suant to a request, or procure a record from sources outside the Bureau.

(2) Form of request. The request for records must be in writing and signed by the person making the request. The request is required to identify the requested records in accordance with subparagraph (4) of this paragraph. The request must set forth the address where the person making the request desires to be notified of the determination by the Bureau as to whether the request will be granted. If the requester desires to make the inspection in an office other than the office to which the request is delivered or mailed, the request should designate the office of the Bureau where inspection is desired. Where the person making the request desires to have a copy of the requested records sent to him without first inspecting such records, his request should so state.

(3) Time and place for making request. The request for records may be made at any office of the Bureau. A request delivered to an office in person must be delivered during the regular office hours of that office. The person making the request should allow a reasonable period of time for processing the request.

(4) Identification of records. The request for records must describe the records in reasonably sufficient detail to enable personnel of the Bureau to locate the records. While no specific formula for adequate identification of a record may be established, it will generally suffice if the requester gives the name, subject matter, and, if known, the date and location of the requested record. However, the person making the request is advised to furnish the Bureau with any additional information which will more clearly identify the requested records, since he has the burden of properly identifying them. The identification requirement will not be used by officers or employees of the Bureau as a device for improperly withholding records from the public.

(5) Fees. A schedule of fees for the services and costs required of the Bureau in locating, making available, copying, and certifying records pursuant to this paragraph is as follows:

Records search; each hour or fraction thereof

Photocopies; each page...

$3.50

.10

Certification of photocopies by appropriate official; each certification. 1.00

Such fees are intended to make any services performed with respect to the request self-sustaining to the extent possible. See title V, Act of August 31, 1951 (65 Stat. 290, 31 U.S.C. (Supp. II) 483a). If the Bureau estimates that the total fees for costs incurred in complying with the request will amount to $50 or more, the person making the request may be required to enter into a contract for the payment of actual fees with respect to the request before the Bureau will undertake actions necessary to comply with the request. No charge shall be made for providing information to other Federal, State or local governmental agencies or officers thereof submitting requests in their official capacities.

(6) Processing a request—(1) In general. The Bureau will grant or deny the request in writing within ten working days of receipt of the request, except under conditions identified in paragraph (c) (6) (iv) of this section. If the request does not sufficiently identify a record, the person making the request will be promptly advised of such fact and notifiled that a more detailed description of the record is required by the Bureau in order to proceed with the request.

(1) Determination by Bureau headquarters. Except in a case described in subdivision (iii) of this subparagraph, a request sufficiently identifying records will be immediately transmitted to the Assistant to the Director for Public Affairs for prompt consideration who will notify the requester in writing of his determination with respect to the request.

(11) Determination by a field office. Where disclosure authorization with respect to the requested records has been delegated to an officer or employee of the Bureau other than the Assistant to the Director for Public Affairs, such other officer or employee will make the determination as to whether the request for records should be granted or denied and will notify the requester in writing of his determination with respect to the request.

(iv) Acknowledgement of requests The Bureau will acknowledge a request within ten working days of receipt if:

(a) The requested record are stored in whole or part at other locations than the office in reecipt of the request;

(b) The request requires the collection of a substantial number of specified records;

(c) The request is couched in categorical terms and requires an extensive search of the records responsive to it;

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

(e) The requested records require examination and evaluation to determine if they are exempt from disclosure; or

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

When additional time is required for one or more of the above reasons, the written acknowledgement shall include a notation of the reason for the delay and as definite an indication as possible of the time required for a decisive response. If action on the request will be delayed because of reason (ƒ), a copy of the request is to be forwarded immediately to the other agency or office concerned.

(7) Granting of request. If it is determined that the request is to be granted, the person making the request will be notified in writing of the determination, of the fees involved in complying with the request, and of the locations where such fees are payable. Upon receipt by the Bureau of the fees stated in its reply, the person making the request will be promptly advised, in writing, of the time and place where inspection may be made; or, if he has requested that a copy of the records be sent to him without first inspecting the records or if it has been necessary to reproduce the records in order to provide for inspection, a copy of the records will be mailed to him for his retention. In the usual case, the records will be made available for inspection at the office of the Bureau where the request was made. However, if the person making the request has expressed a desire to inspect the records at an office of the Bureau other than the office where the request was made, every reasonable effort will be made to comply with the request. Records will be made available for inspection at such reasonable and proper times as not to interfere with their use by the Bureau or to exclude other persons from making inspections. In addition, reasonable limitations may be placed on the number of

records which may be inspected by a person on any given date. The person making the request will not be allowed to remove the records from the office where inspection is made. If, after making inspection, the person making the request desires copies of all or a portion of the requested records, copies will be furnished to him upon payment of the established fees prescribed by subparagraph (5) of this paragraph. Prepayment of fees is not required where the total fees with respect to the request are $5 or less and the request is filled by mail.

(8) Denial of request. If it is determined that the request for records should be denied, the person making the request will be notified of such determination by mail. The letter of notification will specify the city or other location where the requested records are situated, contain a brief statement of the grounds for denial, including a reference to the specific exemption or exemptions under 5 U.S.C. 552 authorizing the withholding of the record or part thereof and a brief explanation of how the exemption applies to the record withheld. The letter of notification will also advise the requester of his right to appeal to the Director in accordance with subparagraph (9) of this paragraph and in the event of denial upon appeal, to seek judicial review in the U.S. district court in the district in which the complainant resides, or has a principal place of business, or in which the agency records are situated.

(9) Administrative appeal. At any time within 30 days after the date of the letter of notification described in subparagraph (8) of this paragraph, the person making the request may file an appeal to the Director. The appeal must be in the form of a statement signed by the appellant and mailed to the Director, Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania Avenue NW., Washington, D.C., 20226. The statement must contain the following information: (1) The appellant's name and address,

(ii) The identification of the records requested,

(iii) The date of the request and the date of the letter denying the request, and

(iv) A request that the Director consider the denial. The appeal will be considered by the Director and the request either granted or denied by him within

20 working days from the date of filing: Provided, That under unusual circumstances, the appellant will be advised within the 20-day period of the reason for delay and will be advised of the date by which a decision may be expected to be made. The appellant will be notified of the determination by mail, and such determination shall be final. In case of a denial the notification shall set forth the exemption relied on, how it applies to the record withheld, and the reasons for asserting it.

(10) Judicial review. If the request is denied upon appeal pursuant to paragraph (c) (9) of this section, or if no determination is made on the appeal within 30 days after filling, the appellant may commence an action in a U.S. district court pursuant to 5 U.S.C. 522(a) (3). The statute authorizes an action only against the agency. With respect to records of the Bureau, the agency is the Bureau, not an officer or employee thereof. Service of process in such an action shall be in accordance with the Federal Rules of Civil Procedure (28 U.S.C. App.) applicable to actions against an agency of the United States. Where provided in such rules, delivery of process upon the Bureau must be directed to the Director, Bureau of Alcohol, Tobacco and Firearms: Attention: Chief Counsel, 1200 Pennsylvania Avenue NW., Washington, D.C., 20226. The district court will determine the matter de novo, and the burden will be upon the Bureau to sustain its action in not making the requested records available.

(d) Rules for disclosure of certain specified matters-(1) Accepted offers in compromise. For each offer in compromise submitted and accepted pursuant to 26 U.S.C. 7122, in any case arising under subtitle E of Title 26 of the United States Code (relating to alcohol, tobacco, and certain other excise taxes); pursuant to section 7 of the Federal Alcohol Administration Act (27 U.S.C. 207) in any case arising under that Act; or in connection with property seized under title I of the Gun Control Act of 1968 (18 U.S.C., chapter 44), and title XI of the Organized Crime Control Act of 1970 (18 U.S.C. chapter 40), a copy of the abstract and statement relating to the offer will be available for public inspection, for a period of 1 year from the date of acceptance, in the office of the Regional Director who received the offer. Information will not be disclosed, however, concerning any trade secrets, processes,

operations, style of work, or apparatus, or confidential data or any other matter within the prohibition of 18 U.S.C. 1905.

(1) The office of the Regional Director who received the offer and in the office of the district director of internal revenue for the internal revenue district in which the offer was submitted, in the case of offers accepted pursuant to the Code, title I of the Gun Control Act of 1968, or title XI of the Organized Crime Control Act of 1970 (18 U.S.C. chapter 40), or

(1) The office of the Regional Director who received the offer, in the case of offers accepted pursuant to the Federal Alcohol Administration Act.

Information will not be disclosed, however, concerning any trade secrets, processes, operations, style of work, or apparatus, or confidential data or any other matter within the prohibition of 18 U.S.C. 1905.

(2) Information regarding liquor permits (1) Applications for permits. Information with respect to the handling of applications for basic permits under the Federal Alcohol Adminstration Act (27 U.S.C. 204), operating permits under section 5171, I.R.C., and industrial use permits under section 5271, I.R.C., is maintained for public inspection in the offices of Regional Directions until the expiration of 1 year following final action on such applications. See § 1.59 of this chapter.

(1) Card index record of permits. A current card index record for

(a) All persons to whom industrial use permits have been issued pursuant to section 5271, I.R.C.,

(b) All proprietors of distilled spirits plants to whom operating permits have been issued pursuant to section 5171, I.R.C., to cover distilling for industrial use, bonded warehousing of spirits for industrial use, or denaturing of spirits, and

(c) All applicants for such industrial use and operating permits,

is available for public inspection in the offices of Regional Directors.

(3) List of plants and permittees. Upon request, the Regional Director will furnish a list of any type of qualified proprietor or permittee located in his region.

(4) Information relating to certificates of label approval for distilled spirits,

wine, and malt beverages. Upon written request, the Director will furnish information as to the issuance, pursuant to section 5(e) of the Federal Alcohol Administration Act (27 U.S.C. 205(e)) and Part 4, 5, or 7 of this chapter, of certificates of label approval, or of exemption from label approval, for distilled spirits, wine, or malt beverages. The request must identify the class and type and brand name of the product and the name and address of the bottler or importer thereof or of the person to whom certificate was issued. The person making the request may obtain reproductions or certified copies of such certificates upon payment of the established fees prescribed by paragraph (c) (5) of this section. Information will not be disclosed, however, concerning any trade secrets, processes, operations, style of work, or apparatus, or confidential data or any other matter within the prohibition of 18 U.S.C. 1905.

(5) Information relating to the tax classification of a roll of tobacco wrapped in reconstituted tobacco. Upon request the Director, Bureau of Alcohol, Tobacco and Firearms, 1111 Constitution Avenue NW., Washington, DC 20224, will furnish information as to Bureau determination of the tax classification of a roll of tobacco wrapped in any substance containing tobacco, that is, reconstituted tobacco. The request should identify the brand name of the product and the name and address of the manufacturer or importer. Information will not be disclosed, however, concerning any trade secrets, processes, operations, apparatus, confidential data, or any other matter within the prohibition of 26 U.S.C. 7213 or 18 U.S.C. 1905.

(6) State cases. Regional Directors may, in the interest of Federal and State law enforcement, upon receipt of demands or requests of State authorities, and at the expense of the State, authorize special agents and other employees under their supervision to attend trials and administrative hearings in liquor, tobacco, firearms, and explosives cases, or in any criminal case, in which the State is a party, produce records, and testify as to facts coming to their knowledge in their official capacities: Provided, That in cases where a defendant in a criminal matter requests or demands testimony, authorization from the Director will be required: Provided

further, That such production or testimony will not divulge information contrary to 26 U.S.C. 7213, nor divulge information subject to the restrictions in 26 U.S.C. 5848. See also 26 CFR 301.9000-1(f) and 18 U.S.C. 1905.

(7) Comments received in response to a notice of proposed rulemaking. Written comments received in response to a notice of proposed rulemaking may be inspected by any person upon compliance with the provision of this subparagraph (7) unless such comments are exempt from disclosure under law. Comments which may be inspected are located in the Office of the Regulations and Procedures Division, Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania Avenue NW., Washington, D.C. 20226. The request to inspect comments must be in writing and signed by the person making the request and should be addressed to the Director, Bureau of Alcohol, Tobacco and Firearms, Attention: R:R, Washington, D.C. 20226. Upon delivery of such a written request to the place where the comments are located during the regular business hours of that office, the person making the request may inspect those comments (or portions thereof) which are not exempt from disclosure. Copies of comments (or portions thereof) which are not exempt from disclosure may be obtained by a written request addressed to the Director, Bureau of Alcohol, Tobacco and Firearms, Attention: R:R, Washington, D.C. 20226. The person making the request for copies should allow a reasonable time for processing the request. The provisions of paragraph (c) (5) of this section, relating to fees, shall apply with respect to requests made in accordance with this subparagraph. The provisions of this subparagraph shall apply in the case of requests for the inspection of, or copies of, comments that are made after February 15, 1974, regardless of when the comments were submitted or regardless of when the related notice of proposed rulemaking was published in the FEDERAL REGISTER.

(e) Other disclosure procedures. For procedure to be followed by officers and employees of the Bureau upon receipt of a request or demand for certain bureau records or information the disclosure procedure for which is not covered by this section, see 26 CFR 301.9000-1. [37 FR 13692, July 13, 1972, as amended at 39 FR 2090, Jan. 17, 1974]

Subpart D-Rules, Regulations and Forms

AUTHORITY: 26 U.S.C. 7805, 68A Stat. 917. SOURCE: 39 FR 2092, Jan. 17, 1974, unless otherwise noted.

§ 71.31 Rules and regulations.

(a) Formulation. (1) Alcohol, tobacco, explosives, and certain firearms rules take various forms. The most important rules are issued as regulations and Treasury decisions, prescribed by the Director, and approved by the Secretary or his delegate. Other rules may be issued over the signature of the Director or the signature of any other official to whom authority has been delegated. The channeling of rules varies with the circumstances. Regulations and Treasury decisions are prepared in the Office of the Regulations and Procedures Division and reviewed in the Office of Chief Counsel, Bureau of Alcohol, Tobacco and Firearms. After approval by the Director, regulations and Treasury decisions are forwarded to the Secretary or his delegate for further consideration and final approval.

(2) Where required by 5 U.S.C. 553 and in such other instances as may be desirable, the Director publishes in the FEDERAL REGISTER general notice of proposed rules (unless all persons subject thereto are named and either personally served or otherwise have actual notice thereof in accordance with law). This notice includes (1) a statement of the time, place, and nature of public rulemaking proceedings; (ii) reference to the authority under which the rule is proposed; and (iii) either the terms or substance of the proposed rule or a description of the subjects and issues involved.

(3) (1) This subparagraph shall apply where the rules of this subparagraph are incorporated by reference in a notice of hearing with respect to a notice of proposed rulemaking.

(ii) A person wishing to make oral comments at a public hearing to which this subparagraph applies shall file his written comments within the time prescribed by the notice of proposed rulemaking (including any extensions thereof) and submit the outline referred to in paragraph (a) (3) (ii) of this section within the time prescribed by the notice of hearing. In lieu of the reading of a prepared statement at the hearing, such person's oral comments shall ordinarily

be limited to a discussion of matters relating to such written comments and to questions and answers in connection therewith. However, the oral comments shall not be merely a restatement of matters the person has submitted in writing. Persons making oral comments should be prepared to answer questions not only on the topics listed in his outline but also in connection with the matters relating to his written comments. Except as provided in paragraph (b) of this section, in order to be assured of the availability of copies of such written comments or suggestions, or outline, on or before the beginning of such hearing, any person who desires such copies should make such a request within the time prescribed in the notice of hearing and shall agree to pay reasonable costs for copying. Persons who make such a request after the time prescribed in the notice of hearing will be furnished copies as soon as they are available, but it may not be possible to furnish the copies on or before the beginning of the hearing. Except as provided in the preceding sentences, copies of written comments regarding the rules proposed shall not be made available at the hearing.

(1) A person who wishes to be assured of being heard shall submit, within the time prescribed in the notice of hearing, an outline of the topics he wishes to discuss, and the time he wishes to devote to each topic. An agenda will then be prepared containing the order of presentation of oral comments and the time allotted to such presentation. Ordinarily, a period of 10 minutes will be the time allotted to each person for making his oral comments.

(iv) At the conclusion of the presentation of comments of persons listed in the agenda, to the extent time permits, other comments will be received.

(v) In the case of unusual circumstances or for good cause shown, the application of rules contained in this subparagraph may be waived.

(vi) To the extent resources permit, the public hearings to which this subparagraph applies may be transcribed.

(b) Comments on proposed rules. Interested persons are privileged to submit any data, views, or arguments with respect to a notice of proposed rulemaking published pursuant to 5 U.S.C. 553. Any person submitting comments in response to a notice of proposed rulemaking shall specifically designate in