to be transferred in a form that is not individually identifiable; (vi) To the National Archives of the United States as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Administrator of General Services or his designee to determine whether the record has such value; (vii) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the agency which maintains the record specifying the particular portion desired and the law enforcement activity for which the record is sought; (viii) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual; (ix) To either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee; (x) To the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the General Accounting Office; or (xi) Pursuant to the order of a court of competent jurisdiction. (b) The situations referred to in paragraph (a)(4) of this section include the following: (1) 5 U.S.C. 552a(c)(4) requires dissemination of a corrected or amended record or notation of a disagreement statement by the Department in certain circumstances; (2) 5 U.S.C. 552a(d) requires disclosure of records to the individual to whom they pertain, upon request; (3) 5 U.S.C. 552a(g) authorizes civil action by an individual and requires disclosure by the Department to the court; (4) Section 5(e)(2) of the Act authorizes release of any records or informa tion by the Department to the Privacy Protection Study Commission upon request of the Chairman; and (5) Section 6 of the Act authorizes the Office of Management and Budget to provide the Department with continuing oversight and assistance in implementation of the Act. (c) The Privacy Officer shall make an accounting of each disclosure by him of any record contained in a system of records in accordance with 5 U.S.C. 552a(c) (1) and (2). Except for a disclosure made under 5 U.S.C. 552a(b)(7), the Privacy Officer shall make such accounting available to any individual, insofar as it pertains to that individual, on request submitted in accordance with §4b.4. The Privacy Officer shall make reasonable efforts to notify any individual when any record in a system of records is disclosed to any person under compulsory legal process, promptly upon being informed that such process has become a matter of public record. §4b.11 Fees. (a) The only fees to be charged to or collected from an individual under the provisions of this part are for copying records at the request of the individual. (1) No fees shall be charged or collected for the following: Search for and retrieval of the records; review of the records; copying at the initiative of the Department without a request from the individual; transportation of records and personnel; and first-class postage. (2) It is the policy of the Department to provide an individual with one copy of each record corrected or amended pursuant to his or her request without charge as evidence of the correction or amendment. (3) As required by the United States Civil Service Commission in its published regulations implementing the Act, the Department will charge no fee for a single copy of a personnel record covered by that Commission's Government-wide published notice of systems of records. (b) The copying fees prescribed by paragraph (a) of this section are: $0.07 Each copy of each page, up to 81⁄2" x 14", made by photocopy or similar process. $0.25 Each copy of each microform frame printed on paper. $0.25 Each aperture card. $0.25 Each 105-mm fiche. $7.00 Each 100′ roll of 35-mm microfilm. $6.00 Each 100' roll of 16-mm microfilm. $0.20 Each page of computer printout without regard to the number of carbon copies concurrently printed. Other copying forms (e.g., typing or printing) will be charged at direct cost, including personnel and equipment costs. (c) All copying fees shall be paid by the individual before the copying will be undertaken. Payments shall be made in cash or, preferably, by check or money order payable to "U.S. Department of Commerce," and they shall be paid or sent to the office stated in the billing notice, or if none, to the Privacy Officer processing the request. Where appropriate, payment may be required in the form of certified check. (d) A copying fee totaling $1 or less shall be waived, but the copying fees for contemporaneous requests by the same individual shall be aggregated to determine the total fee. A copying fee shall not be charged or collected, or alternatively, it may be reduced, when it is determined by the Privacy Officer, based on a petition therefor, that the petitioning individual is indigent and that Department resources permit a waiver of all or part of the fee. An individual is deemed to be indigent when without income or resources sufficient to pay the fees. (e) Special and additional services provided at the request of the individual, such as certification or authentication, postal insurance and special mailing arrangement costs, will be charged to the individual in accordance with other published regulations of the Department pursuant to statute (for example, 31 U.S.C. 483a). (f) This section applies only to individuals making requests under this part. To the extent an individual makes a request under the Freedom of Information Act, as provided in §4b.1(e) (2), (3) and (5), the fees provisions of this chapter shall apply. All other persons shall remain subject to fees and charges prescribed by other and appropriate authorities. $4b.12 Penalties. (a) The Act provides, in pertinent part: Any person who knowingly and willfully requests or obtains any record concerning an individual from an agency under false pretenses shall be guilty of a misdemeanor and fined not more than $5,000. (5 U.S.C. 552a(i)(3)). (b) A person who falsely or fraudulently attempts to obtain records under the Act also may be subject to prosecution under such other criminal statutes as 18 U.S.C. 494, 495 and 1001. § 4b.13 General exemptions. (a) Individuals may not have access to records maintained by the Department but which were provided by another agency which has determined by regulation that such information is subject to general exemption under 5 U.S.C. 552a(j). If such exempt records are within a request for access, the Department will advise the individual of their existence and of the name and address of the source agency. For any further information concerning the record and the exemption, the individual must contact that source agency. (b) The general exemptions determined to be necessary and proper with respect to systems of records maintained by the Department, including the parts of each system to be exempted, the provisions of the Act from which they are exempted, and the justification for the exemption, are as follows: (1) Individuals identified in Export Administration compliance proceedings or investigations-COMMERCE/ITA-1. Pursuant to 5 U.S.C. 552a(j)(2), these records are hereby determined to be exempt from all provisions of the Act, except 5 U.S.C. 552a (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i). These exemptions are necessary to insure the proper functioning of the law enforcement activity, to protect confidential sources of information, to fulfill promises of confidentiality, to maintain the integrity of the law enforcement process, to avoid premature disclosure of the knowledge of criminal activity and the evidentiary bases of possible enforcement actions, to prevent interference with law enforcement proceedings, to avoid disclosure of investigative techniques, and to avoid the endangering of law enforcement personnel. Section 7(c) of the Export Adminstration Act of 1969, as amended, also protects this information from disclosure. (2) Fisheries Law Enforcement Case Files-COMMERCE/NOAA-11. Pursuant to 5 U.S.C. 552a(j)(2), these records are hereby determined to be exempt from all provisions of the Act, except 5 U.S.C. 552a (b), (c) (1) and (2), (e) (4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i). These exemptions are necessary to insure the proper functioning of the law enforcement activity, to protect confidential sources of information, to fulfill promises of confidentiality, to prevent interference with law enforcement proceedings, to avoid the disclosure of investigative techniques, to avoid the endangering of law enforcement personnel, to avoid premature disclosure of the knowledge of criminal activity and the evidentiary bases of possible enforcement actions, and to maintain the integrity of the law enforcement process. (3) Investigative Records-Contract and Grant Frauds and Employee Criminal Misconduct-COMMERCE/DEPT.-12. Pursuant to 5 U.S.C. 552a(j)(2), these records are hereby determined to be exempt from all provisions of the Act, except 5 U.S.C. 552a (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i). These exemptions are necessary to insure the proper functions of the law enforcement activity, to protect confidential sources of information, to fulfill promises of confidentiality, to prevent interference with law enforcement proceedings, to avoid the disclosure of investigative techniques, to avoid the endangering of law enforcement personnel, to avoid premature disclosure of the knowledge of criminal activity and the evidentiary bases of possible enforcement actions, and to maintain the integrity of the law enforcement process. [40 FR 45621, Oct. 2, 1975; 40 FR 50662, Oct. 30, 1975; 40 FR 51168, Nov. 3, 1975, as amended at 43 FR 43020, Sept. 22, 1978] 9, COMMERCE/DEPT-12, COMMERCE/ DEPT-13, and COMMERCE/DEPT-14. The Department hereby asserts a claim to exemption of such materials wherever they might appear in such systems of records, or any systems of records, at present or in the future. The materials would be exempt from 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f). The reason therefor is to protect the materials required by Executive order to be kept secret in the interest of the national defense and foreign policy. (b) The specific exemptions determined to be necessary and proper with respect to systems of records maintained by the Department, including the parts of each system to be exempted, the provisions of the Act from which they are exempted, and the justification for the exemption, are as follows: (1) Exempt under 5 U.S.C. 552a(k)(1). The systems of records exempt hereunder appear in paragraph (a) of this section. The claims for exemption of COMMERCE/DEPT-12, COMMERCE/ ITA-1, and COMMERCE/NOAA-11 under this paragraph are subject to the condition that the general exemption claimed in §4b.13(b)(3) is held to be invalid. (2) Exempt under 5 U.S.C. 552a(k)(2). The systems of records exempt (some only conditionally), the sections of the Act from which exempted, and the reasons therefor are as follows: (i) Individuals identified in Export Administration compliance proceedings or investigations-COMMERCE/ ITA-1, but only on condition that the general exemption claimed in §4b.13(b)(1) is held to be invalid; (ii) Individuals involved in export transactions-COMMERCE/ITA-2; (iii) Fisheries Law Enforcement Case Files-COMMERCE/NOAA-11, but only on condition that the general exemption claimed in §4b.13(b)(2) is held to be invalid; (iv) Investigative Records Contract and Grant Frauds and Employee Criminal Misconduct-COMMERCE/DEPT12, but only on condition that the general exemption claimed in §4b.13(b)(3) is held to be invalid; (v) Investigative Records-Persons Within the Investigative Jurisdiction of the Department-COMMERCE/ DEPT-13; (vi) Litigation, Claims and Administrative Proceeding Records-COM MERCE/DEPT-14; and (vii) Non-Registered Persons Rendering Assistance to Patent ApplicantsCOMMERCE/PAT-TM-5. The foregoing are exempted from 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). The reasons for asserting the exemption are to prevent subjects of investigation from frustrating the investigatory process, to insure the proper functioning and integrity of law enforcement activities, to prevent disclosure of investigative techniques, to maintain the ability to obtain necessary information, to fulfill commitments made to sources to protect their identities and the confidentiality of information and to avoid endangering these sources and law enforcement personnel. Special note is taken of the fact that the proviso clause in this exemption imports due process and procedural protections for the individual. The existence and general character of the information exempted will be made known to the individual to whom it pertains. (3) Exempt under 5 U.S.C. 552a(k) (4). The systems of records exempt, the sections of the Act from which exempted, and the reasons therefor are as follows: (i) Agricultural Census Records for 1964 (partial), 1969, and 1974-COMMERCE/CENSUS-1; (ii) Individual and Household Statistical Surveys and Special Census Studies Records--COMMERCE/CENSUS-3; (iii) Minority-Owned Business Enterprises Survey Records-COMMERCE/ CENSUS-4; (iv) Population and Housing Census Records for 1960 and 1970-COMMERCE/ CENSUS-5; (v) Population Census Personal Service Records for 1900 and All Subsequent Decennial Censuses-COMMERCE/CENSUS-6; and (vi) Special Censuses of Population Conducted for State and Local Government-COMMERCE/CENSUS-7. The foregoing are exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G) (H), and (I), and (f). The reasons for asserting the exemption are to comply with the prescription of Title 13, United States Code, especially sections 8 and 9 relating to prohibitions against disclosure, and to avoid needless consideration of these records whose sole statistical use comports fully with a basic purpose of the Act, namely, no adverse determinations may be made from these records as to any identifiable individual. (4) Exempt under 5 U.S.C. 552a(k)(5). The systems of records exempt (some only conditionally), the sections of the act from which exempted, and the reasons therefor are as follows: (i) Applications to U.S. Merchant Marine Academy (USMMA)-COMMERCE/ MA-1; (ii) USMMA Midshipman Medical Files-COMMERCE/MA-17; (iii) USMMA Midshipman Personnel Files-COMMERCE/MA-18; (iv) USMMA Non-Appropriated fund Employees-COMMERCE/MA-19; (v) Applicants for the NOAA Corps— COMMERCE/NOAA-4; (vi) Commissioned Officer Official Personnel Folders-COMMERCE/ NOAA-7; (vii) Conflict of Interest Records, Appointed Officials-COMMERCE/DEPT 3; (viii) Investigative Records-Contract and Grant Frauds and Employee Criminal Misconduct-COMMERCE/ DEPT-12, but only on condition that the general exemption claimed in §4b.13(b)(3) is held to be invalid; (ix) Investigative Records-Persons Within the Investigative Jurisdiction of the Department-COMMERCE/ DEPT-13; and (x) Litigation, Claims, and Administrative Proceeding Records-COM MERCE/DEPT-14. The foregoing are exempted from 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f). The reasons for asserting the exemption are to maintain the ability to obtain candid and necessary information, to fulfill commitments made to sources to protect the confidentiality of information, to avoid endangering these sources and, ultimately, to facilitate proper selection or continuance of the best applicants or persons for a given position or contract. Special note is made of the limitation on the extent to which this exemption may be asserted. The existence and general character of the information exempted will be made known to the individual to whom it pertains. (c) At the present time, the Department claims no exemption under 5 U.S.C. 552a(k) (3), (6) and (7). [40 FR 45621, Oct. 2, 1975; 40 FR 50662, Oct. 30, 1975; 40 FR 51168, Nov. 3, 1975, as amended at 43 FR 43021, Sept. 22, 1978] APPENDIX A-OFFICIALS TO RECEIVE INQUIRIES, REQUESTS FOR ACCESS AND REQUESTS FOR CORRECTION OR AMENDMENT-Continued For records in systems of records located in 1International Trade Administration. Minority Business Development Agency. National Institute of Standards & Technoloyy. National Oceanic and Atmospheric Administration. National Telecommunications and Information Administration. National Technical Information Service. Patent and Trademark Office. United States Travel and Tourism Administration. Privacy officer Privacy Act Officer, Office of Orga- Assistant Director for Operations, Deputy Director of Administration, Division, National Technical In- Solicitor, Patent and Trademark Office, Room 12C08 Gateway 2, Crystal City, Virginia 20231. Director, Office of Management and Administration, United States Travel and Tourism Administration, Room 1524, Herbert C. Hoover Building, Washington, D.C. 20230. 1 If the location of the records within the Department is unknown, address the inquiry to the Privacy Officer for the Office of the Secretary. 2 Economic Affairs includes: Office of the Under Secretary for Economic Affairs; Office of Chief Economist; Office of Strategic Resources; Office of Business Analysis; Bureau of Economic Analysis. The Bureau of the Census, and the National Technical Information Service, which also fall organizationally under Economic Affairs, are listed separately. [51 FR 32207, Sept. 10, 1986, as amended at 53 FR 26236, July 12, 1988; 55 FR 38314, Sept. 18, 1990; 55 FR 38983, Sept. 24, 1990] |