c) (2), and a charge will be imposed based on the time in hours spent by the employee multiplied by the hourly compensation of the employee. If the agency determines that is is necessary to edit records for release in response to a request, the estimated cost will be collected and a charge will be imposed based on the time spent for editing multiplied by the hourly compensation of the employee. In routine cases where searches are per

formed by clerical personnel a fee of $3.50 an hour will be imposed and collected to defray the costs of searching for the requested records and to defray the other direct or indirect costs incurred by the Treasury Department in attempting to make the records available. The fee for clerical work will be computed as follows: (i) A minimum fee of $2 will be charged for searches up to one-half hour; (ii) for searches requiring more than one-half hour and not in excess of 1 hour, the full hourly rate of $3.50 will apply; (iii) for searches in excess of 1 hour, the charge will be made in onequarter hour units at the rate of $1 per one-quarter hour. However, where full hours are required, the hourly rate of $3.50 will apply.

(2) The fee will be imposed and collected if the requested record is made available or after a reasonable search it is determined that the requested identifiable record does not in fact exist and that it never existed. The fee will not be imposed if it is determined that: The requested identifiable record did in fact exist but that after a reasonable search it cannot be located; the record was destroyed pursuant to law; or the record is exempt from disclosure pursuant to $ 1.5 and should not be made available.

(c) Fees for services performed by the Bureau of Engraving and Printing will be imposed and collected as follows, without regard to paragraphs (a) (1) and (b) (1) of this section.

(1) As to all Bureau of Engraving and Printing records made available pursuant to $ 1.4(a) a charge of 25 cents per copy to defray the direct and indirect costs of production will be made for furnishing photographic copies of up to and including 812 inches by 14 inches in size. The price for larger-sized copies will be based on the actual processing cost at the time the work is performed, including labor, material and overhead expense.

(2) As to records requested pursuant to § 1.4(a) (4) a fee of $5.80 an hour, thereafter, at one-fourth that rate for increments of 15 minutes, or any part thereof, will be imposed and collected to defray the costs of searching for the requested records and to defray the other direct and indirect costs incurred by the Bureau of Engraving and Printing in attempting to make the records available.

(d) Should services other than those described in paragraphs (a) and (b) of this section be requested and authorized to be rendered, appropriate fees will be

established by the Director of the Office of record shall not be disclosed if the of Administrative Services or his dele- information involves matters exempt gate pursuant to 5 U.S.C. 140 (1964 ed.) from disclosure under 5 U.S.C. 552 or and such fees shall be imposed and the regulations in this part, or if the collected.

disclosure of such information would (e) No charge will be made for sery- give the person requesting the informaices performed at the request of other tion advantages not accorded to other governmental agencies or officers thereof citizens; 31 CFR 0.735–47. acting in their official capacities.

§ 1.10 Testimony or the production of (32 F.R. 9562, July 1, 1967, as amended at

records in a court or other proceeding. 32 F.R. 17519, Dec. 7, 1967; 35 F.R. 19017, Dec, 16, 1970]

(a) Treasury Department officers and $ 1.7 Appeal.

employees are prohibited from testifying

or otherwise furnishing information ob(a) Any person denied access to rec- tained as a result of their official capaciords requested under $ 1.4 may, within ties or in connection with the transaction 30 days after notification of such denial, of public business, in compliance with file an appeal to the Under Secretary, a subpoena or other order or demand General Counsel, or Assistant Secretary of any court or other authority without who has supervision of the bureau or the prior approval of an officer authoroffice to which the record belongs, as set ized to determine the availability of recforth in Treasury Department Order No. ords under these regulations. 190 (revision 4), published 30 F.R. 15769, (b) Treasury Department officers and December 21, 1965, or such subsequent

employees are prohibited from furnishrevision of that order as may hereinafter ing and record in compliance with be published. Such an appeal shall be in subpoenas duces tecum or other order writing addressed to the appropriate or demand of any court or other auofficial, Treasury Department, Washing- thority, without the prior approval of an ton, D.C. 20220. The appeal shall provide officer authorized to determine the the name and address of the appellant, availability of records under the reguthe identification of the record denied, lations in this part. and the dates of the original request and (c) In court cases in which the United its denial.

States or the Treasury Department is (b) The appeal will be promptly con

not a party, where the giving of testisidered. The granting or denial of the

mony is desired, an affidavit by the request upon appeal shall constitute

litigant or his attorney, setting forth the final agency action.

information with respect to which the $ 1.8

Records not to be otherwise with- testimony of such oficer or employee is drawn or disclosed.

desired, must be submitted before perExcept in accordance with this part,

mission to testify will be granted. Peror as otherwise authorized, Treasury De

mission to testify will, in all cases, be partment officers and employees are pro

limited to the information set forth in hibited from making available to any

the affidavit or to such portions thereof person, not an officer or employee of the as may be deemed proper. Department, and are prohibited from (d) Where approval to testify or to withdrawing from the files, possession

furnish records in compliance with a or control of the Department, records subpoena, order or demand is not given or duplicates thereof.

the person to whom it is directed shall, Oral information.

possible, appear in court or before

the other authority and respectfully (a) Officers and employees of the De

state his inability to comply in full with partment may, in response to requests, the subpoena, order or demand, relying provide orally information contained in

for his action upon this section. records of the Department which are determined to be available to the public.

§ 1.11 Regulations not applicable to of. If the obtaining of such information re

ficial requests. quires search of the records, a written The regulations in this part shall not request and the payment of the fee for be applicable to official requests of other record search set forth in § 1.6 will be governmental agencies or officers thereof required.

acting in their official capacities, unless (b) Information with respect to ac- it appears that granting a particular tivities of the Department not a matter request would be in violation of law or

§ 1.9

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