15 CFR Part 4 — Disclosure of Government Information

PART 4—DISCLOSURE OF GOVERNMENT INFORMATION Authority: 5 U.S.C. 301; 5 U.S.C. 552; 5 U.S.C. 552a; 5 U.S.C. 553; 31 U.S.C. 3717; 44 U.S.C. 3101; Reorganization Plan No. 5 of 1950. Source: 66 FR 65632, Dec. 20, 2001, unless otherwise noted. Editorial Note: Nomenclature changes to part 4 appear at 80 FR 70154, Nov. 13, 2015. Subpart A—Freedom of Information Act § 4.1 General provisions. (a) The information in this part is furnished for the guidance of the public and in compliance with the requirements of the Freedom of Information Act (FOIA), as amended (5 U.S.C. 552). This part sets forth the procedures the Department of Commerce (Department) and its components follow to make publicly available materials and indices specified in 5 U.S.C. 552(a)(2) and records requested under 5 U.S.C. 552(a)(3). Information routinely provided to the public as part of a regular Department activity (for example, press releases issued by the Office of Public Affairs) may be provided to the public without following this part. In addition, as a matter of policy, the Department shall make discretionary releases of records or information exempt from disclosure under the FOIA when required to do so in accordance with current law and/or Executive Branch policy. This policy does not create any right enforceable in court. (b) As used in this subpart, component (c) The Department has a FOIA Requester Service Center with at least one FOIA Public Liaison. Each Department component may have a FOIA Requester Service Center with at least one FOIA Public Liaison. FOIA Public Liaisons are responsible for: Working with requesters that have any concerns about the service received from a FOIA component, reducing delays in the processing of FOIA requests, increasing transparency and understanding of the status of requests, and assisting in the resolution of disputes. Contact information for the relevant component FOIA Requester Service Centers, FOIA Public Liaisons, and component FOIA offices and contacts is available at http://www.osec.doc.gov/opog/contacts.html (d) The Office of Government Information Services (OGIS) within the National Archives and Records Administration offers mediation services to resolve disputes between requesters and agencies as a non-exclusive alternative to litigation. Requesters with concerns about the handling of their requests may contact OGIS. [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62557, Oct. 20, 2014; 83 FR 39589, Aug. 10, 2018] § 4.2 Public reading rooms. (a) Records that the FOIA requires to be made available for public inspection and copying are accessible electronically through the Department's “Electronic FOIA Library” on the Department's website, http://www.doc.gov (b) If the requester does not have access to the Internet and wishes to obtain information regarding publicly available information, he or she may contact the component's FOIA office. Appendix A to this part contains the contact information for the components' FOIA offices. Some components may also maintain physical public reading rooms. These components and their contact information are listed in appendix A to this part. (c) The Department and its components shall maintain and make available electronically for public inspection: (1) Copies of records that have been released and— (i) That the component that maintains them determines, because of their subject matter, have become or are likely to become the subject of subsequent requests for substantially the same records by other requesters, or (ii) That have been requested three or more times by different requesters; (2) A general index of the records available for public inspection—for purposes of these regulations, a general index includes records available through a search capability on the Department or component's website, such as a person finder; (3) Final opinions and orders, including concurring and dissenting opinions made in the adjudication of cases; (4) Those statements of policy and interpretations that have been adopted by a component and are not published in the Federal Register (5) Administrative staff manuals and instructions to staff that affect a member of the public. [79 FR 62558, Oct. 20, 2014, as amended at 83 FR 39589, Aug. 10, 2018] § 4.3 Records under the FOIA. (a) Records under the FOIA include all Government records, regardless of format, medium or physical characteristics, and electronic records and information, audiotapes, videotapes, Compact Disks, DVDs, and photographs. (b) In response to a FOIA request, the Department has no obligation to create, compile, or obtain from outside the Department a record to satisfy a request (for example, extrapolating information from existing agency records, reformatting available information, preparing new electronic programs or databases, or creating data through calculations of rations, proportions, percentages, trends, frequency distributions, correlations, or comparisons). In complying with a request for records (including data and other electronically-stored information), whether the Department creates or compiles records (as by undertaking significant programming work) or merely extracts them from an existing database is fact dependent. The Department shall undertake reasonable efforts to search for records stored in electronic format (including data and other electronically-stored information). (c) Department officials may, upon request, create and provide new records to the public pursuant to statutes that authorize the creation and provision of new records for a fee, such as the first paragraph of 15 U.S.C. 1525, or in accordance with authority otherwise provided by law. Such creation and provision of records is outside the scope of the FOIA. (d) Components shall preserve all correspondence pertaining to the requests they receive under this subpart, as well as copies of all requested records, until disposition or destruction is authorized by Title 44 of the United States Code or the National Archives and Records Administration's General Records Schedule 4.2, Information Access and Protection Records. Components shall not dispose of records while they are the subject of a pending request, appeal, or lawsuit under the FOIA. [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62558, Oct. 20, 2014; 83 FR 39589, Aug. 10, 2018] § 4.4 Requirements for making requests. (a) How made and addressed. http://www.doc.gov. 1 1 (b) Requests for records about an individual or oneself. (c) Description of records sought. (2) Whenever possible, a request should include specific information about each record sought, such as the date, title or name, author, recipient, subject matter of the record, case number, file designation, or reference number, and the name and location of the office where the record(s) might be found. (i) In addition, if records about a court case are sought, the title of the case, the court in which the case was filed, and the nature of the case should be included. (ii) If known, any file designations or descriptions of the requested records should be included. (iii) As a general rule, the more specifically the request describes the records sought, the greater the likelihood that the Department will be able to locate those records. (3) Before submitting their requests, requesters may first contact the Department's or the component's FOIA contact to discuss the records they are seeking and to receive assistance in describing the records. (4) For further assistance, requesters may also contact the relevant FOIA Requester Service Center or FOIA Public Liaison. Contact information for relevant FOIA Requester Service Centers and FOIA Public Liaisons is contained on the Department's website, http://www.osec.doc.gov/opog/contacts.html (5) If a component determines that a request does not reasonably describe the records sought, it shall inform the requester what additional information is needed or how the request is otherwise insufficient, to enable the requester to modify the request to meet the requirements of this section. (6) Requesters who are attempting to reformulate or modify such a request may discuss their request first with the relevant FOIA Contact, or if unresolved, with the relevant Requester Service Center or FOIA Public Liaison to discuss the records they are seeking and to receive assistance in describing the records. (7) When a requester fails to provide sufficient detail within 30 calendar days after having been asked to reasonably describe the records sought, the component shall notify the requester in writing that the request has not been properly made, that no further action will be taken, and that the FOIA request is closed. Such a notice constitutes an adverse determination under § 4.7(c)(2) for which components shall follow the procedures for a denial letter under § 4.7(c)(3). (8) In cases where a requester has modified his or her request, the date of receipt for purposes of the 20-day time limit of § 4.6 shall be the date of receipt of the modified request. [83 FR 39590, Aug. 10, 2018, as amended at 88 FR 36470, June 5, 2023] § 4.5 Responsibility for responding to requests. (a) In general. (b) Consultations and referrals. (c) Notice of referral. (d) Timing of responses to consultations and referrals. (e) Agreements regarding consultations and referrals. [66 FR 65632, Dec. 20, 2001, as amended at 71 FR 31073, June 1, 2006; 79 FR 62559, Oct. 20, 2014; 83 FR 39590, Aug. 10, 2018] § 4.6 Time limits and expedited processing. (a) In general. (b) Initial response and appeal. i.e., (c) Clarification of request. (d) Unusual circumstances. (2) For purposes of this section, “unusual circumstances” include: (i) The need to search for and collect the requested agency records from field facilities or other establishments that are separate from the office processing the request; (ii) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records that are the subject of a single request; or (iii) The need to consult, which shall be conducted with all practicable speed, with another Federal agency having a substantial interest in the determination of the FOIA request or with another component of the Department which has a substantial interest in the determination of the request. (3) If a component reasonably believes that multiple requests submitted by a requester, or by a group of requesters acting in concert, constitute a single request that would otherwise involve unusual circumstances, and the requests involve clearly related matters, the component may aggregate them. Multiple requests involving unrelated matters will not be aggregated. (e) Multi-track processing. (2) A component using multi-track processing may provide requesters in its slower track(s) with an opportunity to limit the scope of their requests in order to qualify for faster processing. A component doing so shall contact the requester by telephone, email, letter, or online FOIA case management system, whichever is the most efficient in each case. (f) Expedited processing. (i) Circumstances in which the lack of expedited treatment could reasonably be expected to pose an imminent threat to the life or physical safety of an individual; (ii) The loss of substantial due process rights; (iii) A matter of widespread and exceptional media interest involving questions about the Government's integrity which affect public confidence; or (iv) An urgency to inform the public about an actual or alleged Federal Government activity, if made by a person primarily engaged in disseminating information. (2) A request for expedited processing may be made at the time of the initial request for records or at any later time. For a prompt determination, a request for expedited processing should be sent to the component listed in appendix A to this part that maintains the records requested. (3) A requester who seeks expedited processing must submit a statement, certified to be true and correct to the best of that person's knowledge and belief, explaining in detail the basis for requesting expedited processing. For example, a requester within the category described in paragraph (f)(1)(iv) of this section, if 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, though it need not be his or her sole occupation. A requester within the category described in paragraph (f)(1)(iv) of this section must also 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 know about Government activity generally. The existence of numerous articles published on a given subject can be helpful to establishing the requirement that there be an “urgency to inform” the public on a topic. As a matter of administrative discretion, a component may waive the formal certification requirement. (4) Within ten calendar days of its receipt of a request for expedited processing, the proper component shall decide whether to grant it and shall notify the requester of the decision. Solely for purposes of calculating the foregoing time limit, any request for expedited processing shall always be considered received on the actual date of receipt by the proper component. If a request for expedited processing is granted, the request shall be given priority and processed as soon as practicable, subject to § 4.11(i). If a request for expedited processing is denied, any appeal of that decision shall be acted on expeditiously. [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62559, Oct. 20, 2014; 83 FR 39591, Aug. 10, 2018; 88 FR 36470, June 5, 2023] § 4.7 Responses to requests. (a) Acknowledgment of requests. (b) Interim responses. (c) Determination Grants of requests. (i) A component shall inform the requester: (A) Of any fees charged under § 4.11; and (B) That the requester may contact the relevant FOIA Public Liaison or FOIA contact for further assistance. (ii) The component shall also disclose records to the requester promptly upon payment of any applicable fees. (iii) Records disclosed in part shall be marked or annotated to show the applicable FOIA exemption(s) and the amount of information deleted, 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 feasible. (2) Adverse determinations of requests. (i) An adverse determination may be a denial of a request and includes decisions that: (A) The requested record is exempt, in whole or in part. (B) The request does not reasonably describe the records sought and the requester is unwilling to further clarify the request. (C) The information requested is not a record subject to the FOIA. (D) The requested record does not exist, cannot be located, or has previously been destroyed. (E) The requested record is not readily reproducible in the form or format sought by the requester. (ii) Adverse determinations may also include: (A) Denials of requested fee category status. (B) Denials of requests for fee waivers. (C) Denials of requests for expedited processing. (D) Denials of requests for reduction of fees. (3) Content of denial. (i) The name and title or position of the person responsible for the denial; (ii) A brief statement of the reason(s) for the denial, including any FOIA exemption(s) applied by the component in denying the request; (iii) An estimate of the volume of any records or information withheld, by providing the number of pages or some other reasonable form of estimation. This estimate is not required if the volume is otherwise indicated by deletions marked on records that are disclosed in part, or if providing an estimate would harm an interest protected by an applicable FOIA exemption; (iv) A statement advising the requester of the right to seek dispute resolution services from the Department FOIA Public Liaison, the relevant component FOIA Public Liaison or FOIA contact, or OGIS; and (v) A statement that the denial may be appealed under § 4.10, and a list of the requirements for filing an appeal set forth in § 4.10(b). (d) All responses shall be made subject to the provisions of § 4.25(b)(2)(iv). [83 FR 39591, Aug. 10, 2018, as amended at 86 FR 21934, Apr. 26, 2021; 88 FR 36471, June 5, 2023] § 4.8 Classified information. In processing a request for information classified under Executive Order 13526 or any other executive order concerning the classification of records, the information shall be reviewed to determine whether it should remain classified. Ordinarily the component or other Federal agency that classified the information should conduct the review, except that if a record contains information that has been derivatively classified by a component because it contains information classified by another component or agency, the component shall refer the responsibility for responding to the request to the component or agency that classified the underlying information. Information determined to no longer require classification shall not be withheld on the basis of FOIA exemption (b)(1) (5 U.S.C. 552(b)(1)), but should be reviewed to assess whether any other FOIA exemption should be invoked. Appeals involving classified information shall be processed in accordance with § 4.10(c). [79 FR 62560, Oct. 20, 2014] § 4.9 Confidential commercial information. (a) Definitions. (1) Confidential commercial information (2) Submitter (b) Designation of confidential commercial information. (c) Notice to submitters. (2) Such written notice shall be sent via certified mail, return receipt requested, or similar means. (3) Where notification of a voluminous number of submitters is required, such notification may be accomplished by posting or publishing the notice in a place reasonably calculated to accomplish notification. (4) The notice shall either describe the confidential commercial information requested or include copies of the requested records or portions of the records containing the information. If notification of a large number of submitters is required, notification may be made by posting or publishing the notice in a place reasonably likely to accomplish notification, instead of sending individual notifications. (d) When notice is required. (1) The submitter has designated the information in good faith as protected from disclosure under FOIA exemption (b)(4); or (2) The component has reason to believe that the information may be protected from disclosure under FOIA exemption (b)(4), but has not yet determined whether the information is protected from disclosure. (e) Opportunity to object to disclosure. i.e., (f) Notice of intent to disclose. (1) A statement of reason(s) why the submitter's objections to disclosure were not sustained; (2) A description of the confidential commercial information to be disclosed; and (3) A statement that the component intends to disclose the information seven working days, or ten working days if an extension is granted, from the date the submitter receives the notice. (g) Exceptions to notice requirements. (1) The component determines that the information is exempt and will be withheld under a FOIA exemption; (2) The information has been lawfully published or has been officially made available to the public; (3) Disclosure of the information is required by statute (other than the FOIA) or by a regulation issued in accordance with Executive Order 12600; or (4) The designation made by the submitter under paragraph (b) of this section appears obviously frivolous, except that, in such a case, the component shall provide the submitter written notice of any final decision to disclose the information seven working days after the date the submitter receives the notice. (h) Notice to submitter of FOIA lawsuit. (i) Corresponding notice to requester. [83 FR 39592, Aug. 10, 2018] § 4.10 Appeals from initial determinations or untimely delays. (a)(1) If a request for records to a component other than the Office of Inspector General is initially denied in whole or in part, or has not been timely determined, or if a requester receives an adverse determination regarding any other matter listed under this subpart (as described in § 4.7(c)), the requester may file an appeal. Appeals can be submitted in writing or electronically, as described in paragraph (b)(1) of this section. For requests filed on or after July 1, 2016, the appeal must be received by the Office of the General Counsel during normal business hours (8:30 a.m. to 5:00 p.m., Eastern Time, Monday through Friday) within 90 calendar days of the date of the written denial of the adverse determination or, if there has been no determination, an appeal may be submitted any time after the due date of the request, including the last extension under § 4.6(d), of a request due date. Written or electronic appeals arriving after normal business hours will be deemed received on the next normal business day. If the 90th calendar day falls on a Saturday, Sunday, or a legal public holiday, an appeal received by 5:00 p.m., Eastern Time, the next business day will be deemed timely. Appeals received after the 90-day limit will not be considered. (2) If a request for records to the Office of Inspector General is initially denied in whole or in part, or has not been timely determined, or if a requester receives an adverse determination regarding any other matter listed under this subpart (as described in § 4.7(c)), the requester may file an appeal. Appeals can be submitted in writing or electronically, as described in paragraph (b)(2) of this section. For requests submitted on or after July 1, 2016, the appeal must be received by the Office of Inspector General, Office of Counsel, during normal business hours (8:30 a.m. to 5:00 p.m., Eastern Time, Monday through Friday) within 90 calendar days of the date of the written denial of the adverse determination or, if there has been no determination, an appeal may be submitted any time after the due date, including the last extension under § 4.6(d), of the adverse determination. Written or electronic appeals arriving after normal business hours will be deemed received on the next normal business day. If the 90th calendar day falls on a Saturday, Sunday, or a legal public holiday, an appeal received by 5:00 p.m., Eastern Time, the next business day will be deemed timely. Appeals received after the 90-day limit will not be considered. (b)(1) Appeals, other than appeals from requests made to the Office of Inspector General, shall be decided by the Assistant General Counsel for Employment, Litigation, and Information (AGC-ELI). Written appeals should be addressed to the Assistant General Counsel for Employment, Litigation, and Information, at the U.S. Department of Commerce, Office of the General Counsel, Room 5896, 1401 Constitution Avenue NW, Washington, DC 20230. For a written appeal, both the letter and the appeal envelope should be clearly marked “Freedom of Information Act Appeal.” Appeals may also be submitted electronically by email to [email protected] (2) Appeals of initial and untimely determinations by the OIG shall be decided by the Counsel to the Inspector General, except that appeals of records requests that were initially denied by the Counsel to the Inspector General shall be decided by the Deputy Inspector General. Written appeals should be addressed to the Counsel to the Inspector General, or the Deputy Inspector General if the records were initially denied by the Counsel to the Inspector General. The address of both is: U.S. Department of Commerce, Office of the Inspector General, Office of Counsel, Room 7898C, 1401 Constitution Avenue NW, Washington, DC 20230. For a written appeal, both the letter and the appeal envelope should be clearly marked “Freedom of Information Act Appeal.” Appeals may also be submitted electronically by email to [email protected] (c) Upon receipt of an appeal involving records initially denied on the basis of FOIA exemption (b)(1), the records shall be forwarded to the Deputy Assistant Secretary for Security (DAS) for a declassification review. The DAS may overrule previous classification determinations in whole or in part if continued protection in the interest of national security is no longer required, or no longer required at the same level. The DAS shall advise the AGC-ELI, the General Counsel, Counsel to the Inspector General, or Deputy Inspector General, as appropriate, of his or her decision. (d) If an appeal is granted, the notification letter may include documents to be released or the request may be referred back to the component for further action consistent with the determination on the appeal. (e) If no determination on an appeal has been sent to the requester within the twenty working day period specified in § 4.6(b) or the last extension thereof, the requester is deemed to have exhausted all administrative remedies with respect to the request, giving rise to a right of judicial review under 5 U.S.C. 552(a)(6)(C). If the requester initiates a court action against the Department based on the provision in this paragraph, the administrative appeal process may continue. (f) The determination on an appeal shall be in writing and, when it denies records in whole or in part, the letter to the requester shall include: (1) A brief explanation of the basis for the denial, including a list of the applicable FOIA exemptions and a description of how they apply; (2) A statement that the decision is final for the Department; (3) Notification that dispute resolution services are offered by the Office of Government Information Services (OGIS) of the National Archives and Records Administration as a non-exclusive alternative to litigation, informing the requester that dispute resolution is a voluntary process, and if the Department and requester agree to participate in the dispute resolution services provided by OGIS, the Department will actively engage as a partner to the process in an attempt to resolve the dispute. (4) Notification that judicial review of the denial is available in the district court of the United States in the district in which the requester resides, or has his or her principal place of business, or in which the agency records are located, or in the District of Columbia; and (5) The name and title or position of the official responsible for denying the appeal. [66 FR 65632, Dec. 20, 2001, as amended at 69 FR 49784, Aug. 12, 2004; 79 FR 62561, Oct. 20, 2014; 80 FR 70153, Nov. 13, 2015; 83 FR 39593, Aug. 10, 2018; 88 FR 36471, June 5, 2023] § 4.11 Fees. (a) In general. (b) Definitions. (1) Commercial use request (2) Direct costs Table 1—FOIA Hourly Processing Fees Type Grade Hourly rate Administrative E-9/GS-8 and below $28 Professional Contractor/O-1 to O-6/W-1 to W-5/GS-9 to GS-15 56 Executive O-7 and above and Senior Executive Service 128 (3) Duplication (4) Educational institution Example 1. A request from a professor or a student of geology at a university for records relating to soil erosion, written on letterhead of the Department of Geology, would be presumed to be from an educational institution. Example 2. A request from the same professor or student of geology seeking drug information from the Food and Drug Administration in furtherance of a murder mystery he is writing would not be presumed to be an institutional request, regardless of whether it was written on institutional letterhead. Example 3. A student who makes a request in furtherance of their coursework or other school-sponsored activities and provides a copy of a course syllabus or other reasonable documentation to indicate the research purpose for the request, would qualify as part of this fee category. (5) Noncommercial scientific institution (6) Representative of the news media, or news media requester, (7) Review (8) Search (c) Fees. (1) The four categories and chargeable fees are: Category Chargeable fees (i) Commercial Use Requesters Search, Review, and Duplication. (ii) Educational and Non-commercial Scientific Institution Requesters Duplication (excluding the cost of the first 100 pages). (iii) Representatives of the News Media Duplication (excluding the cost of the first 100 pages). (iv) All Other Requesters Search and Duplication (excluding the cost of the first 2 hours of search and 100 pages). (2) Uniform fee schedule. Service Rate (i) Manual search Hourly rate from Table 1 of employee involved. (ii) Computerized search Actual direct cost, including operator time, using the hourly rate from Table 1, of the employee involved. (iii) Review of records Hourly rate from Table 1 of employee involved. (iv) Duplication of records: (A) Paper copy reproduction $.08 per page. (B) Other reproduction (e.g., converting paper into an electronic format (e.g., scanning), computer disk or printout, or other electronically-formatted reproduction (e.g., uploading records made available to the requester)) Actual direct cost, including operator time, using the hourly rate from Table 1, of the employee involved. (3) Search. (ii) For computer searches of records, requesters will be charged the direct costs of conducting the search, although certain requesters (as provided in paragraph (d)(1) of this section) will be charged no search fee and certain other requesters (as provided in paragraph (d)(3) of this section) are entitled to the cost equivalent of two hours of manual search time without charge. These direct costs will include the costs of the operator/programmer FOIA hourly processing rate apportionable to the search and any other tangible direct costs associated with a computer search. (4) Duplication. (5) Review. (d) Limitations on charging fees. (2) No search fee or review fee shall be charged for a quarter-hour period unless more than half of that period is required for search or review. (3) Except for requesters seeking records for a commercial use, components shall provide without charge: (i) The first 100 pages of duplication (or the cost equivalent); and (ii) The first two hours of search (or the cost equivalent). (4) If a total fee calculated under paragraph (c) of this section is $20.00 or less for any request, no fee shall be charged. If such total fee is more than $20.00, the full amount of such fee shall be charged. (5) The provisions of paragraphs (d) (3) and (4) of this section work together. This means that for requesters other than those seeking records for a commercial use, no fee shall be charged unless the cost of search in excess of two hours plus the cost of duplication in excess of 100 pages totals more than $20.00. (6) No search fees shall be charged to a FOIA requester when a component does not comply with the statutory time limits at 5 U.S.C. 552(a)(6) in which to respond to a request (this section only applies to FOIA requests, not appeals), except as described in paragraph (d)(8) of this section. (7) No duplication fees shall be charged to requesters in the fee category of a representative of the news media or an educational or noncommercial scientific institution when a component does not comply with the statutory time limits at 5 U.S.C. 552(a)(6) in which to respond to a request, except as described in paragraph (d)(8) of this section. (8)(i) When a Department component determines that unusual circumstances, as those terms are defined in § 4.6(d)(2), apply to the processing of the request, and provides timely written notice to the requester in accordance with the FOIA, then the Department component is granted an additional ten days until the fee restrictions in paragraphs (d)(6) and (7) of this section apply. (ii) The fee restrictions in paragraphs (d)(6) and (7) of this section do not apply: (A) When a Department component determines that unusual circumstances, as those terms are defined in § 4.6(d)(2), apply to the processing of the request; (B) More than 5,000 pages are necessary to respond to the request; (C) The Department component provides timely written notice to the requester in accordance with the FOIA; and (D) The Department component has discussed with the requester (or made three good faith attempts to do so) on how the requester can effectively limit the scope of the request. (e) Notice of anticipated fees in excess of $20.00. (2) When a requester has been notified that the actual or estimated fees will amount to more than $20.00, or amount to more than the amount the requester indicated a willingness to pay, the component will do no further work on the request until the requester agrees in writing to pay the actual or estimated total fee. The component will toll the processing of the request when it notifies the requester of the actual or estimated amount of fees and this time will be excluded from the twenty (20) working day time limit (as specified in § 4.6(b)). The requester's agreement to pay fees must be made in writing, must designate an exact dollar amount the requester is willing to pay, and must be received within 30 calendar days from the date of the notification of the fee estimate. If the requester fails to submit an agreement to pay the anticipated fees within 30 calendar days from the date of the component's fee notice, the component will presume that the requester is no longer interested and notify the requester that the request will be closed. (f) Charges for other services. (g) Charging interest. (h) Aggregating requests. (i) Advance payments. i.e., i.e., (2) When a component determines or estimates that the total fee for processing a FOIA request will be $250.00 or more, the component shall notify the requester of the actual or estimated fee and require the requester to make an advance payment of the entire anticipated fee before beginning to process the request. A notice under this paragraph shall offer the requester an opportunity to discuss the matter with Departmental personnel in order to modify the request in an effort to meet the requester's needs at a lower cost. (3) When a requester has previously failed to pay a properly charged FOIA fee to any component or other Federal agency within 30 calendar days of the date of billing, the component shall notify the requester that he or she is required to pay the full amount due, plus any applicable interest, and to make an advance payment of the full amount of any anticipated fee, before the component begins to process a new request or continues to process a pending request from that requester. A notice under this paragraph shall offer the requester an opportunity to discuss the matter with Departmental personnel in order to modify the request in an effort to meet the requester's needs at a lower cost. (4) When the component requires advance payment or payment due under paragraphs (i)(2) and (i)(3) of this section, the component will not further process the request until the required payment is made. The component will toll the processing of the request when it notifies the requester of the advanced payment due and this time will be excluded from the twenty (20) working day time limit (as specified in § 4.6(b)). If the requester does not pay the advance payment within 30 calendar days from the date of the component's fee notice, the component will presume that the requester is no longer interested and notify the requester that the request will be closed. (j) Tolling. i.e., (k) Other statutes specifically providing for fees. (l) Requirements for waiver or reduction of fees. (i) Disclosure of the requested information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the Government; and (ii) Disclosure of the information is not primarily in the commercial interest of the requester. (2) To determine whether the first fee waiver requirement is met, components shall consider the following factors: (i) The subject of the request: (ii) The informative value of the information to be disclosed: (iii) The contribution to an understanding of the subject by the public likely to result from disclosure: (iv) The significance of the contribution to public understanding: (3) To determine whether the second fee waiver requirement ( i.e. (i) The existence and magnitude of a commercial interest: (ii) The primary interest in disclosure: (4) If only some of the records to be released satisfy the requirements for a fee waiver, a waiver shall be granted for those records. (5) Requests for the waiver or reduction of fees should address the factors listed in paragraphs (l)(2) and (3) of this section, insofar as they apply to each request. [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62562, Oct. 20, 2014; 83 FR 39594, Aug. 10, 2018; 88 FR 36471, June 5, 2023] Subpart B—Privacy Act § 4.21 Purpose and scope. (a) This subpart establishes policies and procedures for implementing the Privacy Act of 1974, as amended (5 U.S.C. 552a). The main objectives of the subpart are to facilitate full exercise of rights conferred on individuals under the Act, and to protect the privacy of individuals on whom the Department maintains records in systems of records under the Act. (b) The Department shall act promptly and in accordance with the Act upon receipt of any inquiry, request or appeal from a citizen of the United States or an alien lawfully admitted for permanent residence into the United States, regardless of the individual's age. Further, the Department shall maintain only such information on individuals as is relevant and necessary to the performance of its lawful functions; maintain that information with such accuracy, relevancy, timeliness, and completeness as is reasonably necessary to assure fairness in determinations made by the Department about the individual; obtain information from the individual to the extent practicable; and take every reasonable step to protect that information from unwarranted disclosure. The Department shall maintain no record describing how an individual exercises rights guaranteed by the First Amendment unless expressly authorized to do so by statute or by the individual about whom the record is maintained, or unless to do so is pertinent to and within the scope of an authorized law enforcement activity. An individual's name and address shall not be sold or rented by the Department unless such action is specifically authorized by law. (c) This subpart applies to all components of the Department. Components may promulgate supplementary orders and rules not inconsistent with this subpart. (d) The Assistant Secretary for Administration is delegated responsibility for maintaining this subpart, for issuing such orders and directives internal to the Department as are necessary for full compliance with the Act, and for publishing all required notices concerning systems of records. (e) Matters outside the scope of this subpart include: (1) Requests for records that do not pertain to the requester, or to the individual about whom the request is made if the requester is the parent or guardian of the individual; (2) Requests involving information pertaining to an individual that is in a record or file but not within the scope of a system of records notice published in the Federal Register (3) Requests to correct a record if a grievance procedure is available to the individual either by regulation or through a provision in a collective bargaining agreement with the Department or a component of the Department, and the individual has initiated, or expressed in writing the intention of initiating, such a grievance procedure; and (4) Requests for employee-employer services and counseling that were routinely granted prior to enactment of the Act, including, but not limited to, test calculations of retirement benefits, explanations of health and life insurance programs, and explanations of tax withholding options. (f) Any request for records that pertains to the requester, or to the individual about whom the request is made if the requester is the parent or guardian of the individual, shall be processed under the Act and this subpart and under the Freedom of Information Act and the Department's implementing regulations at subpart A of this part, regardless whether the Act or the Freedom of Information Act is mentioned in the request. § 4.22 Definitions. (a) All terms used in this subpart which are defined in 5 U.S.C. 552a shall have the same meaning herein. (b) As used in this subpart: (1) Act (2) Appeal (3) Component (4) Department (5) Inquiry (6) Person (7) Privacy Act Officer (8) Request for access (9) Request for correction or amendment (10) Un-redacted SSN Mailed Documents Listing (USMDL) www.commerce.gov/privacy, [66 FR 65632, Dec. 20, 2001, as amended at 86 FR 21935, Apr. 26, 2021] § 4.23 Procedures for making inquiries. (a) Any individual, regardless of age, who is a citizen of the United States or an alien lawfully admitted for permanent residence into the United States may submit an inquiry to the Department. The inquiry should be made either in person or by mail addressed to the appropriate component identified in appendix A to this part or to the official identified in the notification procedures paragraph of the systems of records notice published in the Federal Register. 2 2 (b) Inquiries submitted by mail should include the words “PRIVACY ACT INQUIRY” in capital letters at the top of the letter and on the face of the envelope. If the inquiry is for general information regarding the Act and this subpart, no particular information is required. The Department reserves the right to require compliance with the identification procedures appearing at § 4.24(d). If the inquiry is a request that the Department determine whether it has a record pertaining to the individual, the following information should be submitted: (1) Name of individual whose record is sought; (2) Statement that individual whose record is sought is either a U.S. citizen or an alien lawfully admitted for permanent residence; (3) Identifying data that will help locate the record (for example, maiden name, occupational license number, period or place of employment, etc.); (4) Record sought, by description and by record system name, if known; (5) Action requested (that is, sending information on how to exercise rights under the Act; determining whether requested record exists; gaining access to requested record; or obtaining copy of requested record); (6) Copy of court guardianship order or minor's birth certificate, as provided in § 4.24(d)(3), but only if requester is guardian or parent of individual whose record is sought; (7) Requester's name (printed), signature, address, and (optional) telephone number; (8) Date; and, (9) Certification of request by notary or other official, but only if (i) Request is for notification that requested record exists, for access to requested record, or for copy of requested record; (ii) Record is not available to any person under 5 U.S.C. 552; and (iii) Requester does not appear before an employee of the Department for verification of identity. (c) Any inquiry which is not addressed as specified in paragraph (a) of this section or which is not marked as specified in paragraph (b) of this section will be so addressed and marked by Department personnel and forwarded immediately to the responsible Privacy Act Officer. An inquiry which is not properly addressed by the individual will not be deemed to have been “received” for purposes of measuring the time period for response until actual receipt by the Privacy Act Officer. In each instance when an inquiry so forwarded is received, the Privacy Act Officer shall notify the individual that his or her inquiry was improperly addressed and the date the inquiry was received at the proper address. (d)(1) Each inquiry received shall be acted upon promptly by the responsible Privacy Act Officer. Every effort will be made to respond within ten working days ( i.e. (2) If the Privacy Act Officer fails to send an acknowledgment within ten working days, as provided in paragraph (d)(1) of this section, the requester may ask the Assistant General Counsel for Employment, Litigation and Information to take corrective action. (e) An individual shall not be required to state a reason for or otherwise justify his or her inquiry. (f) Special note should be taken that certain agencies are responsible for publishing notices of systems of records having Government-wide application to other agencies, including the Department. The agencies known to be publishing these general notices and the types of records covered therein appear in appendix C to this part. These general notices do not identify the Privacy Act Officers in the Department to whom inquiries should be presented or mailed. The provisions of this section, and particularly paragraph (a) of this section, should be followed in making inquiries with respect to such records. Such records in the Department are subject to the provisions of this part to the extent indicated in appendix C to this part. The exemptions, if any, determined by the agency publishing a general notice shall be invoked and applied by the Department after consultation, as necessary, with that other agency. [66 FR 65632, Dec. 20, 2001, as amended at 91 FR 7116, Feb. 17, 2026] § 4.24 Procedures for making requests for records. (a) Any individual, regardless of age, who is a citizen of the United States or an alien lawfully admitted for permanent residence into the United States may submit a request to the Department for access to records. The request should be made either in person or by mail addressed to the appropriate office listed in appendix A to this part. (b) Requests submitted by mail should include the words “PRIVACY ACT REQUEST” in capital letters at the top of the letter and on the face of the envelope. Any request which is not addressed as specified in paragraph (a) of this section or which is not marked as specified in this paragraph will be so addressed and marked by Department personnel and forwarded immediately to the responsible Privacy Act Officer. A request which is not properly addressed by the individual will not be deemed to have been “received” for purposes of measuring time periods for response until actual receipt by the Privacy Act Officer. In each instance when a request so forwarded is received, the Privacy Act Officer shall notify the individual that his or her request was improperly addressed and the date the request was received at the proper address. (c) If the request follows an inquiry under § 4.23 in connection with which the individual's identity was established by the Department, the individual need only indicate the record to which access is sought, provide the Department control number assigned to the request, and sign and date the request. If the request is not preceded by an inquiry under § 4.23, the procedures of this section should be followed. (d) The requirements for identification of individuals seeking access to records are: (1) In person. (i) A document bearing the individual's photograph (for example, driver's license, passport or military or civilian identification card); (ii) A document, preferably issued for participation in a Federally-sponsored program, bearing the individual's signature (for example, unemployment insurance book, employer's identification card, national credit card, and professional, craft or union membership card); and, (iii) A document bearing neither the photograph nor the signature of the individual, preferably issued for participation in a Federally-sponsored program (for example, Medicaid card). If the individual can provide no suitable documentation of identity, the Department will require a signed statement asserting the individual's identity and stipulating that the individual understands the penalty provision of 5 U.S.C. 552a(i)(3) recited in § 4.32(a). In order to avoid any unwarranted disclosure of an individual's records, the Department reserves the right to determine the adequacy of proof of identity offered by any individual, particularly if the request involves a sensitive record. (2) Not in person. (i) A certification of a notary public or equivalent officer empowered to administer oaths must accompany the request under the circumstances prescribed in § 4.23(b)(9). The certification in or attached to the letter must be substantially in accordance with the following text: City of ____ County of ____. (Name of individual), who affixed (his) (her) signature below in my presence, came before me, a (title), in and for the aforesaid County and State, this __ day of __, 20_, and established (his) (her) identity to my satisfaction. My commission expires ____. Signature: ______.; or (ii) Statement of identity made under 28 U.S.C. 1746, a law that permits statements to be made under penalty of perjury as a substitute for notarization. (3) Parents of minors and legal guardians. (e) If the provisions of this subpart are alleged to impede an individual in exercising his or her right to access, the Department will consider, from an individual making a request, alternative suggestions regarding proof of identity and access to records. (f) An individual shall not be required to state a reason for or otherwise justify his or her request for access to a record. [66 FR 65632, Dec. 20, 2001, as amended at 73 FR 10381, Feb. 27, 2008] § 4.25 Disclosure of requested records to individuals. (a)(1) The responsible Privacy Act Officer shall act promptly upon each request. Every effort will be made to respond within ten working days ( i.e. (i) A search for and collection of requested records from inactive storage, field facilities or other establishments is required; (ii) A voluminous amount of data is involved; (iii) Information on other individuals must be separated or expunged from the particular record; or (iv) Consultations with other agencies having a substantial interest in the determination of the request are necessary. (2) If the Privacy Act Officer fails to send an acknowledgment within ten working days, as provided in paragraph (a)(1) of this section, the requester may ask the Assistant General Counsel for Employment, Litigation and Information to take corrective action. (3) Inclusion of SSNs on responsive documents. (i) The Department shall redact SSNs from responsive documents provided to requesters where feasible. Where full redaction is not feasible, partial redaction to create a truncated SSN shall be preferred to no redaction. The following conditions must be met for the inclusion of an unredacted (full) SSN or partially redacted (truncated) SSN on a responsive document: (ii) The inclusion of the full SSN or truncated SSN of an individual must be required or authorized by law, (iii) The inclusion of the full SSN or truncated SSN of an individual must be determined by the Senior Agency Official for Privacy and Departmental Privacy Act Officer to be necessary to fulfill a compelling Department business need; and (iv) The full SSN of an individual may be included only on documents listed on the USMDL. (4) The following requirements apply when the Department mails or delivers responsive documents containing SSNs or truncated SSNs: (i) The full SSN of an individual may be included only on documents listed on the USMDL. (ii) For documents that are listed on the USMDL and that include the full SSN of an individual, the signature of the recipient is required upon delivery. (iii) For documents that include the truncated form of the SSN of an individual, the signature of the recipient is required upon delivery. (iv) The full SSN, the truncated SSN, any part of the SSN of an individual must not be visible from the outside of the envelope or package. (b) Grant of access: (1) Notification. (i) The methods of access, as set forth in paragraph (b)(2) of this section; (ii) The place at which the record may be inspected; (iii) The earliest date on which the record may be inspected and the period of time that the records will remain available for inspection. In no event shall the earliest date be later than thirty calendar days from the date of notification; (iv) The estimated date by which a copy of the record will be mailed and the fee estimate pursuant to § 4.31. In no event shall the estimated date be later than thirty calendar days from the date of notification; (v) The fact that the individual, if he or she wishes, may be accompanied by another individual during personal access, subject to the procedures set forth in paragraph (f) of this section; and, (vi) Any additional prerequisites for granting access to a specific record. (2) Methods of access. (i) Inspection in person may be had in the office specified by the Privacy Act Officer granting access, during the hours indicated in appendix A to this part; (ii) Transfer of records to a Federal facility more convenient to the individual may be arranged, but only if the Privacy Act Officer determines that a suitable facility is available, that the individual's access can be properly supervised at that facility, and that transmittal of the records to that facility will not unduly interfere with operations of the Department or involve unreasonable costs, in terms of both money and manpower; and, (iii) Copies of documents may be mailed at the request of the individual and may be subject to payment of the fees prescribed in §§ 4.25(a)(3) and 4.31. In the event that the Department, at its own initiative, elects to provide a copy by mail, no fee will be charged to the individual. (iv) Copies of documents listed on the USMDL that include full SSNs and that are requested by an individual are subject to payment of the fees prescribed in § 4.31. (v) Documents containing SSNs or truncated SSNs that are required to be returned by the individual to the Department will be mailed or delivered along with a prepaid mail or delivery service envelope at the expense of the Department. (c) Access to medical records is governed by the provisions of § 4.26. (d) The Department shall supply such other information and assistance at the time of access as to make the record intelligible to the individual. (e) The Department reserves the right to limit access to copies and abstracts of original records, rather than the original records. This election would be appropriate, for example, when the record is in an automated data medium such as tape or disc, when the record contains information on other individuals, and when deletion of information is permissible under exemptions (for example, 5 U.S.C. 552a(k)(2)). In no event shall original records of the Department be made available to the individual except under the immediate supervision of the Privacy Act Officer or his or her designee. (f) Any individual who requests access to a record pertaining to that individual may be accompanied by another individual of his or her choice. “Accompanied” includes discussing the record in the presence of the other individual. The individual to whom the record pertains shall authorize the presence of the other individual in writing. The authorization shall include the name of the other individual, a specific description of the record to which access is sought, the Department control number assigned to the request, the date, and the signature of the individual to whom the record pertains. The other individual shall sign the authorization in the presence of the Privacy Act Officer. An individual shall not be required to state a reason or otherwise justify his or her decision to be accompanied by another individual during personal access to a record. (g) Initial denial of access: (1) Grounds. (i) The record is exempt under § 4.33 or 4.34, or exempt by determination of another agency publishing notice of the system of records, as described in § 4.23(f); (ii) The record is information compiled in reasonable anticipation of a civil action or proceeding; (iii) The provisions of § 4.26 pertaining to medical records have been invoked; or (iv) The individual unreasonably has failed to comply with the procedural requirements of this part. (2) Notification. (i) The Privacy Act Officer's name and title or position; (ii) The date of the denial; (iii) The reasons for the denial, including citation to the appropriate section of the Act and this part; (iv) The individual's opportunities, if any, for further administrative consideration, including the identity and address of the responsible official. If no further administrative consideration within the Department is available, the notice shall state that the denial is administratively final; and, (v) If stated to be administratively final within the Department, the individual's right to judicial review provided under 5 U.S.C.552a(g)(1), as limited by 5 U.S.C. 552a(g)(5). (3) Administrative review. (i) As to denial under paragraph (g)(1)(i) of this section, two opportunities for further consideration are available in the alternative: (A) If the individual contests the application of an exemption to the records, the review procedures in § 4.25(g)(3)(ii) shall apply; or, (B) If the individual challenges the validity of the exemption itself, the individual must file a petition for the issuance, amendment, or repeal of a rule under 5 U.S.C. 553(e). If the exemption was determined by the Department, such petition shall be filed with the Assistant Secretary for Administration. If the exemption was determined by another agency (as described in § 4.23(f)), the Department will provide the individual with the name and address of the other agency and any relief sought by the individual shall be that provided by the regulations of the other agency. Within the Department, no such denial is administratively final until such a petition has been filed by the individual and disposed of on the merits by the Assistant Secretary for Administration. (ii) As to denial under paragraphs (g)(1)(ii) of this section, (g)(1)(iv) of this section or (to the limited extent provided in paragraph (g)(3)(i)(A) of this section) paragraph (g)(1)(i) of this section, the individual may file for review with the Assistant General Counsel for Employment, Litigation and Information, as indicated in the Privacy Act Officer's initial denial notification. The individual and the Department shall follow the procedures in § 4.28 to the maximum extent practicable. (iii) As to denial under paragraph (g)(1)(iii) of this section, no further administrative consideration within the Department is available because the denial is not administratively final until expiration of the time period indicated in § 4.26(a). (h) If a request is partially granted and partially denied, the Privacy Act Officer shall follow the appropriate procedures of this section as to the records within the grant and the records within the denial. [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62564, Oct. 20, 2014; 86 FR 21935, Apr. 26, 2021; 91 FR 7116, Feb. 17, 2026] § 4.26 Special procedures: Medical records. When a request for access involves medical or psychological records, the records will be reviewed by the Department's medical officer for a determination on whether disclosure would be harmful to the individual to whom they relate. If it is determined that disclosure would be harmful, the Department may refuse to disclose the records directly to the requester but shall transmit them to a doctor authorized in writing by the individual to whom the records relate to receive the documents. If an individual refuses to provide written authorization to release his or her medical records to a doctor, barring any applicable exemption, the Department shall give the individual access to his or her records by means of a copy, provided without cost to the requester, sent registered mail, return receipt requested. [79 FR 62564, Oct. 20, 2014] § 4.27 Procedures for making requests for correction or amendment. (a) Any individual, regardless of age, who is a citizen of the United States or an alien lawfully admitted for permanent residence into the United States may submit a request for correction or amendment to the Department. The request should be made either in person or by mail addressed to the Privacy Act Officer who processed the individual's request for access to the record, and to whom is delegated authority to make initial determinations on requests for correction or amendment. The offices of Privacy Act Officers are open to the public between the hours of 9 a.m. and 4 p.m. Monday through Friday (excluding Saturdays, Sundays, and legal public holidays). (b) Requests submitted by mail should include the words “PRIVACY ACT REQUEST” in capital letters at the top of the letter and on the face of the envelope. Any request that is not addressed as specified in paragraph (a) of this section or that is not marked as specified in this paragraph will be so addressed and marked by Department personnel and forwarded immediately to the responsible Privacy Act Officer. A request that is not properly addressed by the individual will not be deemed to have been “received” for purposes of measuring the time period for response until actual receipt by the Privacy Act Officer. In each instance when a request so forwarded is received, the Privacy Act Officer shall notify the individual that his or her request was improperly addressed and the date the request was received at the proper address. (c) Since the request, in all cases, will follow a request for access under § 4.25, the individual's identity will be established by his or her signature on the request and use of the Department control number assigned to the request. (d) A request for correction or amendment should include the following: (1) Specific identification of the record sought to be corrected or amended (for example, description, title, date, paragraph, sentence, line and words); (2) The specific wording to be deleted, if any; (3) The specific wording to be inserted or added, if any, and the exact place at which it is to be inserted or added; and, (4) A statement of the basis for the requested correction or amendment, with all available supporting documents and materials that substantiate the statement. The statement should identify the criterion of the Act being invoked, that is, whether the information in the record is unnecessary, inaccurate, irrelevant, untimely or incomplete. § 4.28 Agency review of requests for correction or amendment. (a)(1)(i) Not later than ten working days ( i.e. (ii) If the Privacy Act Officer fails to send the acknowledgment within ten working days, as provided in paragraph (a)(1)(i) of this section, the requester may ask the Assistant General Counsel for Employment, Litigation and Information, or in the case of a request to the Office of the Inspector General, the Counsel to the Inspector General, to take corrective action. (2) Promptly after acknowledging receipt of a request, or after receiving such further information as might have been requested, or after arriving at a decision within the ten working days, the Privacy Act Officer shall either: (i) Make the requested correction or amendment and advise the individual in writing of such action, providing either a copy of the corrected or amended record or, in cases in which a copy cannot be provided, a statement as to the means by which the correction or amendment was effected; or (ii) Inform the individual in writing that his or her request is denied and provide the following information: (A) The Privacy Act Officer's name and title or position; (B) The date of the denial; (C) The reasons for the denial, including citation to the appropriate sections of the Act and this subpart; and (D) The procedures for appeal of the denial as set forth in § 4.29, including the address of the Assistant General Counsel for Employment, Litigation and Information, or in the case of a request to the Office of the Inspector General, the address of the Counsel to the Inspector General. (3) The term promptly i.e. (b) Whenever an individual's record is corrected or amended pursuant to a request from that individual, the Privacy Act Officer shall notify all persons and agencies to which the corrected or amended portion of the record had been disclosed prior to its correction or amendment, if an accounting of such disclosure required by the Act was made. The notification shall require a recipient agency maintaining the record to acknowledge receipt of the notification, to correct or amend the record, and to apprise any agency or person to which it had disclosed the record of the substance of the correction or amendment. (c) The following criteria will be considered by the Privacy Act Officer in reviewing a request for correction or amendment: (1) The sufficiency of the evidence submitted by the individual; (2) The factual accuracy of the information to be corrected or amended; (3) The relevance and necessity of the information in terms of the purpose for which it was collected; (4) The timeliness and currency of the information in light of the purpose for which it was collected; (5) The completeness of the information in terms of the purpose for which it was collected; (6) The degree of risk that denial of the request could unfairly result in determinations adverse to the individual; (7) The character of the record sought to be corrected or amended; and, (8) The propriety and feasibility of complying with the specific means of correction or amendment requested by the individual. (d) The Department will not undertake to gather evidence for the individual, but does reserve the right to verify the evidence the individual submits. (e) Correction or amendment of a record requested by an individual will be denied only upon a determination by the Privacy Act Officer that: (1) The individual has failed to establish, by a preponderance of the evidence, the propriety of the correction or amendment in light of the criteria set forth in paragraph (c) of this section; (2) The record sought to be corrected or amended is part of the official record in a terminated judicial, quasi-judicial or quasi-legislative proceeding to which the individual was a party or participant; (3) The information in the record sought to be corrected or amended, or the record sought to be corrected or amended, is the subject of a pending judicial, quasi-judicial or quasi-legislative proceeding to which the individual is a party or participant; (4) The correction or amendment would violate a duly enacted statute or promulgated regulation; or, (5) The individual unreasonably has failed to comply with the procedural requirements of this part. (f) If a request is partially granted and partially denied, the Privacy Act Officer shall follow the appropriate procedures of this section as to the records within the grant and the records within the denial. [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62564, Oct. 20, 2014; 91 FR 7116, Feb. 17, 2026] § 4.29 Appeal of initial adverse agency determination on correction or amendment. (a) If a request for correction or amendment is denied initially under § 4.28, the individual may submit a written appeal within thirty calendar days of the date of the initial denial. The appeal must be received by the General Counsel, or by the Counsel to the Inspector General in the case of an appeal of an initial adverse determination by the Office of Inspector General, during normal business hours (8:30 a.m. to 5:00 p.m., Eastern Time, Monday through Friday) within 30 calendar days of the date of the initial denial. Appeals arriving after normal business hours will be deemed received on the next normal business day. If the 30th calendar day falls on a Saturday, Sunday, or a legal public holiday, an appeal received by 5:00 p.m., Eastern Time, the next business day will be deemed timely. (b)(1) An appeal from a request to a component other than the Office of the Inspector General should be addressed to the Assistant General Counsel for Employment, Litigation and Information, U.S. Department of Commerce, Room 5896, 14th and Constitution Avenue NW, Washington, DC 20230. An appeal should include the words “Privacy Act Appeal” at the top of the letter and on the face of the envelope. An appeal not addressed and marked as provided herein will be so marked by Department personnel when it is so identified, and will be forwarded immediately to the Assistant General Counsel for Employment, Litigation and Information. An appeal which is not properly addressed by the individual will not be deemed to have been “received” for purposes of measuring the time periods in this section until actual receipt by the Assistant General Counsel for Employment, Litigation and Information. In each instance when an appeal so forwarded is received, the Assistant General Counsel for Employment, Litigation and Information shall notify the individual that his or her appeal was improperly addressed and the date on which the appeal was received at the proper address. (2) An appeal of an initial adverse determination on correction or amendment by the Office of Inspector General should be addressed to the Counsel to the Inspector General, U.S. Department of Commerce, Room 7898C, 14th and Constitution Avenue NW., Washington, DC 20230. An appeal should include the words “Privacy Act Appeal” at the top of the letter and on the face of the envelope. An appeal not addressed and marked as provided herein will be so marked by Department personnel when it is so identified, and will be forwarded immediately to the Counsel to the Inspector General. An appeal which is not properly addressed by the individual will not be deemed to have been “received” for purposes of measuring the time periods in this section until actual receipt by the Counsel to the Inspector General. In each instance when an appeal so forwarded is received, the Counsel to the Inspector General shall notify the individual that his or her appeal was improperly addressed and the date on which the appeal was received at the proper address. (c) The individual's appeal shall be signed by the individual, and shall include a statement of the reasons for why the initial denial is believed to be in error, and the Department's control number assigned to the request. The Privacy Act Officer who issued the initial denial shall furnish to the Assistant General Counsel for Employment, Litigation and Information, or in the case of an initial denial by the Office of the Inspector General, to the Counsel to the Inspector General, the record(s) the individual requests to be corrected or amended, and all correspondence between the Privacy Act Officer and the requester. Although the foregoing normally will comprise the entire record on appeal, the Assistant General Counsel for Employment, Litigation and Information, or in the case of an initial denial by the Office of the Inspector General, the Counsel to the Inspector General, may seek any additional information necessary to ensure that the final determination is fair and equitable and, in such instances, disclose the additional information to the individual to the greatest extent possible, and provide an opportunity for comment thereon. (d) No personal appearance or hearing on appeal will be allowed. (e) The Assistant General Counsel for Employment, Litigation and Information, or in the case of an initial denial by the Office of the Inspector General, the Counsel to the Inspector General, shall act upon the appeal and issue a final determination in writing not later than thirty working days ( i.e., (f) If the appeal is determined in favor of the individual, the final determination shall include the specific corrections or amendments to be made and a copy thereof shall be transmitted promptly to the individual and to the Privacy Act Officer who issued the initial denial. Upon receipt of such final determination, the Privacy Act Officer shall promptly take the actions set forth in § 4.28(a)(2)(i) and (b). (g) If the appeal is denied, the final determination shall be transmitted promptly to the individual and state the reasons for the denial. The notice of final determination shall inform the individual that: (1) The individual has a right under the Act to file with the Assistant General Counsel for Employment, Litigation and Information, or in the case of an initial denial by the Office of the Inspector General, the Counsel to the Inspector General, a concise statement of reasons for disagreeing with the final determination. The statement ordinarily should not exceed one page, and the Department reserves the right to reject an excessively lengthy statement. It should provide the Department control number assigned to the request, indicate the date of the final determination and be signed by the individual. The Assistant General Counsel for Employment, Litigation and Information, or in the case of an initial denial by the Office of the Inspector General, the Counsel to the Inspector General, shall acknowledge receipt of such statement and inform the individual of the date on which it was received; (2) Any such disagreement statement submitted by the individual would be noted in the disputed record, and filed with it; (3) The purposes and uses to which the statement would be put are those applicable to the record in which it is noted, and that a copy of the statement would be provided to persons and agencies to which the record is disclosed subsequent to the date of receipt of such statement; (4) The Department would append to any such disagreement statement a copy of the final determination or summary thereof, which also would be provided to persons and agencies to which the disagreement statement is disclosed; and (5) The individual has a right to judicial review of the final determination under 5 U.S.C. 552a(g)(1)(A), as limited by 5 U.S.C. 552a(g)(5). (h) In making the final determination, the Assistant General Counsel for Employment, Litigation and Information, or in the case of an initial denial by the Office of the Inspector General, the Counsel to the Inspector General, shall employ the criteria set forth in § 4.28(c) and shall deny an appeal only on grounds set forth in § 4.28(e). (i) If an appeal is partially granted and partially denied, the Assistant General Counsel for Employment, Litigation and Information, or in the case of an initial denial by the Office of the Inspector General, the Counsel to the Inspector General, shall follow the appropriate procedures of this section as to the records within the grant and the records within the denial. (j) Although a copy of the final determination or a summary thereof will be treated as part of the individual's record for purposes of disclosure in instances where the individual has filed a disagreement statement, it will not be subject to correction or amendment by the individual. (k) The provisions of paragraphs (g)(1) through (g)(3) of this section satisfy the requirements of 5 U.S.C. 552a(e)(3). [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62564, Oct. 20, 2014; 91 FR 7116, Feb. 17, 2026; 91 FR 10749, Mar. 5, 2026] § 4.30 Disclosure of record to person other than the individual to whom it pertains. (a) The Department may disclose a record pertaining to an individual to a person other than the individual to whom it pertains only in the following instances: (1) Upon written request by the individual, including authorization under § 4.25(f); (2) With the prior written consent of the individual; (3) To a parent or legal guardian under 5 U.S.C. 552a(h); (4) When required by the Act and not covered explicitly by the provisions of 5 U.S.C. 552a(b); and (5) When permitted under 5 U.S.C. 552a(b)(1) through (12), as follows: 3 3 (i) To those officers and employees of the agency that maintains the record who have a need for the record in the performance of their duties; (ii) Required under 5 U.S.C. 552; (iii) For a routine use as defined in 5 U.S.C. 552a(a)(7); (iv) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of Title 13 of the U.S. Code; (v) To a requester who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable; (vi) To the National Archives and Records Administration as a record that has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Archivist of the United States, or the designee of the Archivist, 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 or her authorized representatives, in the course of the performance of the duties of the General Accounting Office; (xi) Pursuant to the order of a court of competent jurisdiction; or (xii) To a consumer reporting agency in accordance with 31 U.S.C. 3711(e). (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; and (3) 5 U.S.C. 552a(g) authorizes civil action by an individual and requires disclosure by the Department to the court. (c) The Privacy Act 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 Act Officer shall make such accounting available to any individual, insofar as it pertains to that individual, upon any request submitted in accordance with § 4.24. The Privacy Act 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. [66 FR 65632, Dec. 20, 2001, as amended at 67 FR 60282, Sept. 25, 2002] § 4.31 Fees. (a) The only fee to be charged to an individual under this part is for duplication of records at the request of the individual. Components shall charge a fee for duplication of records under the Act in the same way in which they charge a duplication fee under § 4.11, except as provided in this section. Accordingly, no fee shall be charged or collected for: search, retrieval, or review of records; copying at the initiative of the Department without a request from the individual; transportation of records; or first-class postage. (b) The Department shall provide an individual one copy of each record corrected or amended pursuant to the individual's request without charge as evidence of the correction or amendment. (c) As required by the United States Office of Personnel Management in its published regulations implementing the Act, the Department shall charge no fee for a single copy of a personnel record covered by that agency's Government-wide published notice of systems of records. § 4.32 [Reserved] § 4.33 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 Transactions—COMMERCE/BIS-1. (2) Fisheries Law Enforcement Case Files—COMMERCE/NOAA-5. (3) OIG Investigative Records—COMMERCE/OIG-1. (4) Access Control and Identity Management System—COMMERCE/DEPT-25. (5) Investigation and Threat Management Records—COMMERCE/DEPT-27. 5 [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62565, Oct. 20, 2014; 80 FR 68443, Nov. 5, 2015; 86 FR 49921, Sept. 7, 2021; 91 FR 7117, Feb. 17, 2026] § 4.34 Specific exemptions. (a)(1) Certain systems of records under the Act that are maintained by the Department may occasionally contain material subject to 5 U.S.C. 552a(k)(1), relating to national defense and foreign policy materials. The systems of records published in the Federal Register (2) 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), because the materials are 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 are COMMERCE/BIS-1, COMMERCE/ITA-2, COMMERCE/ITA-3, COMMERCE/NOAA-11, COMMERCE/PAT-TM-4, COMMERCE/OIG-1, COMMERCE/DEPT-13, COMMERCE/DEPT-14, COMMERCE/DEPT-25, and COMMERCE/DEPT-27. The claims for exemption of COMMERCE/OIG-1, COMMERCE/BIS-1, COMMERCE/NOAA-5, COMMERCE/DEPT-25, and COMMERCE/DEPT-27 under this paragraph (b)(1) are subject to the condition that the general exemption claimed in § 4.33(b) is held to be invalid. (2)(i) 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: (A) Individuals identified in Export Administration compliance proceedings or investigations—COMMERCE/BIS-1, but only on condition that the general exemption claimed in § 4.33(b)(1) is held to be invalid; (B) Individuals involved in export transactions—COMMERCE/ITA-2; (C) Fisheries Law Enforcement Case Files—COMMERCE/NOAA-5, but only on condition that the general exemption claimed in § 4.33(b)(2) is held to be invalid; (D) OIG Investigative Records—COMMERCE/OIG-1, but only on condition that the general exemption claimed in § 4.33(b)(2) is held to be invalid; (E) Investigative Records—Persons Within the Investigative Jurisdiction of the Department—COMMERCE/DEPT-13; (F) Access Control and Identity Management System—COMMERCE/DEPT-25, but only on condition that the general exemption claimed in § 4.33(b)(4) is held to be invalid; (G) Investigation and Threat Management Records—COMMERCE/DEPT-27, but only on condition that the general exemption claimed in § 4.33(b)(4) is held to be invalid; (ii) 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 ensure 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 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 shall be made known to the individual to whom it pertains. (3)(i) 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: (A) Special Censuses, Surveys, and Other Studies—COMMECE/CENSUS-3; (B) Economic Survey Collection—COMMERCE/CENSUS-4; (C) Decennial Census Program—COMMERCE/CENSUS-5; (D) Population Census Records for 1910 & All Subsequent Decennial Census—COMMERCE/CENSUS-6; (E) Other Agency Surveys & Reimbursable—COMMERCE/CENSUS-7; (F) Statistical Administrative Records System—COMMERCE/CENSUS-8; (G) Longitudinal Employer-Household Dynamics System—COMMERCE/CENSUS-9; and (H) Foreign Trade Statistics—COMMERCE/CENSUS-12. (ii) 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 of the 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, that no adverse determinations are made from these records as to any identifiable individual. (4)(i) 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: (A) Applications to U.S. Merchant Marine Academy (USMMA)—COMMERCE/MA-1; (B) USMMA Midshipman Medical Files—COMMERCE/MA-17; (C) USMMA Midshipman Personnel Files—COMMERCE/MA-18; (D) USMMA Non-Appropriated Fund Employees—COMMERCE/MA-19; (E) Applicants for the NOAA Corps—COMMERCE/NOAA-I; (F) Commissioned Officer Official Personnel Folders—COMMERCE/NOAA-3; (G) Conflict of lnterest Records, Appointed Officials—COMMERCE/DEPT-3; (H) OIG Investigative Records—COMMERCE/OIG-1, but only on condition that the general exemption claimed in § 4.33(b)(3) is held to be invalid; (I) Investigative Records—Persons within the Investigative Jurisdiction of the Department COMMERCE/DEPT-13; (J) Litigation, Claims, and Administrative Proceeding Records—COMMERCE/DEPT-14; (K) Access Control and Identity Management System—COMMERCE/DEPT-25, but only on condition that the general exemption claimed in § 4.33(b)(4) is held to be invalid; and (L) Investigation and Threat Management Records—COMMERCE/DEPT-27, but only on condition that the general exemption claimed in § 4.33(b)(4) is held to be invalid. (ii) 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). [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62565, Oct. 20, 2014; 80 FR 68443, Nov. 5, 2015; 86 FR 49921, Sept. 7, 2021; 91 FR 7117, Feb. 17, 2026] Appendix A to Part 4—Freedom of Information Public Inspection Facilities, and Addresses for Requests for Records Under the Freedom of Information Act and Privacy Act, and Requests for Correction or Amendment Under the Privacy Act Each address listed below is the respective component's mailing address for receipt and processing of requests for records under the Freedom of Information Act and Privacy Act, for requests for correction or amendment under the Privacy Act and, unless otherwise noted, its public inspection facility for records available to the public under the Freedom of Information Act. Requests should be addressed to the component the requester knows or has reason to believe has possession of, control over, or primary concern with the records sought. Otherwise, requests should be addressed to the Departmental FOIA Office identified in paragraph (1) of this appendix. The telephone and facsimile numbers for each component are included after its address, as well as email addresses for components that maintain an email address for the purposes of receiving of FOIA and Privacy Act requests. Records of components that are required to be made publicly available are available electronically either through the Department's “Electronic FOIA Library” on the Department's Web site, http://www.doc.gov, i.e., http://www.doc.gov. (1) U.S. Department of Commerce, Office of Privacy and Open Government, Departmental FOIA Office, 14th and Constitution Avenue NW, Room H61025, Washington, DC 20230; Phone: (202) 482-3258; Fax: (202) 482-0827; Email: [email protected]. https://osec.doc.gov/opog/FOIA/FOIA_Requests.html#File. http://www.doc.gov. (2) Bureau of the Census, Policy Coordination Office, U.S. Department of Commerce, Room 8H027, 4600 Silver Hill Road, Suitland, Maryland 20233; Phone: (301) 763-6440; Fax: (301) 763-6239 (ATTN.: FOIA Office); Email: [email protected]. http://www.census.gov. (3) Bureau of Economic Analysis, Office of the Under Secretary for Economic Affairs, U.S. Department of Commerce, Bureau of Economic Analysis, Communications Division, Mail Stop BE-64, Room 8K114F, Washington, DC 20230; Phone: 301-278-9798; Email: [email protected]. (4) Bureau of Industry and Security, Office of Administration, U.S. Department of Commerce, 14th and Constitution Avenue NW, Room H6622, Washington, DC 20230; Phone: (202) 482-0953; Fax: (202) 482-0326; Email: [email protected]. http://www.bis.doc.gov. (5) Economic Development Administration, Office of the Chief Counsel, U.S. Department of Commerce, 14th and Constitution Avenue NW, Room 72023, Washington, DC 20230; Phone: (202) 482-3085; Fax: (202) 482-5671. This component maintains a separate online Electronic FOIA Library through its website, http://www.eda.gov. (i) Atlanta Regional Office, EDA, U.S. Department of Commerce, 401 West Peachtree Street NW, Suite 1820, Atlanta, Georgia 30308; Phone: (404) 730-3006. (ii) Austin Regional Office, EDA, U.S. Department of Commerce, 504 Lavaca Street, Suite 1100, Austin, Texas 78701; Phone: (512) 381-8165. (iii) Chicago Regional Office, EDA, U.S. Department of Commerce, 111 North Canal Street, Suite 855, Chicago, Illinois 60606; Phone: (312) 353-8143. (iv) Denver Regional Office, EDA, U.S. Department of Commerce, 410 17th Street, Suite 250, Denver, Colorado 80202; Phone: (303) 844-4404. (v) Philadelphia Regional Office, EDA, U.S. Department of Commerce, Robert N.C. Nix Federal Building, 900 Market Street, Room 602, Philadelphia, Pennsylvania 19107, Phone: (215) 597-4603. (vi) Seattle Regional Office, EDA, U.S. Department of Commerce, Jackson Federal Building, Room 1890, 915 Second Avenue, Seattle, Washington 98174; Phone: (206) 220-7663. (6) International Trade Administration, Office of Strategic Resources, U.S. Department of Commerce, 14th and Constitution Avenue NW, Room 40003, Washington, DC 20230; Phone: (202) 482-7937; Fax: (202) 482-1584; Email: [email protected]. (7) Minority Business Development Agency, Office of Administration and Employee Support Services, U.S. Department of Commerce, 14th and Constitution Avenue NW, Room 5092, Washington, DC 20230; Phone: (202) 482-2419; Fax: (202) 482-2500; Email: [email protected]. http://www.mbda.gov. (8) National Institute of Standards and Technology, Management and Organization Office, U.S. Department of Commerce, 100 Bureau Drive, Room 1710, Gaithersburg, Maryland 20899-1710; Phone: (301) 975-4054; Fax: (301) 975-5301; Email: [email protected]. (9) National Oceanic and Atmospheric Administration, U.S. Department of Commerce, 1315 East-West Highway (SSMC3), Room 9719, Silver Spring, Maryland 20910; Phone: (301) 628-5658; Fax: (301) 713-1169; Email: [email protected]. http://www.noaa.gov. (10) National Technical Information Service, Office of the Chief Information Officer, U.S. Department of Commerce, 5301 Shawnee Road, Room 227, Alexandria, Virginia 22312; Phone: (703) 605-6710; Fax: (703) 605-6764. This component maintains a separate online Electronic FOIA Library through its website, http://www.ntis.gov. (11) National Telecommunications and Information Administration, Office of the Chief Counsel, U.S. Department of Commerce, 14th and Constitution Avenue NW, Room 4713, Washington, DC 20230; Phone: (202) 482-1816; Fax: (202) 501-8013; Email: [email protected]. (12) Office of Inspector General, FOIA and Records Management Specialist, U.S. Department of Commerce, 14th and Constitution Avenue NW, Room 7898C, Washington, DC 20230; Phone: (202) 794-8066; Email: [email protected]. http://www.oig.doc.gov. [79 FR 62566, Oct. 20, 2014, as amended at 83 FR 39596, Aug. 10, 2018; 88 FR 36471, June 5, 2023] Appendix B to Part 4—Officials Authorized To Deny Requests for Records Under the Freedom of Information Act, and Requests for Records and Requests for Correction or Amendment Under the Privacy Act The officials of the Department listed below and their superiors have authority, with respect to the records for which each is responsible, to deny requests for records under the FOIA, 1 http://www.doc.gov. 1 OFFICE OF THE SECRETARY Office of the Secretary: Office of Business Liaison: Office of Public Affairs: Assistant Secretary for Legislative and Intergovernmental Affairs; Deputy Assistant Secretary for Legislative and Intergovernmental Affairs Office of Inspector General: Office of the General Counsel: Office of Executive Support: Office of Chief Information Officer: ASSISTANT SECRETARY FOR ADMINISTRATION Office of Civil Rights: Office of Budget: Office of Privacy and Open Government: Office of Program Evaluation and Risk Management: Office of Financial Management: Office of Human Resources Management: Office of Administrative Services: Office of Security: Office of Acquisition Management: Office of Acquisition Services: Office of Small and Disadvantaged Business Utilization: BUREAU OF INDUSTRY AND SECURITY Under Secretary Deputy Under Secretary Director, Office of Administration Director, Office of Planning, Evaluation and Management Assistant Secretary for Export Administration Deputy Assistant Secretary for Export Administration Director, Office of Strategic Industries and Economic Security Director, Office of Nonproliferation Controls and Treaty Compliance Director, Office of Exporter Services Assistant Secretary for Export Enforcement Deputy Assistant Secretary for Export Enforcement Director, Office of Export Enforcement Director, Office of Enforcement Analysis Director, Office of Antiboycott Compliance ECONOMICS AND STATISTICS ADMINISTRATION Office of Administration: Bureau of Economic Analysis: Bureau of the Census: ECONOMIC DEVELOPMENT ADMINISTRATION Freedom of Information Officer INTERNATIONAL TRADE ADMINISTRATION Executive Administration Under Secretary for International Trade Deputy Under Secretary for International Trade Chief Counsel for International Trade Chief Counsel for Enforcement and Compliance Trade Promotion Coordinating Committee Secretariat Director, Office of Public Affairs Director, Office of Legislative and Intergovernmental Affairs Chief Information Officer Deputy Chief Information Officer Chief Administrative Officer, Office of the Chief Information Officer Chief Financial and Administration Officer Deputy Chief Financial Administrative Officer Director, Budget Division Director, Financial Management and Administrative Oversight Division Director, Business Operations and Policy Compliance Division Director, Performance Management and Employee Programs Division Freedom of Information Act Officer Enforcement and Compliance Assistant Secretary for Enforcement and Compliance Deputy Assistant Secretary for Enforcement and Compliance Director, Office of Foreign Trade Zones Staff Director, Office of Operations Support Deputy Assistant Secretary for Antidumping and Countervailing Duty Operations Executive Director, Antidumping and Countervailing Duty Operations Director, Office of Antidumping and Countervailing Duty Enforcement I Director, Office of Antidumping and Countervailing Duty Enforcement II Director, Office of Antidumping and Countervailing Duty Enforcement III Director, Office of Antidumping and Countervailing Duty Enforcement IV Director, Office of Antidumping and Countervailing Duty Enforcement V Director, Office of Antidumping and Countervailing Duty Enforcement VI Director, Office of Antidumping and Countervailing Duty Enforcement VII Deputy Assistant Secretary for Policy & Negotiations Director, Office of Trade Agreements Negotiations and Compliance Director, Office of Accounting Director, Office of Policy Global Markets Assistant Secretary of Global Markets and Director General for the US&FCS Deputy Director General Principal Deputy Assistant Secretary Executive Director, Advocacy Center Director, Business Information and Technology Office Director, Global Knowledge Center Director, Office of Budget Director, Office of Foreign Service Human Capital Director, Office of Strategic Planning Director, Office of Administrative Services Executive Director, SelectUSA Deputy Assistant Secretary for U.S. Field National U.S. Field Director Deputy Assistant Secretary for Asia Executive Director for Asia Director, Office of the ASEAN and Pacific Basin Director, Office of East Asia and APEC Director, Office of South Asia Deputy Assistant Secretary for China, Hong Kong, and Mongolia Executive Director for China, Hong Kong, and Mongolia Director, Office of China, Hong Kong, and Mongolia Deputy Assistant Secretary for Western Hemispheres Executive Director for Western Hemispheres Director, Office of North and Central America Director, Office of South America Deputy Assistant Secretary for Europe, Middle East, and Africa Executive Deputy Assistant Secretary for Europe, Middle East, and Africa Executive Director for Europe and Eurasia Director, Office of Europe Country Affairs Director, Office of the European Union Director, Office of Russia, Ukraine, and Eurasia Executive Director for Africa and Middle East Director, Office of the Middle East and North Africa Director, Office of Sub-Saharan Africa Industry and Analysis Assistant Secretary for Industry and Analysis Deputy Assistant Secretary for Industry and Analysis Trade Agreements Secretariat Executive Director, Office of Trade Programs and Strategic Partnerships Director, Trade Promotion Programs Director, Strategic Partnerships Director, Office of Advisory Committees and Industry Outreach Director, Office of Planning, Coordination and Management Deputy Assistant Secretary for Services Director, Office of Financial and Insurance Industries Director, Office of Digital Service Industries Director, Office of Supply Chain, Professional and Business Services Executive Director for National Travel and Tourism Office Director, Office of Travel and Tourism Industries Deputy Assistant Secretary for Trade Policy and Analysis Director, Office of Standards and Investment Policy Director, Office of Trade and Economic Analysis Director, Office of Trade Negotiations and Analysis Director, Office of Intellectual Property Rights Deputy Assistant Secretary for Manufacturing Director, Office of Energy and Environmental Industries Director, Office of Transportation and Machinery Director, Office of Health and Information Technologies Deputy Assistant Secretary for Textiles, Consumer Goods, and Materials Director, Office of Textiles and Appeal Director, Office of Materials Director, Office of Consumer Goods MINORITY BUSINESS DEVELOPMENT AGENCY Chief Counsel Freedom of Information Officer NATIONAL INSTITUTE OF STANDARDS AND TECNOLOGY Chief, Management and Organization Office NIST Counsel NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION Under Secretary Deputy Under Secretary for Operations Chief, Resource and Operations Management Director, Office of Communications and External Affairs Director, Office of Marine and Aviation Operations General Counsel Deputy General Counsel Assistant Administrator for National Ocean Services Deputy Assistant Administrator for National Ocean Services Assistant Administrator for National Marine Fisheries Service Deputy Assistant Administrator for Operations for National Marine Fisheries Service Deputy Assistant Administrator for Regulatory Programs for National Marine Fisheries Service Assistant Administrator for National Weather Services Deputy Assistant Administrator for National Weather Services Assistant Administrator for National Environmental Satellite, Data, and Information Service Deputy Assistant Administrator for National Environmental Satellite, Data, and Information Service Assistant Administrator for Oceanic and Atmospheric Research Deputy Assistant Administrator for Programs & Administration (Oceanic and Atmospheric Research) Assistant Administrator for Program, Planning and Integration Chief Administrative Officer Chief Financial Officer Chief Information Officer Director, Acquisition and Grants Office Deputy Director, Acquisition and Grants Office Head of Contracting Offices, Acquisition and Grants Office Director, Workforce Management Office Senior Advisor for International Affairs Director, Office of Legislation & Intergovernmental Affairs Freedom of Information Officer NATIONAL TECHNICAL INFORMATION SERVICE Director Deputy Director Chief Financial Officer/Associate Director for Finance and Administration NATIONAL TELECOMMUNICATIONS AND INFORMATION ADMINISTRATION Deputy Assistant Secretary Chief Counsel Deputy Chief Counsel [79 FR 62567, Oct. 20, 2014, as amended at 86 FR 21935, Apr. 26, 2021; 91 FR 7117, Feb. 17, 2026] Appendix C to Part 4—Systems of Records Noticed by Other Federal Agencies and Applicable to Records of the Department and Applicability of This Part Thereto Category of records Other Federal Agency Federal Personnel Records Office of Personnel Management. 1 Federal Employee Compensation Act Program Program Department of Labor. 2 Equal Employment Opportunity Appeal Complaints Equal Employment Opportunity Commission. 3 Formal Complaints/Appeals of Adverse Personnel Actions Merit Systems Protection Board. 4 1 2 3 4

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