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APPENDIX C-STATEMENT OF EMPLOYMENT AND

FINANCIAL INTERESTS FOR SPECIAL GOVERNMENT EMPLOYEES

NOTE: Appendix C hled as part of the original document (April 16, 1966).

1.6 1.7

PART 1-DISCLOSURE OF RECORDS Sec. 1.1 Purpose of regulations. 1.2 Scope of regulations. 1.3 Definitions. 1.4 Records made available. 1.5 Records exempt from disclosure.

Fees for services.

Appeal. 1.8 Records not to be otherwise withdrawn

or disclosed. 1.9 Oral information. 1.10 Testimony or the production of rec

cords in a court or other proceeding. 1.11 Regulations not applicable to official

requests. AUTHORITY: The provisions of this Part 1 Issued under 5 U.S.C. 301, 552.

SOURCE: The provisions of this Part 1 appear at 32 F.R. 9562, July 1, 1967; 32 F.R. 10059, July 8, 1967, unless otherwise noted.

NOTE: Former $81.10 and 1.11 redesignated as $$ 256.1 and 256.2 of Chapter II of this title, 32 F.R. 9562, July 1, 1967. § 1.1 Purpose of regulations.

The regulations in this part are issued to implement the public information provisions of Public Law 89_487, codified by Public Law 90-23 as 5 U.S.C. 552. The publication requirements of 5

rements of 5 U.S.C.

U.S.C. 552(a) (1) are met through the publication in the FEDERAL REGISTER of statements of agency organization, functions and procedures available of the Office of the Secretary and of other offices and bureaus of the Department, and revisions thereof, and through the continuing publication therein of substantive and procedural regulations of the Department. A current synopsis of the statements of agency organization, functions and procedures available will be published annually by the Office of the Federal Register in the U.S. Government Organization Manual. § 1.2 Scope of regulations.

The regulations in this part apply to the disclosure of records of the Treasury Department which are not covered by regulations issued under 5 U.S.C. 552 by the bureau or office of the Department to which the records belong. Specifically, but without limitation, the regulations in this part apply to the records of the

Office of the Secretary of the Treasury (including the Offices of the Under Secretaries, the General Counsel, the Assistant Secretaries, the Special Assistant to the Secretary (for Enforcement), the Fiscal Assistant Secretary, and the Assistant Secretary for Administration), the Bureau of Engraving and Printing, the U.S. Savings Bonds Division, and the U.S. Secret Service. § 1.3 Definitions.

As used in this part the following definitions shall apply:

(a) An “opinion” is a statement of reasons accompanying an "order."

(b) An "order" is a final disposition having precedential significance of an adjudicative proceeding.

(c) “Statements of policy and interpretations" are statements and interpretations of limited rather than general applicability adopted by the Department upon which the Department may rely as governing policy or precedents. They do not include advisory interpretations on a specific set of facts addressed to a particular person which are not relied on, used or cited as precedent in the disposition of other cases.

(d) “Administrative staff manuals and instructions to staff" are internal instructions that affect a member of the public, but they do not include instructions which set forth criteria or guidelines for the staff in auditing, or inspection procedures, or in the selection or handling of cases, such as operational tactics, allowable tolerances or criteria for defense, prosecution or settlement of cases.

(e) The term "records” includes all books, papers, maps, photograph, or other documentary materials, regardless of physical form or characteristics, made or received by the Treasury Department in pursuance of Federal law or in connection with the transaction of public business, and preserved or appropriate for preservation by the Department as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of informational value of data contained therein. Extra copies of documents preserved only for convenience of reference are not records. The term "records” refers only to records in being and in the possession or under the control of an office or bureau covered by the regula

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tions in this part. It does not include the compiling or procuring of a record not already in existence. Nor does it include objects or articles such as structures, vehicles, equipment, etc.

(f) The term "identifiable" means a reasonably specific description of the particular record sought which will enable a Treasury employee to locate the requested record. The burden of identification rests with the person seeking the record.

(g) The term "available" means provided for inspection, copying, and purchase of copies. $ 1.4 Records made available.

(a) Records covered. Within the meaning of the foregoing definitions, the following records of the Treasury Department covered by the regulations in this part, unless determined to be exempt from disclosure under the provisions of 5 U.S.C. 552 and the regulations in this part, will be made available, upon request, in accordance with the procedures provided in the regulations in this part: (1) Opinions and orders, (2) statements of policy and interpretations, (3) administrative staff manuals and instructions to staff, and (4) identifiable records.

(b) Determination of availability. The determination of which records are available under this section will be made by the head of the bureau or office, or his delegate, to which the record belongs, subject to the appeal provided in $ 1.7. If a record is of concern to another Federal agency or body whose interest in the record is paramount, the request shall be referred to that other agency or body for determination; the person requesting the record shall be advised of the referral, and the record shall be made available or not in accordance with that determination.

(c) Means of access. (1) The matters covered by paragraph (a) (1), (2), and (3) of this section, which are issued, adopted, or promulgated on or after July 4, 1967, will be made available during office hours in the public reading room of the Treasury Department, 15th Street and Pennsylvania Avenue NW., Washington D.C. 20220, or in such other reading room as the Assistant Secretary for Administration or the head of the appropriate bureau or office, or his delegate, may designate. Such matters issued, adopted or promulgated prior to July 4,

1967, are shelved and indexed and are available in the designated public reading room to the extent feasible. If not so shelved and indexed, they may be requested as identifiable records and shall be subject to the same fees as for identifiable records.

(2) Identifiable records covered by paragraph (a) (4) of this section will be made available upon request in writing to the Assistant Secretary for Administration or to the head of the appropriate bureau or office. A person appearing in the public reading room to request an identifiable record may complete a request for record form, to be sent to the appropriate bureau or office, or he may be directed to the appropriate bureau or office. Time will be required to obtain a record not at hand. The person requesting a record will be informed as promptly as possible of the time required to obtain it and the approximate cost of making the record available. The person requesting the record will be required to make arrangements for payment of the estimated cost prior to the search for the record.

(d) Provision of copies. Copies of records made available in the public reading room under paragraph (c) of this section may be made in that room througb photocopy or similar process on payment of the fees therefor set forth in $ 1.6. Copies made available by mail in response to written request therefor, or to a requester appearing personally, will be subject to the same charge.

(e) Deletion of identifying details. Before any records are made available under paragraph (a) (1), (2), or (3) of this section any identifying details the disclosure of which would be a clearly unwarranted invasion of personal privacy will be deleted by the appropriate official and justification therefor will be made in writing.

(f) Deletion of matters exempt. To the extent that a bureau or office of the Department may find it feasible and consistent with the purposes of 5 U.S.C. 552, records that would be made available under paragraph (a) (1), (2), or (3) of this section, if not for the application of 1.5, nevertheless may be made available after deletion of those matters outlined in $ 1.5 that the bureau or office determines need be held exempt.

(g) Indexes. Indexes will be periodically prepared and made available in the public reading room and such other places as the Secretary of the Treasury or his delegate may designate, with respect to the records having precedential significance to be made available under paragraph (a) (1), (2), and (3) of this section, relating to matters which are issued, adopted or promulgated on or after July 4, 1967.

(h) Submissions in response to notice of proposed rulemaking. Comments submitted in response to public notice of proposed rulemaking are classed as identifiable records for purposes of this part. Unless the person making the submission states that the submission contains privileged or confidential information, and unless an official of the office or bureau authorized to issue the rule under consideration determines that the submission in whole or in part is entitled to exemption from disclosure in accordance with section 1.5 of these regulations, the submission, or the nonconfidential portion thereof, shall be made available to the public upon request therefor. Each notice of proposed rulemaking shall contain a statement advising the public of this regulation. [32 F.R. 9562, July 1, 1967, as amended at 36 F.R. 13835, July 27, 1971] § 1.5 Records exempt from disclosure.

(a) As determined by the head of the bureau or office of the Department to which the record belongs, or his delegate, subject to the appeal provided in $ 1.7, the following classes of records covered by the regulations in this part are exempt from disclosure:

(1) Matters that are specifically required by Executive order to be kept secret in the interest of the national defense or foreign policy, including specifically Executive Order 10501, as amended;

(2) Matters related solely to the internal personnel rules and practices of an agency, including instructions, manuals, and other records, or parts thereof, which set forth operating rules, guidelines, procedures or other criteria for Treasury employees in audits, examinations, inspections, investigations, and negotiations, or in the selection or handling of cases, such as operational tactics, allowable tolerances or criteria for defense, prosecution, or settlement of cases;

(3) Matters specifically exempted from disclosure by statute; see, for example, 18 U.S.C. 1905 and 26 U.S.C. 6103 and 7213;

(4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential. This exemption protects records which would not customarily be made public by the person from whom it was obtained by the Department. It includes, but is not limited to, business sales statistics, inventories, customer lists, scientific or manufacturing processes or developments; information customarily subject to protection as privileged in a court or other proceeding, such as information protected by the doctor-patient, lawyerclient, or lender-borrower privilege; information submitted by any person to the Department in confidence or where the Department has obligated itself not to disclose information it received; formulae, designs, drawings, research data and other records developed by ar for the Government which are significant as items of valuable property;

(5) Interagency or intraagency memorandums or letters which would not be available by law to a party (other than an agency) in litigation with the agency, such as, internal draft, Memoranda between officials or agencies, opinions an interpretations prepared by Government employees for the use of the Department, and records of the deliberations of the Department or staff groups which would not routinely be disclosed to a private party through the discovery process in litigation with the Department. This exemption is also designed to protect from premature disclosure Government plans, such as those undergoing development and those final plans which cannot be made available in advance of their effectuation without harm to the authorized and appropriate purpose for which they are being used;

(6) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy. In addition to exempting all personnel and medical files, this exemption protects all private or personal information contained in other files, which, if disclosed to the public, would amount to a clearly unwarranted invasion of the privacy of any person, including a Government employee;

(7) Investigatory files compiled for law enforcement purposes except to the extent available by law to a party other than an agency. This exemption protects from disclosure, except to litigants in accordance with law, investigatory files compiled to enforce all kinds of laws and

is not limited to files compiled to enforce formed by clerical personnel a fee of criminal statutes;

$3.50 an hour will be imposed and col(8) Matters contained in or related to lected to defray the costs of searching examination, operating, or condition re for the requested records and to defray ports prepared by, on behalf of, or for the the other direct or indirect costs incurred use of an agency responsible for the reg by the Treasury Department in attemptulation or supervision of financial insti- ing to make the records available. The tutions, and

fee for clerical work will be computed as (9) Geological and geophysical infor follows: (1) A minimum fee of $2 will be mation and data, including maps, con charged for searches up to one-half cerning wells.

hour; (ii) for searches requiring more (b) A record which may be classified than one-half hour and not in excess of as exempt pursuant to paragraph (a) of 1 hour, the full hourly rate of $3.50 will this section nevertheless may be made apply; (iii) for searches in excess of 1 available, in whole or in part, if it is hour, the charge will be made in onedetermined in a particular case that quarter hour units at the rate of $1 per there is no need to rely on the exemption. one-quarter hour. However, where full $ 1.6 Fees for services.

hours are required, the hourly rate of

$3.50 will apply. Fees for services performed by the (2) The fee will be imposed and colTreasury Department will be imposed lected if the requested record is made and collected as set forth in this section. available or after a reasonable search it

(a) As to all records made available is determined that the requested identipursuant to 8 1.4(a), the following fees fiable record does not in fact exist and will be imposed and collected:

that it never existed. The fee will not be (1) For furnishing facsimile copies of imposed if it is determined that: The rerecords by photocopy or similar process: quested identifiable record did in fact

Each page exist but that after a reasonable search

(one side) it cannot be located; the record was deSize

cents, each stroyed pursuant to law; or the record is Up to 842" X 14"--

-------- 10

exempt from disclosure pursuant to (2) For certifications and validations

$ 1.5 and should not be made available. of a record, with Treasury seal $2, with

(c) Fees for services performed by the out Treasury seal $1.

Bureau of Engraving and Printing will (3) For certifications of any deter

be imposed and collected as follows, mination concerning records made under

without regard to paragraphs (a) (1) this part, with Treasury seal $2, without

and (b) (1) of this section. Treasury seal $1. This fee will not be im.

(1) As to all Bureau of Engraving and posed or collected for a written de

Printing records made available pursuant termination, not certified, concerning

to 8 1.4(a) a charge of 25 cents per copy records.

to defray the direct and indirect costs of (4) For making available a record by

production will be made for furnishing mail an appropriate fee to cover the cost photographic copies of up to and includof postage and any packaging or special

ing 812 inches by 14 inches in size. The handling.

price for larger-sized copies will be based (b) (1) As to records requested pur on the actual processing cost at the time suant to $ 1.4(a) (4), when a search must

the work is performed, including labor, be performed by an executive, adminis

material and overhead expense. trative, or professional employee under (2) As to records requested pursuant these regulations, the estimated cost will to $ 1.4(a) (4) a fee of $5.80 an hour, be collected in advance, as provided in thereafter, at one-fourth that rate for $ 1.4(c) (2), and a charge will be imposed increments of 15 minutes, or any part based on the time in hours spent by the thereof, will be imposed and collected to employee multiplied by the hourly com defray the costs of searching for the repensation of the employee. If the agency quested records and to defray the other determines that is is necessary to edit direct and indirect costs incurred by the records for release in response to a re Bureau of Engraving and Printing in atquest, the estimated cost will be collected tempting to make the records available. and a charge will be imposed based on the (d) Should services other than those time spent for editing multiplied by the described in paragraphs (a) and (b) of hourly compensation of the employee. In this section be requested and authorized routine cases where searches are per- to be rendered, appropriate fees will be

established by the Director of the Office of Administrative Services or his delegate pursuant to 5 U.S.C. 140 (1964 ed.) and such fees shall be imposed and collected.

(e) No charge will be made for seryices performed at the request of other governmental agencies or officers thereof acting in their official capacities. [32 F.R. 9562, July 1, 1967, as amended at 32 F.R. 17519, Dec. 7, 1967; 35 F.R. 19017, Dec. 16, 1970) § 1.7 Appeal.

(a) Any person denied access to records requested under $ 1.4 may, within 30 days after notification of such denial, file an appeal to the Under Secretary, General Counsel, or Assistant Secretary who has supervision of the bureau or office to which the record belongs, as set forth in Treasury Department Order No. 190 (revision 4), published 30 F.R. 15769, December 21, 1965, or such subsequent revision of that order as may hereinafter be published. Such an appeal shall be in writing addressed to the appropriate official, Treasury Department, Washington, D.C. 20220. The appeal shall provide the name and address of the appellant, the identification of the record denied, and the dates of the original request and its denial.

(b) The appeal will be promptly considered. The granting or denial of the request upon appeal shall constitute final agency action. $ 1.8 Records not to be otherwise with

drawn or disclosed. Except in accordance with this part, or as otherwise authorized, Treasury Department officers and employees are prohibited from making available to any person, not an officer or employee of the Department, and are prohibited from withdrawing from the files, possession or control of the Department, records or duplicates thereof. § 1.9 Oral information.

(a) Officers and employees of the Department may, in response to requests, provide orally information contained in records of the Department which are determined to be available to the public. If the obtaining of such information requires search of the records, a written request and the payment of the fee for record search set forth in § 1.6 will be required.

(b) Information with respect to activities of the Department not a matter

of record shall not be disclosed if the information involves matters exempt from disclosure under 5 U.S.C. 552 or the regulations in this part, or if the disclosure of such information would give the person requesting the information advantages not accorded to other citizens; 31 CFR 0.735–47. § 1.10 Testimony or the production of

records in a court or other proceeding. (a) Treasury Department officers and employees are prohibited from testifying or otherwise furnishing information obtained as a result of their official capacities or in connection with the transaction of public business, in compliance with a subpoena or other order or demand of any court or other authority without the prior approval of an officer authorized to determine the availability of records under these regulations.

(b) Treasury Department officers and employees are prohibited from furnishing and record in compliance with subpoenas duces tecum or other order or demand of any court or other authority, without the prior approval of an officer authorized to determine the availability of records under the regulations in this part.

(c) In court cases in which the United States or the Treasury Department is not a party, where the giving of testimony is desired, an affidavit by the litigant or his attorney, setting forth the information with respect to which the testimony of such officer or employee is desired, must be submitted before permission to testify will be granted. Permission to testify will, in all cases, be limited to the information set forth in the affidavit or to such portions thereof as may be deemed proper.

(d) Where approval to testify or to furnish records in compliance with a subpoena, order or demand is not given the person to whom it is directed shall, if possible, appear in court or before the other authority and respectfully state his inability to comply in full with the subpoena, order or demand, relying for his action upon this section. 1.11 Regulations not applicable to of

ficial requests. The regulations in this part shall not be applicable to official requests of other governmental agencies or officers thereof acting in their official capacities, unless it appears that granting a particular request would be in violation of law or

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