On Form BE-12, each U.S. business enterprise which was controlled directly or indirectly by a foreign person at any time during the year ending December 31, 1974, is required to report information on investment and transactions between the U.S. business enterprise and its parent(s); information on direct financial transactions between the U.S. business enterprise and all foreign affiliates of all foreign parents which did not have a direct line of ownership in the U.S. business enterprise any time during the year ending December 31, 1974; various financial schedules covering the year ending December 31, 1974; information on merchandise trade of the U.S. business enterprise with foreigners; information, by state, on employment, revenues, operating assets, and land owned; and other information concerning the operations of the U.S. business enterprise and its relationship with the foreign person(s) having the controlling interest in the U.S. business enterprise. Subpart D-Penalties

§ 804.24

Civil and criminal penalties.

In accordance with section 8 of the Act, the penalties and enforcement procedures described in paragraphs (a), (b) and (c) of this section shall apply to violations of this part and any reporting requirement imposed hereunder, or any other rule, regulation, order or instruction promulgated by the Secretary under the authority of the Act.

(a) Civil penalty. Attention is directed to section 8(a) of the Act which provides:

Whoever fails to furnish any information required pursuant to the authority of this Act, whether required to be furnished in the form of a report or otherwise, or to comply with any rule, regulation, order, or instruction promulgated pursuant to the authority of this Act may be assessed a civil penalty not exceeding $10,000 in a proceeding brought under subsection (b) of this section.

(b) Civil proceeding; injunction. Attention is directed to section 8(b) of the Act which provides:

Whenever it appears to either the Secretary of the Treasury or the Secretary of Commerce that any person has failed to furnish any information required pursuant to the provisions of this Act, whether required to be furnished in the form of a report or otherwise, or has failed to comply with any rule, regulation, order, or instruction promulgated pursuant to the authority of this Act, the Secretary may in his discretion bring an action, in the proper district court of the United States or the proper United States court of any territory or other place subject to the jurisdiction of the United States, seeking a mandatory injunction commanding such person to comply with such rule, regulation, order, or instruction, and upon a proper showing by the Secretary of the relevance to the purposes of the Act of such rule, regulation, order, or instruction, a permanent or temporary injunction or restraining order shall be granted without bond, and such person shall also be subject to the civil penalty provided in subsection (a) of this section if the judge finds that such penalty is necessary to obtain compliance with such injunction or restraining order.

(c) Criminal penalties. Attention is directed to section 8(c) of the Act which provides:

Whoever wilfully fails to submit any information required pursuant to this Act, whether required to be furnished in the form of a report or otherwise, or wilfully violates any rule, regulation, order, or instruction promulgated pursuant to the authority of this Act shall, upon conviction, be fined not more than $10,000 or, if a natural person, may be imprisoned for not more than one year or both; and any officer, director, or agent of any corporation who knowingly participates in such violation may be punished by a like fine, imprisonment, or both. § 804.25 False statements generally.

Attention is also directed to section 1001 of Title 18, United States Code, which provides:

Whoever, in any matter within the jurisdiction of any department or agency of the United States knowingly and wilfully falsifies, conceals, or covers up by any trick, scheme, or device a material fact, or makes any false, fictitious, or fraudulent statements or representations, or makes or uses any false writing or document knowing the same to contain any false, fictitious or fraudulent statement or entry, shall be fined not more than $10,000 or imprisoned not more than 5 years, or both.

PART 903-PUBLIC INFORMATION

903.10 903.11

Fees and charges.

Officials authorized to make initial denials.

AUTHORITY: 5 U.S.C. 522 as amended by P.L. 93-502; 5 U.S.C. 553; Reorg. No. 2 of 1965, 15 U.S.C. 311 nt; 32 F.R. 9734, 31 FR 10752. SOURCE: 40 FR 41999, Sept. 10, 1975, unless otherwise noted.

§ 903.1 Scope and purpose.

(a) This part revises the rules whereby the materials specified in 5 U.S.C. 552 (a) (2), and the records of all organizational elements within the National Oceanic and Atmospheric Administration (NOAA) requested under 5 U.S.C. 552 (a) (3) are to be made publicly available. This revision is to conform the rules to the requirements of the Freedom of Information Act (5 U.S.C. 552), as amended by Pub. L. 93-502.88, Stat. 1561, effective February 19, 1975.

(b) The organizational elements within NOAA are:

(1) The Office of the Administrator. (2) The Assistant Administrator for Administration.

(3) The National Weather Service. (4) The National Ocean Survey. (5) The Environmental Data Service. (6) The National Environmental Satellite Service.

(a) Department of Commerce Administrative Order 205-12 attached as Appendix A to Part 4 of this title, contains the basic policies and other criteria to be considered in issuing and administering these rules. To the extent that these policies and criteria are not specified in this part or in any supplemental rules of units, they are incorporated by reference.

(b) Requests for records made under 5 U.S.C. 552(a) (3) apply only to existing records, and NOAA is not required, in response to a request, to create records by combining or compiling information contained in existing records, or otherwise to prepare new records. However, agency officials may, upon request, provide or create new information in record form pursuant to user charge statutes, such as 15 U.S.C. 1525-1527, or in accord with authority otherwise provided by law.

(a) To the extent that terms used in this part are defined in 5 U.S.C. 551, they shall have the same definition herein.

(b) As used in this part "Act" means the "Freedom of Information Act" as amended, 5 U.S.C. 552.

(c) The organizational elements identified in section 903.1 are defined in Department Organization Order 25-5B (39 FR 17786, as amended).

§ 903.4 Publication in the Federal Register.

(a) Those materials which are required to be published in the FEDERAL REGISTER pursuant to the provisions of 5 U.S.C. 552 (a) (1) have been and will continue to be published in the FEDERAL REGISTER in the form of or included in:

(1) Department Orders of the Department of Commerce, including any supplements and appendices thereto, Secretary of Commerce Circulars, and Department Administrative Orders.

(2) NOAA rules and regulations set forth in Chapter IX of Title 15 CFR and Title 50 CFR.

(3) Notices or otherwise in the FEDERAL REGISTER.

(4) Other publications, when incorporated by reference in the FEDERAL REGISTER With the approval of the Director of the FEDERAL REGISTER.

(b) Those materials which are published in the FEDERAL REGISTER pursuant to 5 U.S.C. 552(a) (1) will, to the extent practicable and to further assist the public, be made available for inspection and copying at the facility identified in § 903.5 (c).

§ 903.5 Availability of materials for inspection and copying; indexes.

(a) The Administrator has established and maintains a NOAA Public Reference Facility for the public inspection and copying of:

(1) Final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases;

(2) Statements of policy and interpretations adopted by NOAA and not published in the FEDERAL REGISTER;

(3) Administrative staff manuals and instructions to staff that affect a member of the public;

(4) A current index providing identifying information for the public as to any matter issued, adopted, or promulgated after July 4, 1967, and required to be made available or published by 5 U.S.C. 552(a) (2).

(5) Records of the final votes of each member in every proceeding of NOAA comprised of more than one member, if such final vote shall constitute the final decision of NOAA.

(6) Rules and decisions denying requests for records which otherwise implement or relate to the Act; and

(7) Materials published in the Federal Register pursuant to 5 U.S.C. 552(a) (1) and such additional materials as the NOAA Public Reference Facility may consider desirable and practicable to make available for the convenience of the public.

(b) NOAA may, to prevent a clearly unwarranted invasion of personal privacy, delete identifying details when it makes available or publishes an opinion, statement of policy, interpretation, staff manual or instruction, and will in each such case, explain in writing the justification for the deletion.

(c) The above materials may be inspected in the NOAA Public Reference Facility, Room 523, Building 5, 6010 Executive Boulevard, Rockville, Maryland 20852. Mail to this facility should be addressed as follows: Administrative Documentation Officer (AD161), National Oceanic and Atmospheric Administration, Rockville, Maryland 20852. The telephone number for the facility is Area

Code 301, 496-8192. The facility is open to the public Monday through Friday of each week, except on official Federal holidays, between the hours of 9:00 a.m. and 4:30 p.m. There are no fees or formal requirements for such inspections. Photo copies of these materials can be provided on demand at the prices established in § 903.10.

§ 903.6 Arrangements for public inspection and copying of disclosable records.

(a) During inspection of the record at the NOAA Public Reference Facility, the requester may copy by hand or have copied any portion of the record, and may obtain certification of a machinecopied record, subject to the fees established in § 903.10.

(b) No changes or alterations of any type may be made to the record being inspected, nor may any matter be added to or subtracted therefrom. Papers bound or otherwise assembled in a record file may not be disassembled by requester during inspection. Staff of the facility shall provide assistance if disassembly of a record is necessary for copying purposes, and is authorized to supervise public inspection as necessary to protect the records. Title 18, United States Code, section 2701(a), makes it a crime to conceal, remove, mutilate, obliterate, or destroy any record filed in any public office, or to attempt to do any of the foregoing.

(c) If a requester does not want to inspect a record by personal visit to the NOAA Public Reference Facility, he may request that a copy thereof be mailed to him, upon payment of the copying and postage fees set forth in § 903.10.

(d) Copies of transcripts of public hearings will be made available for inspection when not in use.

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(a) Requests for information tomarily made available by one of the organizational elements listed in § 903.1 should be directed to the appropriate office responsible for providing such information to the public. Such information offices are listed in one or more of the following: (1) Various guides and handbooks issued by the Department of Commerce and its operating units, (2) the U.S. Government Manual, and (3) the Department of Commerce Telephone Directory. The latter two publications are for sale by the Superintendent of Documents, Washington, D.C., 20402. Such in

formation is not subject to the fee schedule set forth in section 903.10 of this part and may be subject to fees established under particular statutory authorities (e.g., 15 U.S.C. 1525-1527).

(b) If the appropriate information office is not known, the public should direct its inquires to the NOAA Public Reference Facility identified in § 903.5 (c) or the NOAA Office of Public Affairs, 6010 Executive Boulevard, Rockville, Maryland, 20852. This facility will route the request, if it appears to be for information regularly available, paragraphs (c) through (e) of this section.

(c) A request for a record (or information contained therein) which is not customarily made available to the public as part of the Agency's regular information services, or which is not available in the NOAA Public Reference Facility shall be made in writing, with the envelope and the letter clearly marked "Freedom of Information Request" or "Request for Records" or the equivalent to distinguish it from other mail. Each such request, so marked, shall be addressed to the organizational element of the Agency identified in § 903.11 which the requester knows or has reason to believe is responsible for the records requested. If the requester is not sure which is the responsible organizational element, the request shall be addressed to the NOAA Public Reference Facility at the address specified in § 903.5(c).

(d) Any request for records deemed to be a Freedom of Information Request and which is not marked and addressed as specified in paragraph (c) of this section will be so marked and addressed by Agency personnel and forwarded immediately to the responsible organizational element. A request which is improperly addressed by the requester will not be deemed to have been "received," for purposes of the time period for processing a request for records set forth in 5 U.S.C. 552(a) (6), until the earlier of either (1) the time that forwarding of the request to the responsible organizational element has been effected, or (2) the time such forwarding would have been effected had due diligence been exercised by Agency personnel. In each instance when a request is so forwarded, the receiving element shall notify the requester that the request was improperly addressed and of the date the request was received.

(e) A request for records shall sufficiently identify the records requested to

enable Agency personnel familiar with the subject matter to locate them with a reasonable amount of effort. The requester shall, to the extent possible, furnish specific descriptive information regarding dates and places the records were made, the file descriptions, subject matter, persons involved, and other pertinent details that will help identify the records. If the request relates to a matter in pending litigation, the court location and case shall be identified. When more than one record is requested, the request shall clearly describe each specific record, and the specific information requested which is contained in a record, so that its availability may be separately determined. Employees at the facility will assist the public to a reasonable extent in framing a request.

§ 903.8 Initial determinations of availability of records.

(a) Upon receipt of a request for any record, the responsible element or the NOAA Public Reference Facility shall promptly log the receipt of the request, and within ten days of its receipt (excepting Saturdays, Sundays, and legal public holidays) shall initially determine:

(1) Whether the request is for records under the Act, is for materials available otherwise than under the Act, or is for information not contained in existing records and, therefore, not under the Act. The responsible organizational element shall promptly notify the requester in writing how the request is being handled when it does not come within the Act.

(2) Whether the records requested are reasonably described and can be located on the basis of the information supplied by the requester. If any of the records requested cannot be identified and located from the information furnished, the responsible organizational element shall promptly so inform the requester in writing, specifying what additional identification is needed to assist in locating the record, and offering to assist the requester to reformulate the request. A categorical request, i.e., one for all records falling within a reasonably specific but broad category, shall be regarded as conforming to the statutory requirement that records be reasonably described, if the particular records can be identified, searched for, collected and produced without unduly burdening or disrupting the Agency's operations.