Code of Federal Regulations: Containing a Codification of Documents of ...

(g) Amounts to be charged for specified services. The fees for services performed by the Bureau shall be imposed and collected as set forth in this paragraph. Should services other than those described be requested and rendered, appropriate fees shall be established by the Director or his delegate, and such fees shall be imposed and collected pursuant to 31 U.S.C. 483a, but subject to the constraints imposed by 5 U.S.C. 552(a)(4)(A).

(1) Duplication. (i) Photocopies, per page up to 81⁄2" x 14", are provided at $0.10 each, except that no charge is made for 10 pages or less.

(ii) Photographs, films, and other materials are provided at actual cost.

(iii) The Bureau may furnish the records to be released to a private contractor for copying and charge the person requesting the records the actual cost of duplication charged by the private contractor.

(iv) No fee is charged where the requester furnishes the supplies and equipment and makes the copies at the government location.

(2) Unpriced printed materials. Otherwise unpriced printed material, which is available at the location where requested and which does not require duplication in order that copies may be furnished, is provided at the rate of $0.25 for each twenty-five pages or fraction thereof.

(3) Search services. (i) The fee charged for services of personnel involved in locating records is $5 for each hour or fraction thereof, except that no charge is made for a search consuming 1 hour or less.

(ii) Where, because of the nature of the records sought and the manner in which the records are stored, a computer search is required, the fee is $5 for each hour (or fraction thereof) of personnel time associated with the search plus an amount which reflects the actual costs of extracting the stored information in the format in which it is normally produced, based on computer time and supplies necessary to comply with the request.

(4) Searches requiring travel or transportation. Shipping charges to transport records from one location to another, or charges for the transportation of an employee to the site of re

quested records when it is necessary to locate rather than examine the records, are at the rate of the actual cost of such shipping or transportation.

§ 71.26 Rules for disclosure of certain specified matters.

(a) 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), under 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) or 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 shall be kept available for public inspection, for a period of 1 year from the date of acceptance, in the office of the regional director (compliance) who received the offer and in the office of the Assistant to the Director for Public Affairs, Bureau of Alcohol, Tobacco, and Firearms, 1200 Pennsylvania Avenue NW., Washington, D.C. 20226. Information may not be disclosed, however, concerning any trade secrets, processes, operations, style of work, apparatus, confidential data, or any other matter within the prohibition of 18 U.S.C. 1905. "Return information" (defined at 26 U.S.C. 6103 (b)) may not be disclosed except as provided by 26 U.S.C. 6103 (k) (1).

(b) Information regarding liquor permits (1) Applications for permits. Information with respect to the handling of applications for basic permits under the Federal Alcohol Administration Act (27 U.S.C. 204), operating permits under 26 U.S.C. 5171, and industrial use permits under 26 U.S.C. 5271, is maintained for public inspection in the offices of regional director (compliance) until the expiration of 1 year following final action on these applications. See § 1.59 of this chapter for more details.

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

(i) All persons to whom industrial use permits have been issued pursuant to 26 U.S.C. 5271;

(ii) All proprietors of distilled spirits plants to whom operating permits have been issued pursuant to 26 U.S.C. 5171, to cover distilling for industrial use, bonded warehousing of spirits for industrial use, or denaturing of spirits; and

(iii) All applicants for such industrial use and operating permits-is available for public inspection in the offices of regional director (compliance).

(c) List of plants and permittees. Upon request, the regional director (compliance) shall furnish a list of any type of qualified proprietor or permittee located in his region.

(d) Information relating to certificates of label approval for distilled spirits, wine, and malt beverages. Upon written request, the Chief, Trade and Consumer Affairs Division, Bureau of Alcohol, Tobacco and Firearms, Washington, D.C. 20226, shall 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, or certificates of label approval, or of exemption from label approval, for distilled spirts, 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 the 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 § 71.25 of this part. Information will not be disclosed, however, concerning any trade secrets, processes, operations, style of work, apparatus, confidential data, or any other matter prohibited by statutes such as but not limited to 18 U.S.C. 1905 or 26 U.S.C. 6103.

(e) True identity of companies authorized to use trade names. Information regarding the true identity (name and address) of companies authorized to use trade names is available in the office of regional director (compliance), for disclosure upon request to any member of the public.

(f) Information relating to the tax classification of a roll tobacco wrapped in reconstituted tobacco. Upon written request, the Associate Director (Compliance Operations), Bureau of Alcohol, Tobacco and Firearms, Washington, D.C. 20226, shall furnish information as to a Bureau determination of the tax classification of a roll of tobacco wrapped in any substance containing tobacco, that is, reconstituted tobacco. The request must identify the brand name of the product and the name and address of the manufacturer or importer. Information may not be disclosed, however, concerning any trade secrets, processes, operations, apparatus, confidential data, or any other matter prohibited by statutes such as but not limited to 26 U.S.C. 6103 or 18 U.S.C. 1905.

(g) 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 provisions of this paragraph. Comments may be inspected in the Office of the Assistant to the Director for Public Affairs, 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, Attention: Assistant to the Director (Disclosure), 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. Copies of comments (or portions thereof) may be obtained by a written request addressed to the Assistant to the Director (Disclosure), Bureau of Alcohol, Tobacco and Firearms, Washington, D.C. 20226. The person making the request for copies should allow a reasonable time for processing the request. The provisions of § 71.25 of this part, relating to fees, apply with respect to requests made in accordance with this paragraph.

(27 U.S.C. 205; 22 U.S.C. 2778; 26 U.S.C. 7602; 5 U.S.C. 301)

[T.D. ATF-47, 43 FR 10687, Mar. 15, 1978, as amended by T.D. ATF-57, 44 FR 20794, May 9, 1979; T.D. ATF-201, 50 FR 12533, Mar. 29, 1985]

§ 71.27 Requests or demands for disclosure in testimony and in related matters.

(a) Authority. The provisions of this section are prescribed under the authority of 5 U.S.C. 301; section 2 of Reorganization Plan No. 26 of 1950 (64 Stat. 1280); 12 U.S.C. 3412; 18 U.S.C. 1905; section 2(g) of the Federal Alcohol Administration Act (27 U.S.C. 202(c)); and sections 5274, 6103, 7213, 7803 and 7805 of the Internal Revenue Code of 1954 (26 U.S.C. 5274, 6103, 7213, 7803 and 7805).

(b) Definitions. The following definitions apply whenever the defined terms appear in this section.

(1) ATF officer or employee. The terms "ATF officer" and 'ATF employee" mean all officers and employees of the United States, engaged in the administration and enforcement of laws administered by the Bureau of Alcohol, Tobacco and Firearms, and appointed or employed by, or subject to the directions, instructions or orders of, the Secretary of the Treasury or his delegate.

(2) ATF records or information. The terms "ATF records" and "ATF information" mean any records (including copies thereof) or information, made or obtained by, furnished to, or coming to the knowledge of, any ATF officer or employee while acting in his official capacity, or because of his official status, with respect to the administration of laws administered by or concerning the Bureau of Alcohol, Tobacco and Firearms.

(3) Demand. The term "demand" means any subpoena, notice of deposition either upon oral examination or written interrogatory, or other order, of any court, administrative agency, or other authority.

(c) Disclosure of ATF records or information prohibited without prior approval of the Director. The disclosure, including the production, of ATF records or information to any person outside the Department of the Treasury or to any court, administrative agency, or other authority, in response to any request or demand for the dis

closure of such records or information shall be made only with the prior approval of the Director. However, nothing in this section shall restrict the disclosure of ATF records or information which the Director has determined is authorized under any provision of statute, Executive order, or regulations, or for which a procedure has been established by the Director. For example, this section does not restrict the disclosure of ATF records or information under § 71.22, nor does it restrict the disclosure of ATF records or information which is requested by U.S. attorneys or attorneys of the Department of Justice for use in cases which arise under the laws administered by or concerning the Bureau of Alcohol, Tobacco and Firearms and which are referred by the Department of the Treasury to the Department of Justice for prosecution or defense.

(d) Delegation to Director of authority to determine disclosure and establish procedures. The Director is hereby authorized to determine whether or not ATF officers and employees will be permitted to disclose ATF records or information in response to:

(1) A request by any court, administrative agency, or other authority, or by any person, for the disclosure of such records or information; or

(2) A demand for the disclosure of such records or information.

The Director is also authorized to establish such other procedures as he may deem necessary with respect to the disclosure of ATF records or information by ATF officers and employees. Any determination by the Director as to whether ATF records or information will be disclosed, or any procedure established by him in connection therewith, shall be made in accordance with applicable statutes, Executive orders, regulations, and any instructions that may be issued by the Secretary or his delegate. Notwithstanding the preceding provisions of this paragraph, the Director shall, where either he or the Secretary deems it appropriate, refer the opposing of a request or demand for disclosure of ATF records or information to the Secretary.

(e) Procedure in the event of a request or demand for ATF records or information (1) Request procedure. Any ATF officer or employee who receives a request for ATF records or information, the disposition of which is not covered by a procedure established by the Director, shall promptly communicate the contents of the request to the Director through the appropriate supervisor for the district or region in which he serves. The officer or employee shall await instructions from the Director concerning the response to the request. For the procedure to be followed in the event a person making a request seeks to obtain a court order or other demand requiring the production of ATF records or information, see paragraph (e)(2) of this section (immediately below).

(2) Demand procedure. Any ATF officer or employee who is served with a demand for ATF records or information, the disposition of which is not covered by a procedure established by the Director, shall promptly, and without awaiting appearance before the court, administrative agency, or other authority, communicate the contents of the demand to the Director through the appropriate supervisor for the district or region in which he serves. The officer or employee shall await instructions from the Director concerning the response to the demand. If it is determined by the Director that the demand should be opposed, the U.S. attorney, his assistant, or other appropriate legal representative shall be requested to respectfully inform the court, administrative agency, or other authority that the Director has instructed the officer or employee to refuse to disclose the ATF records or information sought. If instructions have not been received from the Director at the time when the officer or employee is required to appear before the court, administrative agency, or other authority in response to the demand, the U.S. attorney, his assistant, or other appropriate legal representative shall be requested to appear with the officer or employee upon whom the demand has been served and request additional time in which to receive such instructions. In the event the court, administrative

agency, or other authority rules adversely with respect to the refusal to disclose the records or information pursuant to the instructions of the Director, or declines to defer a ruling until instructions from the Director have been received, the officer or employee upon whom the demand has been served shall, pursuant to this section, respectfully decline to disclose the ATF records or information sought.

(f) State. Cases. Regional directors (compliance), special agents in charge, chiefs of field laboratories, and regional administrative officers, 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 employees under their supervision to attend trials and administrative hearings in liquor, tobacco, firearms, or explosives cases in which the State is a party or on behalf of the State in any criminal case, to produce records, and to testify as to facts coming to their knowledge in their official capacities. However, in cases where a defendant in a criminal case requests or demands testimony or the production of ATF records or information, authorization from the Director is required. Production or testimony may not divulge information contrary to 26 U.S.C. 6103 and 7213, or 12 U.S.C. 3412. See also 18 U.S.C. 1905.

(g) Penalties. Any ATF officer or employee who disobeys the provisions of this section will be subject to dismissal and may incur criminal liability.

[T.D ATF-57, 44 FR 27094, May 9, 1979]

APPENDIX A

1. In general. This appendix identifies the locations of the public reading rooms at which documents of the Bureau of Alcohol, Tobacco and Firearms are available for public inspection and copying; the titles of officers designated to make the initial and appellate determinations with respect to requests; the officer designated to receive service of process; and the addresses for delivery of requests, appeals and service of process.

2. Public reading rooms. Public reading rooms for the Bureau of Alcohol, Tobacco

and Firearms are maintained at the following locations:

BUREAU HEADQUARTERS Location: Freedom of Information Act Reading Room, Room 1315, Bureau of Alcohol, Tobacco and Firearms, 1200 Pennsylvania Avenue NW., Washington, D.C. 20226.

Mailing address: Assistant to the Director (Disclosure), Room 2232, Bureau of Alcohol, Tobacco and Firearms, Washington, D.C. 20226.

NORTH ATLANTIC REGION

Location: Regional Director (Compliance), Bureau of Alcohol, Tobacco and Firearms, 6 World Trade Center, Sixth Floor, New York, N.Y. 10048.