the Director, Classification and Value Division, or denied by the Assistant Commissioner, Office of Regulations and Rulings, as soon as practicable after their receipt.

(b) Acknowledgment appropriate. Acknowledgement of, rather than action upon, the request is appropriate only in one or more of the following circum

stances:

(1) The requested records are stored in whole or part at other locations than the office in receipt of the request.

(2) The request requires the collection of a substantial number of specified records.

(3) The request is couched in categorical terms and requires an extensive search for the records responsive to it.

(4) The requested records have not been located in the course of a routine search and additional efforts are being made to locate them.

(5) The requested records require examination and evaluation to determine if they are exempt from disclosure.

(6) The requested records or some of them involve the responsibility of another agency or another bureau or office of the Department of the Treasury, whose assistance or views are being sought in processing the request.

(c) Notation of reason for delay on acknowledgment. When compliance with a request for sufficiently identified records will be delayed for one or more of the above reasons, the acknowledgment shall include a notation of the reason or reasons for the delay.

(d) Forwarding to other agency. If action on the request will be delayed because of paragraph (b)(6) of this section, a copy of the request will be forwarded immediately to the other agency or office concerned.

(e) Insufficient information. When the request does not identify a record sufficiently to enable it to be located with a reasonable amount of effort, the requester shall be notified as soon as practicable after receipt of the request that additional information is necessary to identify the record.

103.4 Processing of requests.

(a) Procedure to be followed. Upon receipt of a request to inspect, copy or purchase a copy of any Customs document, the applicant will be advised in accordance with section 103.3 whether the information, or any part thereof, may be released to the applicant, with or without the deletion of identifying details. If it is concluded that the document or any part thereof may be released to the applicant, he will be advised of the cost of securing the information or a copy of the document and the manner of making payment (see section 103.9). Upon receipt of this amount, or of a guarantee of payment, the information or copy will be made available.

(b) Deletion of identifying details from documents--(1) General. Where an opinion, order, ruling, or other Customs document contains information of the type described in subparagraph (2) of this paragraph, but the actual opinion, order, ruling, or substance of the document can be separated from the exempted matter, partial copies containing only such parts as can properly be disclosed will be furnished insofar as practicable.

(2) Reasons for deletion. Ordinarily, information will be deleted which: (i) Relates to details of business transactions of private parties the disclosure of which may be detrimental to the interests of the parties involved.

Example. The name of the importer or exporter, or other member of the public directly concerned, generally will be deleted from any document if its inclusion in the document would disclose trade secrets, the operations of his business or other commercial or financial information.

(ii) Was submitted in reliance upon a long-established assurance that such information will be kept in confidence and used only for official purposes, or (iii) Is prohibited from disclosure by law.

(3) Decision to delete. Any document from which identifying details have been deleted must be accompanied by a statement in writing expressing the reason for the deletion.

(c) Form of denial. A reply denying a written request for a record shall be in writing signed by the Assistant Commissioner, Office of Regulations and Rulings, at headquarters, Washington, D.C., or by the regional commissioner or district director of Customs pursuant to section 103.2(f), and shall include:

(1) Exemption category. A reference to the specific exemption or exemptions under the Freedom of Information Act (5 U.S.C. 552), and section 103.10

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authorizing the withholding of the record or a part thereof and a brief explanation of how the exemption applies to the record withheld; and

(2) Administrative appeal and judicial review. An outline of the appeal procedure within the United States Customs Service and a statement that, in the event of denial upon appeal, the Freedom of Information Act (5 U.S.C. 552) makes judicial review available in the United States district court in the district in which the requester resides, or has a principal place of business, or in which the agency records are situated.

(d) Record cannot be located or does not exist. If a requested record cannot be located, or is known to have been destroyed or otherwise disposed of, the requester shall be so notified.

(e) Copy of response to Classification and Value Division. A copy of each grant or denial letter and each notification under paragraph (d) of this section which is issued in response to a written request for a record shall be furnished to the Director, Classification and Value Division, at headquarters, Washington, D.C.

103.5 Appeals from initial denials.

(a) Time for appeal. When the Assistant Commissioner, Office of Regulations and Rulings, at headquarters, Washington, D.C., or the appropriate regional commissioner or district director of Customs, has denied a request for records in whole or in part, the requester may, within 30 days of its receipt, appeal the denial to the Commissioner of Customs, Washington, D.C. 20229. The appeal shall be in writing.

(b) Action by Commissioner. The Commissioner of Customs will act upon the appeal as expeditiously as possible upon its receipt. However, where novel and difficult questions are involved, or where the advice of another agency is needed, the Commissioner of Customs may delay final action on the appeal pending a thorough analysis of the questions involved or, where requested, the receipt of advice from another agency. When a delay in acting upon the appeal is contemplated, the Commissioner of Customs will notify the requester of the delay and of the reason or reasons therefor.

(c) Form of action on appeal. The decision of the Commissioner of Customs on an appeal shall be in writing. A denial in whole or in part of a request on appeal shall set forth the exemption relied on, a brief explanation consistent with the purpose of the exemption of how the exemption applies to the records withheld, and the reasons for asserting it.

103.6 Maintenance of files and records.

(a) Responsibility for maintaining files. The Director, Classification and Value Division, at headquarters, Washington, D.C., and each regional commissioner and district director will maintain a file which will include each request for a record, as defined in paragraph (c) of this section, and the action taken thereon.

(b) Appeals. The Director, Classification and Value Division, at headquarters, Washington, D.C., will maintain a file of copies of both grants and denials on appeal. This file will be open to the public and indexed, to the extent possible, according to the exemptions asserted and according to the type or subject of the records requested.

(c) "Request for record" defined. For purposes of uniformity in recordkeeping, a "Request for a record" is defined as a written request for an identifiable record of the United States Customs Service which has not been published in the Federal Register, the Customs Bulletin, by press release or otherwise, or made available in a public reading room, or which has not previously been customarily furnished to requesters whether or not the request makes reference to the Freedom of Information Act (5 U.S.C. 552).

103.7 Availability of Customs documents.

Except as exempted by section 103.10, all administrative staff manuals and instructions to staff that affect any member of the public, and indices thereto,

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are available for public inspection and copying in the United States Customs Service public reference facilities (see section 103.1), including the following:

Catalogue of Customs Forms.

Customs Manual (abridged edition).

Customs Statistical Manual.

Fundamentals of Duty Assessment (except for Part 9, which is exempt from disclosure pursuant to section
103.10(b)).

KWIC Index of United States Custom Service Circular, Letters and supplementary monthly checklists.
Marking Digest.

Synopsis of Decisions on the Duty Assessment Process.

103.8 Other Customs records.

(a) General. In general, all other documents issued by the Secretary of the Treasury, the Commissioner of Customs, or other officials of the Department of the Treasury of the United States Customs Service in matters administered by the United States Customs Service, if sufficiently identified, and unless exempted from disclosure under section 103.10, are available for inspection. Copies thereof may be obtained by request in person, or by correspondence. However, documents contained in files on pending matters may be withheld from inspection or copying in the interest of effective operation.

(b) Classes of records available for inspection and copying. The following classes of records of the United States Customs Service may be inspected and copied, upon request. Individual documents in certain records may be exempt from disclosure under section 103.10, or may be made available with identifying details deleted. The list does not purport to be exhaustive:

(1) Records relating to:

(i) Comments submitted by private parties in response to a published notice of proposed rule making and of proposed changes in tariff classification, unless the submitter states clearly that the information is privileged or confidential, giving reasons therefor, and the Commissioner of Customs agrees that the information contained therein is entitled to exemption from disclosure under section 103.10.

(ii) Advisory committees on Customs matters.

(iii) Rosters of licensed customhouse brokers.

(iv) Names of individual licensed customhouse brokers.

(v) Names and titles of all Customs personnel.

(vi) Performance awards.

(vii) Suggestion awards.

(viii) Proceedings under the countervailing duty provision of the Tariff Act of 1930 (19 U.S.C. 1303), after publication of notice or order to countervail. (ix) The administration of and decisions concerning import quotas.

(x) Proceedings under the Antidumping Act, 1921, as amended (19 U.S.C.

160 et seq.), as provided for in section 153.23 of this chapter.

(xi) Customs laboratory methods.

(2) Records relating to decisions concerning

(i) Matters arising under the Tariff Schedules of the United States (19

U.S.C. 1202).

(ii) Whether or not specific items, articles, or merchandise qualify for entry under the Trade Fair Act of 1959 (19 U.S.C. 1751 et seq.), and decisions concerning disposition of articles previously entered under the Trade Fair Act; Customs participation and assistance at Trade Fairs.

(iii) The dutiable status of gifts pursuant to section 321, Tariff Act of 1930, as amended (19 U.S.C. 1321).

(iv) The eligibility of vehicles used in international traffic pursuant to section 322(a), Tariff Act of 1930(19 U.S.C. 1322(a)) and other instruments of international traffic generally for duty-free entry.

(v) Prohibition from entry of merchandise produced by convict, forced, or indentured labor.

(vi) The entry or valuation of merchandise.

(vii) Liens in cases arising under section 564, Tariff Act of 1930, as amended (19 U.S.C. 1564).

(viii) Bills of lading, carriers' certificates, or rights in respect of merchandise, cases arising under section 483 or 484 (c), (h), or (i), Tariff Act of 1930, as amended (19 U.S.C. 1483, 1484).

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(ix) Trademarks, trade names, copyrights, patents, and related matters. (x) Country of origin marking requirements of section 304, Tariff Act of 1930, as amended (19 U.S.C. 1304).

(xi) Psittacine or other birds, bird feathers, bird skins, monkeys, dogs, cats, and other animals and pets prohibited entry or subject to restrictions and controls on entry.

(xii) Entry of articles admitted temporarily free of duty under bond as provided in schedule 8, part 5C, Tariff Schedules of the United States (19 U.S.c. 1202) and entry of articles admitted temporarily free of duty under A.T.A. and E.C.S. Carnets as provided in section 114.22 (a) and (b) of this chapter.

(xiii) Tonnage taxes (regular, special, and discriminatory) and light

money.
(xiv) The entry, clearance, and use of vessels and permits for them to
proceed coastwise.

(xv) The regulation of vessels in the foreign, coastal, fishing, and other trades of the United States.

(xvi) The limitation of the use of foreign vessels in waters under the jurisdiction of the United States.

(xvii) Salvage operations by vessels within the territorial waters of the United States.

(xviii) The assessment and collection of duties on equipment or repairs of vessels or aircraft under section 466, Tariff Act of 1930, as amended (19 U.S.C. 1466) and decisions regarding the remission or refund of such duties.

(xix) Requirements for entry, clearance, and use of aircraft.

(xx) The arrival or departure and the use of motor vehicles, railway trains, or other vehicles.

(xxi) Adequacy of premises at Customs bonded warehouses and control

of the merchandise stored therein.

(xxii) Use of protective Customs seals and labels.

103.9 Fees for furnishing records.

(a) Availability to the public. The schedule of fees prescribed by this section shall be made available to the public at all offices of the United States Customs Service. When payment of such fee is received by any Customs employee, a receipt therefor shall be issued.

(b) Services charged for, and amount charged. Except for services in connection with fees prescribed by section 4.98(a) of this chapter, the following charges shall be made:

(1) Whenever files are searched to obtain records for private parties, whether for copying by them or for examination, a charge shall be made, based upon the actual time and salary of the employee, computed in multiples of 1 minute based on an hourly rate computed in accordance with section 19.5(b) of this chapter, but no charge shall be made for such service where the amount, so computed, is less than 50 cents. Where the amount, so computed, is 50 cents or more, but less than $1, a minimum charge of $1 shall be made. There shall be included in computing the cost of such labor any amount actually payable to the employee for performing such service outside his basic 40-hour workweek. However, no charge shall be made under this subparagraph for any service rendered in making any entry and related documents available for examination by authorized person prior to liquidation of the entry or during any period thereafter in which a timely protest may be filed against the liquidation or reliquidation of the entry.

(2) If any copy of a Customs record is made by a Customs employee for a party in interest, such party shall reimburse the Government for the actual cost of material, labor, including that used in searching for the record, and any required postage. The charge for labor shall be computed as prescribed in subparagraph (1) of this paragraph, but a minimum total charge of $2 shall be imposed for each order. For copying by mechanical methods the charge shall be based on the prevailing rates established by private concerns in the locality: Provided, That such charge shall not be less than an amount computed according

CR-103.6

to the following minimum scale of charges with a minimum total charge of $2 for each order:

(3) In any case where a search of the files is necessary to verify the correctness of a document which is to be certified by a Customs employee, and for which a fee of 20 cents is charged, a separate charge for the time required for searching shall be made. This charge shall be computed as prescribed in subparagraph (1) of this paragraph, but shall not be imposed if the amount is less than 50 cents. If the amount, so computed, is 50 cents or more, but less than $1, a minimum charge of $1 shall be made.

(c) Governmental agencies or officers. No charge will be made for providing information to other Federal, State, or local governmental agencies or officers thereof submitting requests in their official capacities.

103.10 Classes of Customs documents exempt from disclosure.

United States Customs Service opinions, orders, rulings, statements of pol- TD 73-310. icy, interpretations, and records generally may be inspected, copied, or otherwise obtained unless they relate to the following:

(a) Matters kept secret pursuant to Executive Order. Matters specifically required by Executive Order to be kept secret in the interest of national defense or foreign policy. This includes:

(1) Special category export shipments the disclosure of which might endanger the security of the United States. Such restriction upon disclosure is in effect during any period covered by a finding by the President under section 1 of the Act of August 9, 1950, as amended (50 U.S.C. 191). Such a finding was made by Executive Order No. 10173, October 18, 1950 (3 CFR 1949-1953 Comp. p. 356; 15 FR 7005).

(2) Material classified as "Top Secret," "Secret," or "Confidential" under Executive Order No. 11652 of March 8, 1972, 37 FR 5209.

(b) Certain internal rules and procedures. Information relating solely to the internal personnel rules and practices of any agency. This includes guidelines, operational rules, and procedural manuals for the guidance of Customs officers and employees which relate to such functions as investigation, inspection, auditing, and other functions of a like nature. Examples of this type of information

are:

Audit Manual.

Audit Standards and Techniques Manual.

Customs Accounting Manual.

Emergency Planning Manual.

Enforcement and Technical Investigation manuals.

Inspectors' Manual.

Sampling Guide.

(c) Matters exempted from disclosure by statute. Information specifically exempted from disclosure by statute. This includes information pertaining to trade secrets, business operations, and commercial or financial information of importers, exporters, and other persons who transact Customs business (18 U.S.C. 1905).

(d) Privileged or confidential information. Trade secrets and commercial TD 76-165. or financial information obtained from any person which is privileged or confidential, except as set forth below:

(1) Information contained in invoices, entries, vessel manifests, export declarations, official reports of investigating officers, records pertaining to the licensing of and the revocation or suspension of a license of a customhouse

CR-103.7

(2nd Rev.-June 1976)