cfr_sections
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 15:15:1.1.1.1.5.1.1.1 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.1 General provisions. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62557, Oct. 20, 2014; 83 FR 39589, Aug. 10, 2018] | (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 means any office, division, bureau or other unit of the Department listed in appendix A to this part (except that a regional office of a larger office or other unit does not constitute a separate 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 bet… | |||||
| 15:15:1.1.1.1.5.1.1.10 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.10 Appeals from initial determinations or untimely delays. | DOC | [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] | (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 su… | |||||
| 15:15:1.1.1.1.5.1.1.11 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.11 Fees. | DOC | [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] | (a) In general. Components shall charge fees for processing requests under the FOIA in accordance with paragraph (c) of this section, except where fees are limited under paragraph (d) of this section or when a waiver or reduction is granted under paragraph (l) of this section. A component shall collect all applicable fees before processing a request if a component determines that advance payment is required in accordance with paragraphs (i)(2) and (i)(3) of this section. If advance payment of fees is not required, a component shall collect all applicable fees before sending copies of requested records to a requester. Requesters must pay fees by check or money order made payable to the Treasury of the United States. (b) Definitions. For purposes of this section: (1) Commercial use request means a request from or on behalf of a person who seeks information for a use or purpose that furthers his or her commercial, trade, or profit interests, which can include furthering those interests through litigation. Components shall determine, whenever reasonably possible, the use to which a requester will put the requested records. If it appears that the requester will put the records to a commercial use, or if a component has reasonable cause to doubt a requester's asserted non-commercial use, the component shall provide the requester a reasonable opportunity to submit further clarification. (2) Direct costs means those expenses a component incurs in searching for and duplicating (and, in the case of commercial use requests, reviewing) records to respond to a FOIA request. The hourly processing fees for calculating direct costs for Department or component personnel searching for, duplication, and reviewing records are reflected in Table 1. Note that the 16% overhead has already been included in the hourly rates identified in Table 1. Table 1—FOIA Hourly Processing Fees (3) Duplication means the making of a copy of a record, or of the information contained in it, necessary to respond to a FOIA request. Copies m… | |||||
| 15:15:1.1.1.1.5.1.1.2 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.2 Public reading rooms. | DOC | [79 FR 62558, Oct. 20, 2014, as amended at 83 FR 39589, Aug. 10, 2018] | (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 , which includes links to websites for those components that maintain Electronic FOIA Libraries. Each component of the Department is responsible for determining which of its records are required to be made available, as well as identifying additional records of interest to the public that are appropriate for disclosure, and for making those records available either in its own Electronic Library or in the Department's central Electronic FOIA Library. Components that maintain their own Electronic FOIA Libraries are designated as such in appendix A to this part. Each component shall also maintain and make available electronically a current subject-matter index of the records made available electronically. Each component shall ensure that posted records and indices are updated regularly, at least quarterly. (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 … | |||||
| 15:15:1.1.1.1.5.1.1.3 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.3 Records under the FOIA. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62558, Oct. 20, 2014; 83 FR 39589, Aug. 10, 2018] | (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. | |||||
| 15:15:1.1.1.1.5.1.1.4 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.4 Requirements for making requests. | DOC | [83 FR 39590, Aug. 10, 2018, as amended at 88 FR 36470, June 5, 2023] | (a) How made and addressed. The Department has a decentralized system for responding to FOIA requests, with each component designating a FOIA office to process records from that component. All components have the capability to receive requests electronically through electronic mail (email). A request for Department records that are not customarily made available to the public as part of the Department's regular informational services (or pursuant to a user fee statute), must be in writing and shall be processed under the FOIA, regardless of whether the FOIA is mentioned in the request. Requests must include the requester's full name and a valid return address. Requesters may also include other contact information, such as an email address and a telephone number. For the quickest handling, the request (and envelope, if the request is mailed or hand delivered) should be marked “Freedom of Information Act Request.” Requests may be submitted by U.S. mail, delivery service, email, or online case management system. Requests may also be submitted to some components, identified in appendix A to this part, by facsimile. Requests should be sent to the Department component identified in appendix A to this part that maintains those records requested, and should be sent to the addresses, email addresses, or numbers listed in appendix A to this part or the Department's website, http://www.doc.gov. 1 If the proper component cannot be determined, the request should be sent to the central facility identified in appendix A to this part. The central facility will forward the request to the component(s) it believes most likely to have the requested records. Requests will be considered received for purposes of the 20-day time limit of § 4.6 as of the date it is received by the proper component's FOIA office, but in any event not later than ten working days after the request is first received by any Department component identified in appendix A to this part. 1 The USPTO, which is established as an agency of the United State… | |||||
| 15:15:1.1.1.1.5.1.1.5 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.5 Responsibility for responding to requests. | DOC | [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] | (a) In general. Except as stated in paragraph (b) of this section, the proper component of the Department to respond to a request for records is the component that first receives the request and has responsive records (or in the instance of where no records exist, the component that first receives the request and is likely to have responsive records), or the component to which the Departmental FOIA Officer or component FOIA Officer assigns lead responsibility for responding to the request. Where a component's FOIA office determines that a request was misdirected within the Department, the receiving component's FOIA office shall route the request to the FOIA office of the proper component(s). Records responsive to a request shall include those records within the Department's possession and control as of the date the Department begins its search for them. A record that is excluded from the requirements of the FOIA pursuant to 5 U.S.C. 552(c), is not considered responsive to a request. (b) Consultations and referrals. When the Department or a component receives a request for a record (or a portion thereof) in its possession that originated with another Departmental component or Federal agency subject to the FOIA, the Department or component should typically refer the record to the component or originating agency for direct response to the requester (see § 4.8 for additional information about referrals of classified information). When the Department or a component receives a request for a record (or a portion thereof) in its possession that originated with another Departmental component, Federal agency, or executive branch office that is not subject to the FOIA, the Department or component shall consult with that component, Federal agency, or executive branch office before responding to the requester. In instances where a record is requested that originated with the Department or component and another component, Federal agency, or executive branch office has substantial interest in the record (or a portion there… | |||||
| 15:15:1.1.1.1.5.1.1.6 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.6 Time limits and expedited processing. | DOC | [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] | (a) In general. Components ordinarily shall respond to requests according to their order of receipt. (b) Initial response and appeal. Unless the component and the requester have agreed otherwise, or when “unusual circumstances” exist as provided for in paragraph (d) of this section, a determination whether to comply with a FOIA request shall be made by components within 20 working days ( i.e., excluding Saturdays, Sundays, and legal public holidays) of the receipt of a request for a record under this part by the proper component identified in accordance with § 4.5(a). In instances involving misdirected requests that are re-routed pursuant to § 4.5(a), the response time shall commence on the date that the request is received by the proper component, but in any event not later than ten working days after the request is first received by any designated component. An administrative appeal, other than an appeal from a request made to the Office of the Inspector General, shall be decided within 20 working days of its receipt by the Office of the General Counsel. An administrative appeal from a request made to the Office of the Inspector General shall be decided within 20 working days of its receipt by the Office of the Inspector General Office of Counsel. The Department's failure to comply with the time limits identified in this paragraph constitutes exhaustion of the requester's administrative remedies for the purposes of judicial action to compel disclosure. (c) Clarification of request. Components may seek a one-time clarification of a request for records under this part. The component's request for clarification must be in writing. When a component seeks clarification of a request, the time for responding to a request set forth in § 4.6(b) is tolled until the requester responds to the clarification request. The tolled period will end when the component that sought the clarification receives a response from the requester. If a component asks for clarification and does not receive a written response from the… | |||||
| 15:15:1.1.1.1.5.1.1.7 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.7 Responses to requests. | DOC | [83 FR 39591, Aug. 10, 2018, as amended at 86 FR 21934, Apr. 26, 2021; 88 FR 36471, June 5, 2023] | (a) Acknowledgment of requests. Upon receipt of a request, a component ordinarily shall send an acknowledgement to the requester which shall provide an assigned tracking request number for further reference and, if necessary, confirm whether the requester is willing to pay fees. A component must send this acknowledgment if the request will take longer than ten working days to process. In most cases, the acknowledgment email, generated by the FOIA electronic case management system, that is sent to requesters who provide an email address will suffice for this requirement. (b) Interim responses. If a request involves voluminous records or requires searches in multiple locations, to the extent feasible, a component shall provide the requester with interim responses. Such responses may include records that are fully releasable or records that have been withheld in part under one or more applicable FOIA exemptions set forth at 5 U.S.C. 552(b). Bureaus will make reasonable efforts to provide to requesters an estimated date when a determination will be provided. An interim response is not a determination and appeal rights need not be provided with the interim response. (c) Determination —(1) Grants of requests. If a component makes a determination to grant a request in whole or in part, it shall notify the requester in writing of such determination. (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. If a componen… | |||||
| 15:15:1.1.1.1.5.1.1.8 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.8 Classified information. | DOC | [79 FR 62560, Oct. 20, 2014] | 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). | |||||
| 15:15:1.1.1.1.5.1.1.9 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | A | Subpart A—Freedom of Information Act | § 4.9 Confidential commercial information. | DOC | [83 FR 39592, Aug. 10, 2018] | (a) Definitions. For the purposes of this section: (1) Confidential commercial information means commercial or financial information, obtained by the Department from a submitter, which may be protected from disclosure under FOIA exemption (b)(4) (5 U.S.C. 552(b)(4)). (2) Submitter means any person or entity outside the Federal Government from which the Department obtains confidential commercial information, directly or indirectly. The term includes U.S. or foreign persons, U.S. or foreign corporations; state, local and tribal governments; and foreign governments. (b) Designation of confidential commercial information. A submitter of confidential commercial information should be encouraged to use good-faith efforts to designate, by appropriate markings, either at the time of submission or at a reasonable time thereafter, any portions of its submission that it considers to be protected from disclosure under FOIA exemption (b)(4). These designations will expire ten years after the date of the submission unless the submitter requests, and provides justification for, a longer period. (c) Notice to submitters. (1) A component shall provide a submitter with prompt written notice of a FOIA request or administrative appeal that seeks its confidential commercial information whenever required under paragraph (d) of this section, except as provided in paragraph (g) of this section, in order to give the submitter an opportunity under paragraph (e) of this section to object to disclosure of any specified portion of that information. (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 info… | |||||
| 15:15:1.1.1.1.5.2.1.1 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.21 Purpose and scope. | DOC | (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 ou… | ||||||
| 15:15:1.1.1.1.5.2.1.10 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.30 Disclosure of record to person other than the individual to whom it pertains. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 67 FR 60282, Sept. 25, 2002] | (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 5 U.S.C. 552a(b)(4) has no application within the Department. (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… | |||||
| 15:15:1.1.1.1.5.2.1.11 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.31 Fees. | DOC | (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. | ||||||
| 15:15:1.1.1.1.5.2.1.12 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.32 [Reserved] | DOC | |||||||
| 15:15:1.1.1.1.5.2.1.13 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.33 General exemptions. | DOC | [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] | (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. Pursuant to 5 U.S.C. 552a(j)(2), these records are hereby determined to be exempt from all provisions of the Act, except 5 U.S.C. 552a(b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). These exemptions are necessary to ensure the proper functioning of the law enforcement activity, to protect confidential sources of information, to fulfill promises of confidentiality, to maintain the integrity of the law enforcement process, to avoid premature disclosure of the knowledge of criminal activity and the evidentiary bases of possible enforcement actions, to prevent interference with law enforcement proceedings, to avoid disclosure of investigative techniques, and to avoid endangering law enforcement personnel. Section 12(c) of the Export Administration Act of 1979, as amended, also protects this information from disclosure. (2) Fisheries Law Enforcement Case Files—COMMERCE/NOAA-5. Pursuant to 5 U.S.C. 552a(j)(2), these records are hereby determined to be exempt from all provisions of the Act, except 5 U.S.C. 552a (b), (c) (1) and (2), (e) (4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i). These exemptions… | |||||
| 15:15:1.1.1.1.5.2.1.14 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.34 Specific exemptions. | DOC | [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] | (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/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. (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 e… | |||||
| 15:15:1.1.1.1.5.2.1.2 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.22 Definitions. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 86 FR 21935, Apr. 26, 2021] | (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 means the “Privacy Act of 1974, as amended (5 U.S.C. 552a)”. (2) Appeal means a request by an individual to review and reverse an initial denial of a request from that individual for correction or amendment. (3) Component means any office, division, bureau or other unit of the Department listed in appendix A to this part (except that a regional office of a larger office or other unit does not constitute a separate component). (4) Department means the Department of Commerce. (5) Inquiry means either a request for general information regarding the Act and this subpart or a request from an individual (or that individual's parent or guardian) that the Department determine whether it has any record in a system of records that pertains to that individual. (6) Person means any human being and also shall include, but is not limited to, corporations, associations, partnerships, trustees, receivers, personal representatives, and public or private organizations. (7) Privacy Act Officer means those officials, identified in appendix B to this part, who are authorized to receive and act upon inquiries, requests for access, and requests for correction or amendment. (8) Request for access means a request from an individual or an individual's parent or guardian to see a record pertaining to that individual in a particular system of records. (9) Request for correction or amendment means a request from an individual or an individual's parent or guardian that the Department change (by correction, amendment, addition or deletion) a particular record pertaining to that individual in a system of records. (10) Un-redacted SSN Mailed Documents Listing (USMDL) means the Department approved list, as posted at www.commerce.gov/privacy, designating those documents for which the inclusion of SSN is determined to be necessary to fulfill a compelling Department business n… | |||||
| 15:15:1.1.1.1.5.2.1.3 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.23 Procedures for making inquiries. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 91 FR 7116, Feb. 17, 2026] | (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 If an individual believes the Department maintains a record pertaining to him or her but does not know which system of records might contain such a record and/or which component of the Department maintains the system of records, assistance in person or by mail will be provided at the first address listed in appendix A to this part. 2 The United States Patent and Trademark Office (USPTO), which is established as an agency of the United States within the Department of Commerce, operates under its own PA regulations at 37 CFR part 102, subpart B. Accordingly, requests concerning records maintained by the USPTO should be sent directly to the USPTO. (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… | |||||
| 15:15:1.1.1.1.5.2.1.4 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.24 Procedures for making requests for records. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 73 FR 10381, Feb. 27, 2008] | (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. Each individual making a request in person shall be required to present satisfactory proof of identity. The means of proof, in the order of preference and priority, are: (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 p… | |||||
| 15:15:1.1.1.1.5.2.1.5 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.25 Disclosure of requested records to individuals. | DOC | [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] | (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. , excluding Saturdays, Sundays and legal public holidays) of the date of receipt. If a response cannot be made within ten working days due to unusual circumstances, the Privacy Act Officer shall send an acknowledgment during that period providing information on the status of the request and asking for any further information that may be necessary to process the request. “Unusual circumstances” shall include circumstances in which: (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 … | |||||
| 15:15:1.1.1.1.5.2.1.6 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.26 Special procedures: Medical records. | DOC | [79 FR 62564, Oct. 20, 2014] | 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. | |||||
| 15:15:1.1.1.1.5.2.1.7 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.27 Procedures for making requests for correction or amendment. | DOC | (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 i… | ||||||
| 15:15:1.1.1.1.5.2.1.8 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.28 Agency review of requests for correction or amendment. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62564, Oct. 20, 2014; 91 FR 7116, Feb. 17, 2026] | (a)(1)(i) Not later than ten working days ( i.e. , excluding Saturdays, Sundays and legal public holidays) after receipt of a request to correct or amend a record, the Privacy Act Officer shall send an acknowledgment providing an estimate of time within which action will be taken on the request and asking for such further information as may be necessary to process the request. The estimate of time may take into account unusual circumstances as described in § 4.25(a). No acknowledgment will be sent if the request can be reviewed, processed and the individual notified of the results of review (either compliance or denial) within the ten working days. Requests filed in person will be acknowledged in writing at the time submitted. (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 Assistan… | |||||
| 15:15:1.1.1.1.5.2.1.9 | 15 | Commerce and Foreign Trade | 4 | PART 4—DISCLOSURE OF GOVERNMENT INFORMATION | B | Subpart B—Privacy Act | § 4.29 Appeal of initial adverse agency determination on correction or amendment. | DOC | [66 FR 65632, Dec. 20, 2001, as amended at 79 FR 62564, Oct. 20, 2014; 91 FR 7116, Feb. 17, 2026] | (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 amendmen… |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
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CREATE INDEX idx_cfr_agency ON cfr_sections(agency);