[Code of Federal Regulations] [Title 15, Volume 1] [Revised as of January 1, 2002] From the U.S. Government Printing Office via GPO Access [CITE: 15CFR4.34] [Page 53-59] TITLE 15--COMMERCE AND FOREIGN TRADE PART 4--DISCLOSURE OF GOVERNMENT INFORMATION--Table of Contents Subpart B--Privacy Act Sec. 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 by the Department that are within this exemption are: COMMERCE/ITA-1, COMMERCE/ITA-2, COMMERCE/ITA-3, COMMERCE/NOAA-11, COMMERCE/PAT-TM-4, COMMERCE/DEPT-12, COMMERCE/DEPT-13, and COMMERCE/ DEPT-14. (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 hereunder appear in paragraph (a) of this section. The claims for exemption of COMMERCE/DEPT-12, COMMERCE/ITA-1, and COMMERCE/NOAA-11 under this paragraph are subject to the condition that the general exemption claimed in Sec. 4.33(b)(3) 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 [[Page 54]] 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/ITA-1, but only on condition that the general exemption claimed in Sec. 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-11, but only on condition that the general exemption claimed in Sec. 4.33(b)(2) is held to be invalid; (D) Investigative and Inspection Records--COMMERCE/DEPT-12, but only on condition that the general exemption claimed in Sec. 4.33(b)(3) is held to be invalid; (E) Investigative Records--Persons Within the Investigative Jurisdiction of the Department--COMMERCE/DEPT-13; (F) Litigation, Claims and Administrative Proceeding Records-- COMMERCE/DEPT-14; and (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) Agriculture Census Records for 1974 and 1978--COMMERCE/CENSUS-1; (B) Individual and Household Statistical Surveys and Special Census Studies Records-- COMMERCE/CENSUS-3; (C) Minority-Owned Business Enterprises Survey Records-- COMMERCE/ CENSUS-4; (D) Population and Housing Census Records of the 1960 and Subsequent Censuses--COMMERCE/ CENSUS-5; (E) Population Census Personal Service Records for 1900 and All Subsequent Decennial Censuses--COMMERCE/CENSUS-6; and (F) Special Censuses of Population Conducted for State and Local Government--COMMERCE/CENSUS-7. (G) Statistical Administrative Records System--COMMERCE/CENSUS-8. (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-4; (F) Commissioned Officer Official Personnel Folders--COMMERCE/NOAA- 7; (G) Conflict of Interest Records, Appointed Officials--COMMERCE/ DEPT-3; (H) Investigative and Inspection Records--COMMERCE/DEPT-12, but [[Page 55]] only on condition that the general exemption claimed in Sec. 4.33(b)(3) is held to be invalid; (I) Investigative Records--Persons Within the Investigative Jurisdiction of the Department--COMMERCE/DEPT-13; and (J) Litigation, Claims, and Administrative Proceeding Records-- COMMERCE/DEPT-14. (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). 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 Central Reference and Records Inspection Facility. The telephone number for each component is included after its address. Public inspection facilities are open to the public Monday through Friday (excluding Saturdays, Sundays, and legal public holidays) between 9 a.m. and 4 p.m. local time of the facility at issue. Certain public inspection facility records of components are also available electronically through the Department's ``FOIA Home Page'' link found at the Department's World Wide Web site (http:// www.doc.gov)), as described in Sec. 4.2(b). The Departmental Freedom of Information Officer is authorized to revise this appendix to reflect changes in the information contained in it. Any such revisions shall be posted at the Department's ``FOIA Home Page'' link found at the Department's World Wide Web site (http://www.doc.gov). (1) Department of Commerce Freedom of Information Central Reference and Records Inspection Facility, U.S. Department of Commerce, Room 6022, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-4115. This facility serves the Office of the Secretary, all other components of the Department not identified below, and those components identified below that do not have separate public inspection facilities. (2) Bureau of the Census, Policy Office, U.S. Department of Commerce, Federal Building 3, Room 2430, Suitland, Maryland 20233; (301) 457-2520. This agency maintains a separate public inspection facility in Room 2455, Federal Building 3, Suitland, Maryland 20233. (3) Bureau of Economic Analysis/Economics and Statistics Administration, Office of the Under Secretary for Economic Affairs, Department of Commerce, Room 4836, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-3308. This component does not maintain a separate public inspection facility. (4) Bureau of Export Administration, Office of Administration, U.S. Department of Commerce, Room 6883, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-0500. This component does not maintain a separate public inspection facility. (5) Economic Development Administration, Office of the Chief Counsel, U.S. Department of Commerce, Room 7005, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-4687. Regional EDA offices (none of the following regional EDA offices maintains a separate public inspection facility): (i) Philadelphia Regional Office, EDA, U.S. Department of Commerce, Curtis Center, Suite 140 South, Independence Square West, Philadelphia, Pennsylvania 19106; (215) 597-7896. (ii) Atlanta Regional Office, EDA, U.S. Department of Commerce, 401 West Peachtree Street, NW, Suite 1820, Atlanta, GA 30308; (404) 730- 3006. (iii) Denver Regional Office, EDA, U.S. Department of Commerce, Room 670, 1244 Speer Boulevard, Denver, Colorado 80204; (303) 844-4716. (iv) Chicago Regional Office, EDA, U.S. Department of Commerce, 111 North Canal [[Page 56]] Street, Suite 855, Chicago, IL 60606; (312) 353-8580. (v) Seattle Regional Office, EDA, U.S. Department of Commerce, Jackson Federal Building, Room 1856, 915 Second Avenue, Seattle WA 98174; (206) 220-7701. (vi) Austin Regional Office, EDA, U.S. Department of Commerce, 327 Congress Avenue, Suite 200, Austin, Texas 78701; (512) 381-8169. (6) International Trade Administration, Office of Organization and Management Support, U.S. Department of Commerce, Room 4001, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-3032. (7) Minority Business Development Agency, Data Resources Division, U.S. Department of Commerce, Room 5084, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-2025. This agency does not maintain a separate public inspection facility. (8) National Institute of Standards and Technology, Management and Organization Division, Administration Building, Room A525, 100 Bureau Drive, Gaithersburg, Maryland 20899; (301) 975-4054. This agency maintains a separate public inspection facility in Room E-106, Administration Building, Gaithersburg, Maryland. (9) National Oceanic and Atmospheric Administration, Public Reference Facility (OFAx2) 1315 East West Highway (SSMC3), Room 10730, Silver Spring, Maryland 20910; (301) 713-3540. (10) National Technical Information Service, Office of Administration, 5285 Port Royal Road, Springfield, Virginia 22161; (703) 605-6449. This agency does not maintain a separate public inspection facility. (11) National Telecommunications and Information Administration, Office of the Chief Counsel, U.S. Department of Commerce, Room 4713, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-1816. This component does not maintain a separate public inspection facility. (12) Office of Inspector General, Counsel to the Inspector General, U.S. Department of Commerce, Room 7892, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-5992. This component does not maintain a separate public inspection facility. (13) Technology Administration, Office of the Under Secretary, U.S. Department of Commerce, Room 4835, 14th and Constitution Avenue, NW, Washington, DC 20230; (202) 482-1984. This component does not maintain a separate public inspection facility. 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\ and requests for records and requests for correction or amendment under the PA. In addition, the Departmental Freedom of Information Officer and the Freedom of Information Officer for the Office of the Secretary have the foregoing FOIA and PA denial authority for all records of the Department, and the Departmental Freedom of Information officer is authorized to assign that authority, on a case-by-case basis only, to any of the officials listed below, if the records responsive to a request include records for which more than one official listed below is responsible. The Departmental Freedom of Information Officer is authorized to revise this appendix to reflect changes in designation of denial officials. Any such revisions shall be posted at the Department's ``FOIA Home Page'' link found at the Department's World Wide Web site (http://www.doc.gov). --------------------------------------------------------------------------- \1\ The foregoing officials have sole authority under Sec. 4.7(b) to deny requests for records in any respect, including, for example, denying requests for reduction or waiver of fees. --------------------------------------------------------------------------- Office of the Secretary Office of the Secretary: Executive Secretary; Freedom of Information Officer Office of Business Liaison: Director Office of Public Affairs: Director; Deputy Director; Press Secretary; Deputy Press Secretary Assistant Secretary for Legislative and Intergovernmental Affairs; Deputy Assistant Secretary for Legislative and Intergovernmental Affairs Office of the Inspector General: Counsel to the Inspector General; Deputy Counsel to the Inspector General Office of the General Counsel: Deputy General Counsel; Assistant General Counsel for Administration Office of Executive Support: Director [[Page 57]] Assistant Secretary for Administration Office of Civil Rights: Director Office of Budget: Director Office of Management and Organization: Director Office of Chief Information Officer: Director Office of Executive Budgeting and Assistance Management: Director Office of Executive Assistance Management: Director; Grants Officer Departmental Freedom of Information Officer. Office of Financial Management: Director Office of Human Resources Management: Director; Deputy Director. Office of Administrative Services: Director Office of Security: Director, Deputy Director Office of Acquisition Management: Director Office of Acquisition Services: Director Office of Small and Disadvantaged Business Utilization: Director Bureau of Export Administration 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 Strategic Trade and Foreign Policy Controls 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: Director Bureau of Economic Analysis: Director Bureau of the Census: Chief, Policy Office Economic Development Administration Freedom of Information Officer International Trade Administration Under Secretary for International Trade Deputy Under Secretary for International Trade Counselor to the Department Director, Trade Promotion Coordinating Committee Secretariat Director, Office of Public Affairs Director, Office of Legislative and Intergovernmental Affairs Administration Chief Financial Officer and Director of Administration Director, Office of Organization and Management Support Director, Office of Human Resources Management Director, Office of Information Resources Management ITA Freedom of Information Officer Import Administration Assistant Secretary for Import Administration Deputy Assistant Secretary for Antidumping and Countervailing Duty Enforcement I Deputy Assistant Secretary for Antidumping and Countervailing Duty Enforcement II Deputy Assistant Secretary for Antidumping and Countervailing Duty Enforcement III Director for Policy and Analysis Director, Office of Policy Director, Office of Accounting Director, Central Records Unit Director, Foreign Trade Zones Staff Director, Statutory Import Programs Staff Director, Office of Antidumping Countervailing Duty Enforcement I Director, Office of Antidumping Countervailing Duty Enforcement II Director, Office of Antidumping Countervailing Duty Enforcement III Director, Office of Antidumping Countervailing Duty Enforcement IV Director, Office of Antidumping Countervailing Duty Enforcement V Director, Office of Antidumping Countervailing Duty Enforcement VI Director, Office of Antidumping Countervailing Duty Enforcement VII Director, Office of Antidumping Countervailing Duty Enforcement VIII Director, Office of Antidumping Countervailing Duty Enforcement IX Market Access and Compliance Assistant Secretary for Market Access and Compliance Deputy Assistant Secretary for Agreements Compliance Deputy Assistant Secretary for the Middle East and North Africa Deputy Assistant Secretary for Europe Deputy Assistant Secretary for the Western Hemisphere Deputy Assistant Secretary for Asia and the Pacific Deputy Assistant Secretary for Africa Director, Office of Policy Coordination Director, Office of Multilateral Affairs Director, Trade Compliance Center Director, Office of the Middle East and North Africa Director, Office of European Union and Regional Affairs [[Page 58]] Director, Office of Eastern Europe, Russia and Independent States Director, Office of Latin America and the Caribbean Director, Office of NAFTA and Inter-American Affairs Director, Office of China Economic Area Director, Office of the Pacific Basin Director, Office of South Asia and Oceania Director, Office of Japan Director, Office of Africa Trade Development Assistant Secretary for Trade Development Deputy Assistant Secretary for Transportation and Technology Industries Deputy Assistant Secretary for Textiles, Apparel and Consumer Goods Industries Deputy Assistant Secretary for Service Industries and Finance Deputy Assistant Secretary for Basic Industries Deputy Assistant Secretary for Information Technology Industries Deputy Assistant Secretary for Environmental Technologies Industries Deputy Assistant Secretary for Tourism Industries Director, Office of Export Promotion Coordination Director, Trade Information Center Director, Office of Trade and Economic Analysis Director, Advocacy Center Director, Office of Planning, Coordination and Resource Management Director, Office of Aerospace Director, Office of Automotive Affairs Director, Office of Microelectronics, Medical Equipment and Instrumentation Director, Office of Textiles and Apparel Director, Office of Consumer Goods Director, Office of Environmental Technologies Director, Office of Export Trading Company Affairs Director, Office of Finance Director, Office of Service Industries Director, Office of Metals, Materials and Chemicals Director, Office of Energy, Infrastructure and Machinery Director, Office of Electronic Commerce Director, Office of Information Technologies Director, Office of Telecommunications Technologies U.S. and Foreign Commercial Service Assistant Secretary and Director General Deputy Director General Deputy Assistant Secretary for International Operations Deputy Assistant Secretary for Export Promotion Services Deputy Assistant Secretary for Domestic Operations Director, Office of Information Systems Director, Office of Planning Director, Office of Foreign Service Human Resources Director for Europe Director for Western Hemisphere Director for East Asia and the Pacific Director, Multilateral Development Bank Operations Director, Office of Public/Private Initiatives Director, Office of Export Information and Marketing Services Director, Office of Operations Minority Business Development Administration Freedom of Information Officer National Oceanic and Atmospheric Administration Under Secretary Assistant Secretary Director, Office of Public and Constituent Affairs Director, Office of Marine and Aviation Operations General Counsel Assistant Administrator for Ocean Services and Coastal Zone Management Assistant Administrator for Fisheries Assistant Administrator for Weather Services Assistant Administrator for Satellite and Information Services Assistant Administrator for Oceanic and Atmospheric Research Office of Finance and Administration: Chief Financial Officer/Chief Administrative Officer Director, Acquisition and Grants Office Director, Systems Acquisition Office Director, Human Resources Management Office Director, Office of Finance Director, Budget Office Director, Facilities Office Director, Information Systems Management Office Director, Eastern Administrative Support Center Director, Central Administrative Support Center Director, Mountain Administrative Support Center Director, Western Administrative Support Center Freedom of Information Officer National Telecommunications and Information Administration Deputy Assistant Secretary Chief Counsel Deputy Chief Counsel Technology Administration Under Secretary for Technology [[Page 59]] Deputy Under Secretary for Technology Assistant Secretary for Technology Policy Chief Counsel Deputy Chief Counsel Senior Counsel for Internet Technology National Institute of Standards and Technology: Director for Administration and Chief Financial Officer; Chief, Management and Organization Division; NIST Counsel. National Technical Information Service: Director; Deputy Director; Chief Financial Officer/Associate Director for Finance and Administration. 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 Department of Labor.\2\ Program Program. Equal Employment Opportunity Equal Employment Opportunity Appeal Complaints. Commission.\3\ Formal Complaints/Appeals of Merit Systems Protection Board.\4\ Adverse Personnel Actions. ------------------------------------------------------------------------ \1\ The provisions of this part do not apply to these records covered by notices of systems of records published by the Office of Personnel Management for all agencies. The regulations of OPM alone apply. \2\ The provisions of this part apply only initially to these records covered by notices of systems of records published by the U.S. Department of Labor for all agencies. The regulations of that Department attach at the point of any denial for access or for correction or amendment. \3\ The provisions of this part do not apply to these records covered by notices of systems of records published by the Equal Employment Opportunity Commission for all agencies. The regulations of the Commission alone apply. \4\ The provisions of this part do not apply to these records covered by notices of systems of records published by the Merit Systems Protection Board for all agencies. The regulations of the Board alone apply.