and instructions to staff. Statements of policy and interpretations of less than general applicability not published in the FEDERAL REGISTER, administrative staff manuals and instructions to staff which affect any member of the public, which are not published and offered for sale, and indices to such materials, shall be available for public inspection and copying at the Office of Public Information, Maritime Administration, General Accounting Office Building, Room 3037, 441 G Street NW., Washington, D.C. 20235, between 8:30 a.m. and 5 p.m. daily except Saturdays, Sundays, and holidays.

(e) Terms and conditions. Materials made available to the public under this § 380.32 are subject to observance of the following:

(1) Persons requesting use of the materials must, if requested, sign the visitor's book and a receipt for materials delivered to them.

(2) The materials made available remain the property of the Maritime Administration and shall not be removed by the member of the public from the place provided for use.

(3) The materials are not to be marred or defaced in any manner.

(4) Persons using the materials are to conduct themselves so as not to interfere with employees of the Maritime Administration or with other members of the public using the facilities provided.

(f) Fees and charges. There shall be no fee or charge for making available the materials noted in paragraph (a) of this section, nor shall there be any fee or charge for copies made by a member of the public using such materials. The Maritime Administration will, however, charge for routine services rendered on request, such as duplication, reproduction, certification or authentication and mailing, according to the schedule set forth in § 380.35 or as otherwise provided by regulation not inconsistent with the provisions of that section.

(g) Exemptions to availability. Materials covered by this § 380.32 which qualify under one or more of the exemptions contained in 5 U.S.C. 552(b) shall not be made available for inspection and copying by the public, nor indexed, except where it is determined as a matter of policy that in some respect such materials may be made so available.

§ 380.33 Requests for identifiable records.

(a) General. (1) Subject to the limitations recited in subparagraph (2) of this paragraph, the Maritime Administration will make available promptly any identifiable record in its possession upon request from any member of the public pursuant to the provisions of 5 U.S.C. 552(a) (3).

(2) The general policy expressed in subparagraph (1) of this paragraph is subject to the following restrictions:

(i) Records made available according to the provisions of 5 U.S.C. 552(a) (1) and (2) are not covered.

(ii) The procedures contained in this § 380.33 must be complied with by each member of the public.

(iii) Where the Maritime Administration and a private reporting service are parties to a contract which provides that copies of transcripts be sold only by the reporting service, a party requesting a copy of a transcript shall be referred to the reporting service by the Maritime Administration. However, a copy of such transcript in the possession of the Maritime Administration shall be made available for inspection by the requesting party.

(iv) Records in current use by Maritime Administration personnel will not be available until the original, or a copy thereof at the option of the Maritime Administration, may be obtained without impairing the effective operation of the function for which it is currently in use. (v) Original records of the Maritime Administration will never be made available except in its offices and under the immediate supervision of its personnel. If a person is unable to make a personal visit to inspect a requested record determined to be available to him, a copy will be sent to him upon receipt of a request and payment of appropriate fees and charges specified in § 380.35.

(vi) During inspection of a record, a requesting party may make notes or copies by hand at no charge. However, duplication and other services rendered by the Maritime Administration are subject to the fees and charges prescribed in § 380.35.

(vii) No changes or alterations of any type may be made to the record being inspected, nor may any matter be added to or deleted therefrom. Papers bound or otherwise assembled may not be disassembled by the requesting party during inspection.

(b) Form and procedure of request. (1) Each request for identifiable records of the Maritime Administration must be submitted in writing on Form CD-244 entitled "Application to Inspect Records." Copies of such form may be obtained from the several Maritime Administration offices identified in the note to § 380.31(b) (4). Detailed instructions for completing the form appear on the back thereof. An application may contain reference to a single record or group of records related to the same subject matter, but each record sought must be separately listed.

(2) A completed Form CD-244, accompanied by the nonrefundable fee prescribed by § 380.35 (b) (1), shall be delivered in person or by mail to the Office of Public Information, Maritime Administration, General Accounting Office Building, Room 3037, 441 G Street NW., Washington, D.C. 20235.

(c) Burden of identifying record. Sole responsibility for identifying each record sought, in sufficient detail so that it can be located by Maritime Administration personnel familiar with the records, rests upon the requesting party.

(d) Processing of requests. (1) Upon receipt of a request for an identifiable record, the Office of Public Information shall proceed as follows:

(i) If the application is incomplete in some substantial and material respect, it shall be returned to the requesting party for completion.

(ii) If the application appears in order, it shall be forwarded to the Chief of Office, Staff Official, Superintendent of the U.S. Merchant Marine Academy or Coast Director having, or expected to have, possession or control of the record requested, who shall proceed according to the provisions of paragraph (e) of this section.

(iii) Subject to the provisions of subdivision (iv) of this subparagraph, if the record requested is not in being or not in the possession or control of the Maritime Administration, the requesting party shall be so notified in writing.

(iv) If the requested record is of mutual interest to the Maritime Administration and another executive department or agency of the Federal Government, appropriate consultation with the other executive department or agency shall occur in order to determine which has the predominant interest. If the Maritime Administration does not have the predominant interest in a requested

record, or if it has no interest in a record believed to be within the jurisdiction of another executive department or agency, the request shall be forwarded to the proper executive department or agency and the requesting party so notified in writing. Requests referred to the Maritime Administration by another department or agency shall be processed as though originally submitted to the Maritime Administration.

(v) The requesting party shall be advised of the several provisions of this subpart, in particular this § 380.33 and § 380.35, which concerns fees and charges.

(e) Officials with possession or control of record. The Chief of Office, Staff Official, Superintendent of the U.S. Merchant Marine Academy or Coast Director having possession or control of the requested record shall advise the Office of Public Information of any applicable charges under the terms of § 380.35(b) (2). Upon payment thereof by the requesting party, the official having possession or control of the requested record shall forward it, along with any comments deemed pertinent, to the official identified in paragraph (f) of this section.

(f) Initial determination of availability. (1) The Maritime Administrator has delegated his authority to make initial determination of the availability of requested identifiable records to the Secretary and the Assistant Secretary of the Maritime Administration and Maritime Subsidy Board. Notice of every such initial determination shall be conveyed both to the Office of Public Information and to the official having possession or control of the specific record.

(2) If the record is determined to be available, the requesting party shall be so notified in writing and the official having possession and control of the record shall be instructed to provide suitable accommodations for inspection and copying during a period prescribed.

(3) If the record is determined to be unavailable, the requesting party shall be promptly notified in writing, including therein (i) an express statement that access to the particular record is denied, (ii) the reason for denial, including reference to specific exemption under 5 U.S.C. 552(b) as appropriate, and (iii) specific reference to the provisions for review of an initial denial by the Maritime Administrator as contained in paragraph (h) of this section.

(4) If uncertainty exists as to the question of availability, the delegatees identified in subparagraph (1) of this paragraph shall follow the procedure set forth in paragraph (g) of this section, and otherwise comply with the terms of this 380.33 (f).

(g) Ad hoc determinations of availability. (1) Any question as to the availability of a requested record shall be stated in a written request for advice to the General Counsel, Maritime Administration, and the particular record shall be attached thereto.

(2) The General Counsel shall promptly respond with written advices in such detail as to permit compliance with the terms of paragraph (f) of this section. The General Counsel, Maritime Administration, shall consult with the General Counsel, Department of Commerce, as appropriate.

(h) Review of initial denial. (1) Requests for review from a party denied access to a particular identifiable record shall be submitted in accordance with the instructions on Form CD-244 within 30 days of the date of initial denial.

(2) The requesting party may submit arguments to support his belief that the record requested should be made available. No personal appearance, oral argument, or hearing shall be permitted. No fee or charge is applicable to the processing of a request for review.

(3) The decision upon review shall be made by the Maritime Administrator on the basis of the original application, the initial denial, and any written arguments submitted by the requesting party. The Maritime Administrator may obtain a staff report on the matter from the responsible official who rendered the initial denial and shall solicit the advice of the General Counsel, Department of Commerce, or his designee.

(4) The decision upon review shall be promptly made in writing and communicated to the requesting party, including therein (i) an express statement that such decision is final, (ii) explanation of any reservation or condition noted, and (iii) if the request is denied in whole or in part, the reason for denial and reference to the specific exemption under 5 U.S.C. 552(b) as appropriate.

(5) A copy of such final decision upon review shall be indexed by and kept available for public reference from the Secretary of the Maritime Administration and Maritime Subsidy Board, Gen

eral Accounting Office Building, Room 3041, 441 G Street, NW., Washington, D.C. 20235.

(i) Proceedings in a district court. Within the Maritime Administration the General Counsel shall be the focal point for cooperation with other Government officials regarding proceedings before a district court, pursuant to 5 U.S.C. 552 (a) (3), instituted by a party finally denied access to an identifiable record. § 380.34 Agency proceedings.

(a) Final votes. The final votes in proceedings of the Maritime Subsidy Board are available for public inspection from the Secretary of the Maritime Administration and Maritime Subsidy Board, General Accounting Office Building, Room 3041, 441 G Street NW., Washington, D.C. 20235, between 8:30 a.m. and 5 p.m. daily except Saturdays, Sundays, and holidays.

(b) Index. A current index to such final votes, maintained pursuant to the provisions of section 201(c), Merchant Marine Act, 1936, as amended (46 U.S.C. 1101 et seq.), is also available to the public under the conditions recited in paragraph (a) of this section.

§ 380.35 Fees and charges.

(a) General. (1) The Maritime Administration shall adhere to the policies of the Department of Commerce, the Congress and the Bureau of the Budget to the effect that services performed hereunder for members of the public are to be self-sustaining.

(2) Uniform fees established by the Department of Commerce from time to time are, and shall be, adopted by the Maritime Administration.

(b) Services provided and schedule of fees and charges. The following services are provided by the Maritime Administration upon advance payment of the fees and charges indicated.

(1) Application fee per request under 5 U.S.C. 552(a) (3)-$2. This fee is nonrefundable and covers costs of accepting and reviewing the application and making a determination as to the availability of the requested identifiable record, or group of related records. (2) Search fee, per hour per person, for records requested under 5 U.S.C. 552 (a) (3)-85 (with a minimum of $2.50). This fee covers the costs of locating the desired record, transporting it by Government messenger service to a point of inspection, supervising the inspection, and returning the record to its regular file.

(c) Adjustments and refunds of fees and charges. (1) The fees and charges set forth above are based upon an initial estimate of the costs to be incurred in providing the indicated services and may be revised as necessary to insure the recovery of all direct and indirect costs by the Maritime Administration.

(2) If actual cost exceeds the payment based on an estimate made at the time request is made by a member of the public, the requesting party will have the option of either paying the additional

cost or receiving the part of the service requested which is covered by the payment.

(3) If the payment based on an estimate made at the time of request by a member of the public is $1 or more in excess of actual costs and minimum fee, the excess above the higher will be refunded.

(d) Other services. The published regulations of the Maritime Administration contain provisions for assessment of special fees and charges for the performance of certain services by the Maritime Administration for the benefit of members of the public. Unless inconsistent with the provisions of this § 380.35, such regulations shall remain in full force and effect.

§ 380.36 Subpoenas, other compulsory processes and requests.

In any case where it is sought by subpoena, order, or other compulsory process or other demand of a court or other . authority to require the production or disclosure of any record in the files of the Maritime Administration or other information acquired by an officer or employee of the Maritime Administration as a part of the performance of his official duties or because of his official status, the matter shall be immediately referred for determination, through the Secretary of the Maritime Administration and Maritime Subsidy Board, to the Maritime Administrator who shall take all necessary steps as prescribed in section 7 of Department of Commerce Order 64 (32 F.R. 9734, July 4, 1967).

Part

401 Great Lakes Pilotage Regulations.

402

401.810 Application for establishment of pools.

401.820 Requirements and qualifications for authorization to establish pools. 401.330 Certificates of Authorization. 401.340 Compliance with working rules of pools.

Subpart D-Rates, Charges, and Conditions for Pilotage Services

401.400 Rates and charges on designated waters.

401.410 Rates and charges on undesignated

waters.

Examiners

thereto.

401.650 Review of Examiners initial de

cision.

AUTHORITY: The provisions of this Part 401 issued under sec. 4, 74 Stat. 260, sec. 6(a) (4), 80 Stat. 938; 46 U.S.C. 216b, 49 U.S.C. 1655 (a) (4); Department of Transportation Order 1100.1, Mar. 31, 1967, 49 CFR 1.4(a) (1), 32 F.R. 5606; unless otherwise noted.

Subpart A-General

SOURCE: The provisions of this Subpart A appear at 26 F.R. 951, Jan. 31, 1961, unless otherwise noted.