would be detrimental to the authorized and appropriate purposes for which the material is being used, or if, because of its tentative nature, the material is likely to be revised or modified before it is officially presented to the public. (c) Examples of records covered by this section include minutes, to the extent they contain matter described in paragraph (a) of this section, staff papers containing advice, opinions, suggestions, or exchanges of views, preliminary to final agency decision or action; budgetary planning and programming information; advance information on such things as proposed plans to procure, lease, or otherwise hire and dispose of materials, real estate, or facilities; documents exchanged preparatory to anticipated legal proceedings; material intended for public release at a specified future time, if premature disclosure would be detrimental to orderly processes of the Department; records of inspections, investigations, and surveys pertaining to internal management of the Department; and matters that would not be routinely disclosed under disclosure procedures in litigation and which are likely to be the subject of litigation. However, if such a record also contains factual information, that information must be made available under § 7.15, unless the facts are so inextricably intertwined with deliberative or policymaking processes, that they cannot be separated without disclosing those processes. § 7.73 Protection of personal privacy. (a) Any of the following personnel, medical, or similar records is within the statutory exemption if its disclosure would harm the individual concerned or be a clearly unwarranted invasion of his personal privacy: (1) Personnel and background records personal to any officer or employee of the Department, or other person, including his home address. (2) Statements of financial interests furnished by employees of the Department. (3) Medical histories and medical records concerning individuals, including applicants for licenses. (4) Any other detailed record containing personal information identifiable with a particular person. (b) The purpose of this section is to provide a proper balance between the protection of personal privacy and the preservation of the public's right to Departmental information by authorizing the protection of information that, if released, might unjustifiably invade an individual's personal privacy. § 7.75 Investigatory records compiled for law enforcement purposes. (a) Records compiled by the Department for law enforcement purposes, including the enforcement of the regulations of the Department, are within the statutory exemption to the extent that production of such records would: (1) Interfere with enforcement proceedings, (2) Deprive a person of a right to a fair trial or an impartial adjudication, (3) Constitute an unwarranted invasion of personal privacy, (4) Disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, confidential information furnished only by the confidential source, (5) Disclose investigative techniques and procedures, or (6) Endanger the life or physical safety of law enforcement personnel. (b) The purpose of this section is to protect from disclosure the law enforcement files of the Department, including files prepared in connection with related litigation and adjudicative proceedings. It includes the enforcement not only of criminal statutes but all kinds of laws. 87.77 Reports of financial institutions. Any material contained in or related to any examination, operating, or condition report prepared by, on behalf of, or for the use of, any agency responsible for the regulation or supervision of financial institutions is within the statutory exemption. (a) Each officer or employee of the Department who, upon a request by a member of the public for a record under this part, makes a determination that the record is not to be disclosed, will give a written statement of his reasons for that determination to the person making the request; and indicate the name and title or position of each person responsible for the denial of such request, and the availability of an appeal within the Department. (b) Any person to whom a record has not been made available within the time limits established by Subpart C and any person who has been given a determination pursuant to paragraph (a) of this section, that a record he has requested will not be disclosed, may apply to the head of the operating administration concerned, or in the case of the Office of the Secretary, to the General Counsel of the Department, for reconsideration of the request. Any person on whose request an initial determination has not been made within the time limits established by Subpart C may consider his request denied and may appeal this denial either administratively or judicially. A determination that a record will not be disclosed is not administratively final for the purposes of judicial review unless it was made by the head of the operating administration concerned (or his designee), or the General Counsel, as the case may be, unless the applicable time limit has passed without a determination of the appeal having been made. Upon a determination that an appeal will be denied, the requester shall be informed in writing of the reasons for the determination, and the names and titles or positions of each person responsible for the de termination, and that the determination may be appealed to the district court of the United States in the district in which the complainant resides, or has his principal place of business, or in which the records are located, or in the District of Columbia. (c) Each application for reconsideration must be made in writing within sixty days from the date of receipt of the original denial and must include all information and arguments relied upon by the person making the request. Such application must indicate that it is an appeal from a denial of a request made under the Freedom of Information Act. The envelope in which the application is sent must be prominently marked with the letters "FOIA". If these requirements are not met, the twenty day time limit described in § 7.23 will not begin to run until the application has been identified by an employee of the Department as an application under the Freedom of Information Act and has been received by the appropriate office. (d) Whenever the head of the operating administration concerned, or the General Counsel, as the case may be, determines it to be necessary, he may require the person making the request to furnish additional information, or proof of factual allegations, and may order other proceedings appropriate in the circumstances. The decision of the head of the operating administration concerned, or the General Counsel, as the case may be, as to the availability of the record is administratively final. (e) The decision by the head of the operating administration concerned, or the General Counsel, as the case may be, not to disclose a record under this part is considered to be a withholding by the Secretary for the purposes of section 552(a)(3) of Title 5, United States Code. (f) Any final decision by the head of an operating administration or his delegee identified in Appendices B through H of this part, not to disclose a record under this part is subject to concurrence by the General Counsel. [40 FR 7915, Feb. 24, 1975; 40 FR 10471, Mar. 6, 1975] (a) This subpart prescribes fees for services performed for the public under Subparts E and F of this part by the Department of Transportation. (b) This subpart does not apply to any special study, special statistical compilation, table or other record requested under section 9(n) of the Department of Transportation Act. The fee for the performance of such a service is the actual cost of the work involved in compiling the record. All moneys received by the Department in payment of the cost of the work are deposited in a separate account administered under the direction of the Secretary, and may be used for the ordinary expenses incidental to the work. § 7.93 Payment of fees. The fees prescribed in this subpart may be paid by check, draft, or postal money order, payable to the Treasury of the United States. Except as provided in § 7.53(f), the fees are payable in advance. The applicant must furnish the necessary number of blank magnetic tapes. The tapes must be compatible for use in the supplier's computer system, 1⁄2 inch wide and 2,400 feet long, and must be capable of recording data at a density of 556 or 800 characters per inch. Unless otherwise designated, the tapes will be recorded at 556 CPI density. The Department of Transportation is not responsible for damaged tape. However, if the applicant furnishes a replacement for a damaged tape, the duplication process is completed at no additional charge. 1.25 3.15 3.50 6.25 36.00 (g) Microreproduction fees are as follows: (1) Microfilm copies, each 100-foot roll or less.... (2) Microfiche copies, each standard size sheet (4" x 6", containing up to 65 frames)..... (h) Data processed record, each 1,000 lines or fraction thereof.. (i) Preprinted materials, shelf stock, on color standard sizes: (1) Each page (excluding blanks)... (i) Other records: The fee for a copy of a record not described in paragraphs (b) through (i) of this section will be supplied on request. The amount of that fee will be the cost of producing and handling. (k) The fee for a search and copy of any record where the cost will obviously be more than $2 will be determined in accordance with the policy of the Freedom of Information Act. § 7.97 Services performed without charge or at a reduced charge. (a) No fee is charged for time spent in preparing correspondence related to a request and in making determinations pursuant to § 7.81. (b) No fee is charged for documents furnished in response to: (1) A request from an employee or former employee of the Department for copies of personnel records of the employee; (2) A request from a member of Congress for his official use; (3) A request from a State, territory, U.S. possession, county or municipal government, or an agency thereof; (4) A request from a court that will serve as a substitute for the personal court appearance of an officer or employee of the Department; (5) A request from a foreign government or an agency thereof, or an international organization. (c) Documents will be furnished without charge or at a reduced charge, if the Director of Public Affairs, or the head of the operating administration concerned, as the case may be, determines that waiver or reduction of the fee is in the public interest, because furnishing the information can be considered as primarily benefiting the general public. Examples of requests that may fall within this paragraph are reasonable requests from groups engaged in a nonprofit activity designed for the public safety, health, or welfare; schools; and students engaged in study in the field of transportation. § 7.99 Transcripts. Transcripts of hearings and oral argument are available for inspection. Where transcripts are prepared by a nongovernment contractor, and the contract permits the Department to handle the reproduction of further copies, the provisions of Subpart I apply. Where the contract for transcription services reserves the sales privilege to the reporting service, any duplicate copies should be purchased directly from the reporting service. § 7.101 Alternate sources of information. In the interest of making documents of general interest publicly available at as reasonable a cost as possible, alternate sources are arranged whenever practicable. In appropriate instances, material that is published and offered for sale may be obtained from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402; the Commerce Department's National Technical Information Service (NTIS), Springfield, Va. 22151; the National Audio-Visual Center, National Archives and Records Service, General Services Administration, Washington, D.C. 20405; or the Consumer Product Information Coordinating Center, General Services Administration, Washington, D.C. 20407. APPENDIX A-OFFICE OF THE SECRETARY 1. General. This appendix describes the location and hours of operation of the document inspection facility of the Office of the Secretary (OST); the kinds of records that are available for public inspection and copying at the facility; and the procedures by which members of the public may make requests for records. 2. Document Inspection Facility. The document inspection facility for the Office of the Secretary is maintained by the Director of Public Affairs, Room 10106, Nassif Building, 400 Seventh Street, SW., Washington, D.C. This facility is open to the public from 9 a.m. to 5:30 p.m. local time, Monday through Friday except Federal holidays. 3. Records available through the document inspection facility. The following records are available through the document inspection facility: (b) Final opinions (including concurring or dissenting opinions) and orders made in the adjudication of cases and issued from within the Office of the Secretary. (c) Any policy or interpretation issued within the Office of the Secretary, including any policy or interpretation concerning a particular factual situation, if that policy or interpretation can reasonably be expected to have precedential value in any case involving a member of the public in a similar situation. (d) Any administrative staff manual or instruction to staff, issued from within the Office of the Secretary, that affects any member of the public, including the prescribing of any standard, procedure, or policy that when implemented requires or limits any action of any member of the public or prescribes the manner of performance of any activity by any member of the public. (e) DOT Orders. DOT orders which are issued by the Department of Transportation and used primarily to promulgate internal DOT policy, instructions, and general guid ance. (f) DOT Notices. DOT notices which are issued by the Department of Transportation and contain short-term instructions or information which is expected to remain in effect for less than 90 days or for a predetermined period of time normally not to exceed one year. (g) OST Orders. OST orders which are issued by the Office of the Secretary and used primarily to promulgate internal OST policy, instructions, and general guidance. (h) OST Notices. OST notices which are issued by the Office of the Secretary and contain short-term instructions or information which is expected to remain in effect for less than 90 days or for a predetermined period of time normally not to exceed one year. 4. Requests for records under Subpart E of this part. Each person desiring to inspect a record, or to obtain a copy thereof, may submit his request in writing to the Director of Public Affairs, U.S. Department of Transportation, 400 Seventh Street, SW., Washington, D.C. 20590. [Amdt. 7-10, 40 FR 20276, May 9, 1975] APPENDIX B-UNITED STATES COAST GUARD 1. General. This appendix describes the document inspection facilities of the U.S. Coast Guard, the kinds of records that are available for public inspection and copying at those facilities and the procedures by which members of the public may make requests for identifiable records. 1 2. Document inspection facilities. The document inspection facilities are located at the offices of the Commandant and District Commanders. These facilities are open to the public during regular working hours at the following addresses: Commandant (A), U.S. Coast Guard, Washington, D.C. 20591. The facility is located at Coast Guard Headquarters, Office of Public and International Affairs, 400 7th Street, SW. District Office, Commander, 1st Coast Commander, 3d Coast Guard District Governors Island, New York, New York 10004. Commander, 5th Coast Guard District, Fed eral Building, 431 Crawford Street, Portsmouth, Va. 23705. Commander, 7th Coast Guard District, Federal Building, Room 1012, 51 SW. First Ave., Miami, Florida. Commander, 8th Coast Guard District, Customhouse, New Orleans, La. 70130. Commander, 9th Coast Guard District, 1240 East Ninth Street, Cleveland, Ohio 44199. Commander, 11th Coast Guard District, Heartwell Building, 19 Pine Avenue, Long Beach, Calif. 90802. Commander, 12th Coast Guard District, 630 Sansome Street, San Francisco, Calif. 94126. Commander, 13th Coast Guard District, 618 Second Avenue, Seattle, Wash. 93104. Commander, 14th Coast Guard District, P.O. Box 48, FPO San Francisco 96610. Commander, 17th Coast Guard District, FPO Seattle 98771. 3. Records available at document inspections facilities. (a) The following records are available at any U.S. Coast Guard document inspection facility: (1) Final opinions and orders made in the adjudication of cases by the Commandant, U.S. Coast Guard. (2) U.S. Coast Guard numbered publications that affect any member of the public, including the prescribing of any standard, procedure, or policy that, when implemented, requires or limits any action of any member of the public or prescribes the manner of performance of any activity by any member of the public. (b) Opinions and orders of administrative law judges are available at the document inspection facility of the Office of the Commandant and the district in which the administrative law judge is located. (c) Policies and interpretations issued within the U.S. Coast Guard (including any policy or interpretation concerning a particular factual situation, if that policy or in terpretation can reasonably be expected to have precedential value in any case involving a member of the public in a similar situation) are available at the document inspection facility of the Office of the Commandant. (d) An index of the records located at each facility is maintained at that facility. (e) The records and the index may be inspected, at the facility, without charge. Copies of records may be obtained upon payment of the fee prescribed in Subpart H of this part. 4. Requests for identifiable records under Subpart E of this part. Each person desiring to inspect a record, or obtain a copy thereof, must submit his request in writing to the U.S. Coast Guard office from which such record may be made available. The addresses of the offices of the Commandant and District Commanders are listed in section 2 of this appendix. If the appropriate office to submit a request for a particular record is unknown, the request may be submitted to the Office of the Commandant at the address listed in section 2 of this appendix. The following table gives illustrations of types of records and specifies where requests for such records are appropriately addressed: (a) Examples of records for which requests may properly be made to either the Office of the Commandant, U.S. Coast Guard or office of the appropriate District Commander include the following: (1) Marine casualty investigation records. (2) Records of certificates and licenses issued. (3) Merchant vessel inspection records. (4) Records of merchant vessel documentation and recording of sales and other dispositions. (5) Records of Coast Guard property and contracts. (b) Examples of records for which requests may properly be made to the Office of the Commandant, U.S. Coast Guard include the following: (1) Central files of merchant seamen. (2) Merchant vessel shipping articles. (3) Merchant vessel equipment approvals. (4) Merchant Marine Council proceedings. (5) Recreational boating records. (6) Great Lakes Pilotage records. (7) Records pertaining to bridges over navigable waters. (8) Central files of Coast Guard personnel. (9) Coast Guard courts-martial records. (10) Coast Guard vessel and shore station log books more than 1 year old on January 1 of the year the request is made. (c) Examples of records for which requests may properly be made to the office of the appropriate District Commander include the following: |