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(b) An employee who believes the remedial action will cause undue hardship may request a review and modification by forwarding to the Director of Personnel through the head of his agency a written statement setting forth all the facts and circumstances with the reasons for the request for a modification. $ 0.735–64 Protection of reports.

(a) The statements of employment and financial interests, and supplements thereto, required by or pursuant to the regulations in this part shall be held in confidence and afforded adequate physical security. No information as to the contents thereof shall be disclosed except to the head of the employing agency and such other persons as may be designated custodians or reviewers of such reports unless specific authorization has been obtained from the Department Counselor. An official, custodian, reviewer, or other employee having possession of a statement of employment and financial interests shall not allow access to, or allow information to be disclosed from the statement except to carry out the purposes of this Part 0.

(b) Information from a statement of employment and financial interests shall not be disclosed outside of the Department except as the Civil Service Commission or the Secretary of Agriculture may determine for good cause shown.

(c) Reports shall be separately maintained by the officials designated as custodians for such reports and shall not be made a part of the official personnel folders.

(d) Regardless of the means or manner of transmission, when these reports leave the physical custody of the employee or a designated reviewer, they shall be enclosed in a double sealed envelope. The inner envelope shall be marked: “For Official Use Only,” “Contains AD-392 (or AD-392-A)," as appropriate, and “To Be Opened By Addressee



Subpart A-Official Records Sec. 1.1 Policy. 1.2 Request for examination or copy of

records. 1.3 Authentication. 1.4 Restrictions on availability. 1.5 Compulsory process. 1.6 Records in formal adjudication and

formal rule-making proceedings.

Subpart B-Departmental Proceedings 1.26 Representation before the Department

of Agriculture. 1.27 Rule-making procedures. 1.28 Petitions. 1.29 Subpoenas relating to meat inspection


Subpart C-Judicial Proceedings 1.41 Service of process.

Subpart DClaims 1.51 Claims based on negligence, wrongful

act, or omission. 1.52 Claims collection standards. Subpart E-Cooperative Production of Television

Films 1.71 Purpose. 1.72 Policy. 1.73 Responsibility. 1.74 Basis for special working relationships. 1.75 General stipulations. 1.76 Department cooperation. 1.77 Assignment of priorities. 1.78 Development of special working rela

tionships. 1.79 Credits. Subpart F-Vending Stands To Be Operated by

Licensed Blind Persons 1.91 Purpose. 1.92 Department policy. 1.93 Procedure. 1.94 Special provisions.

Subpart G [Reserved) Subpart H-Delegation of Authority 1.201 General delegation of authority.

AUTHORITY: The provisions of this Part 1, issued under R.S. 161, as amended, 5 U.S.C. 301, unless otherwise noted.

Subpart A-Official Records AUTHORITY: The provisions of this Subpart A also issued under 5 U.S.C. 552, 559.

SOURCE: The provisions of this Subpart A appear at 32 F.R. 9605, July 4, 1967, unless otherwise noted. § 1.1 Policy.

It is the policy of this Department to make its records available to the public


(31 F.R. 8528, June 18, 1966, as amended at 33 F.R. 955, Jan. 26, 1968] $ 0.735–65 Agency implementation.

Agencies of the Department may issue such additional regulations as are necessary and consistent with the regulations in this part, following approval of the Director of Personnel. Such agency regulations shall be furnished to employees in the same manner as the regulations in this part.

to the maximum extent consistent with the national welfare and the rights of individual citizens. This means that, with certain exceptions, the records of the Department are freely available for public inspection. The exceptions are limited to those expressly required by law or authorized by the standards and principles contained in 5 U.S.C. 552(b). § 1.2 Request for examination or copy

of records. (a) General. Request for examination of a record or for a copy thereof shall be made to the agency administering the program. Examination of records shall be at the time and place specified by the agency; and copies or extracts shall be furnished and the recipient charged, where appropriate, in accordance with the Department fee schedule.

(b) Fee schedule. The Director, Office of Plant and Operations, shall issue regulations relating to fees and charges for reproductions and for furnishing copies and making searches of official records. § 1.3

Authentication. When a request is received for an authenticated copy of a document which may be made available to the requesting party, the agency having possession thereof shall cause a correct copy to be prepared and sent to the Office of the General Counsel which shall certify the same and cause the seal of the Department to be affixed, except that the Judicial Officer, or the Hearing Clerk when directed by the Judicial Officer, may authenticate copies of documents in the records of the Hearing Clerk. $ 1.4 Restrictions on availability.

(a) (1) Each agency in the Department, or the Assistant Secretary having responsibility for the activities of the agency, shall issue regulations setting forth the records which are exempt for disclosure because they are:

(i) Matters specifically required by Executive order to be kept secret;

(ii) Matters related solely to the internal personnel rules and practices of the Department;

(iii) Matters specifically exempted from disclosure by statute;

(iv) Trade secrets and commercial or financial information obtained from any person and privileged or confidential;

(v) Inter-agency intra-agency memoranda or letters which would not

be available by law to a party other than an agency in litigation with the Department;

(vi) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;

(vii) Investigatory files compiled for law enforcement purposes except to the extent available by law to a party other than an agency;

(viii) Matters contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of any agency of the Department responsible for the regulation or supervision of financial institutions; or

(ix) Geological and geophysical information and data, including maps, concerning wells.

(2) The records of the Department that are within the above categories shall not be available to the public even though not specifically set forth in the agency regulations.

(3) Except where disclosure is prohibited by Executive order or statute, or by regulations of other Government agencies, the head of an agency may, in individual cases, make records exempt from disclosure available if he determines that disclosure will not adversely affect the national interest or constitute an unwarranted invasion of individual privacy.

(b) Agency regulations shall specify when records become available for inspection, where and the time when records may be inspected, the procedures to be followed in requesting access, the opportunity for appeal to the head of the agency where access is denied, and such other provisions as may be necessary to carry out the policy of this subpart.

(c) In determining which records shall be exempt, agencies shall be guided by the Attorney General's Memorandum On The Public Information Section of the Administrative Procedure Act, June 1967, or any revision thereof, and the committee reports referred to therein. (This Memorandum may be purchased from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.)

(d) Upon determination by a representative of an agency that a record is not available, the person requesting the record may appeal in writing to the head of the agency whose decision shall be final.


(e) Many of the records in the files of other authority while he is appearing agencies of the Department are obtained before, or is otherwise in the presence from other agencies of the Department of the court or other authority, the emand other departments and agencies of ployee, or other appropriate Governthe Government. Where the question of ment official or attorney acting on behalf the availability of a record is determined of the employee, shall (1) immediately to be primarily the responsibility of an inform the court or other authority that agency other than the agency receiving this section prohibits the employee fr a request therefor, the request will be producing or disclosing the information referred to that agency for processing in or material demanded without the prior accordance with that agency's regula- approval of the agency head or the Sections and the person submitting the re- retary of Agriculture, and (2) offer to quest shall be so notified. In such in- refer the demand for the prompt constance the decision of the responsible sideration of the agency head or the officer of the agency having such respon- Secretary of Agriculture. Unless the sibility with respect to the record shall court or other authority withdraws the be honored by agencies of this Depart- demand, the employee, or other approment.

priate Government official or attorney, (f) The regulations in this subpart shall provide the court or other authorand 5 U.S.C. 552(a) deal only with ity a copy of the regulations prescribed records in being and in the possession or by this subpart and shall respectfully control of an agency and impose no request the court or other authority to obligation to compile or procure a record stay the demand pending the receipt of in response to a request.

instructions or directions from the $ 1.5 Compulsory process.

agency head or the Secretary of Agri

culture concerning the demand. (a) Referral to Secretary. In any case (c) Procedure in the event of an adwhere it is sought by subpoena, order, or verse ruling. If the court or other auother compulsory process or demand thority declines to stay the effect of the (hereinafter in this part referred to as a demand in response to a request made in “demar ") to require the production or accordance with paragraph (a) or (b) disclosure of any record or material of this section pending the receipt of which is exempt from disclosure under instructions or directions from the f 1.4 or information related thereto agency head or the Secretary of Agriculacquired by an employee of this Depart- ture, or if the court or other authority ment in the performance of his official rules adversely on any claim of privilege duties or because of his official status, that may be asserted in conformity with the matter shall be referred to the the provisions of this subpart or with agency head for determination. If the instructions or directions issued by the agency head determines that it would be Secretary of Agriculture pursuant thereimproper to comply with the demand, to, the employee upon whom the demand the matter will be referred to the Secre- shall have been made shall, pursuant to tary of Agriculture for final determina- the regulations prescribed in this subtion. Unless the Secretary determines part, respectfully decline to produce or that the records, material, or informa- disclose the records, material, or infortion should be produced, the employee mation demanded. who appears in answer to the demand

$ 1.6 Records in formal adjudication will respectfully decline to produce or

and formal rule-making proceedings. disclose the records, material, or information demanded on the ground that the

Records in formal adjudication and disclosure is prohibited by this section.

formal rule-making proceedings are on The employee shall provide the court or

file in the Office of the Hearing Clerk, other authority with a copy of the regu

U.S. Department of Agriculture, Washlations prescribed in this subpart and

ington, D.C. 20250, and shall be made shall respectfully request the court or

available to the public. other authority to withdraw the demand.

Subpart B—Departmental (b) Demand before court or other

Proceedings authority for records or information exempt from disclosure. Whenever a de- § 1.26 Representation before the Departmand of the type described in paragraph ment of Agriculture. (a) of this section is made upon an em- (a) Applicability. The provisions of ployee of this Department by a court or this section apply to all hearings and

other proceedings before the Department of Agriculture, except to the extent that any other regulation of the Department

may specifically make such provisions, or any part thereof, inapplicable as to particular hearings or other proceedings.

(b) Administrative provisions. (1) In any hearing or other proceeding before the Department of Agriculture, the parties may appear in person or by counsel or other representative. Persons who appear as counsel or in a representative : capacity in any hearing or proceeding must conform to the standards of ethical conduct required of practitioners before the U.S. District Court for the District of Columbia, and to any applicable

standards of ethical conduct established by statutes, executive orders and regulations.

(2) Whenever the Secretary finds, after notice and opportunity for hearing, that a person who is acting or has acted as counsel or representative in any hearing or other proceeding before the Department has not conformed to any such standards of ethical conduct, he may order that such person be precluded from acting as counsel or representative in any hearing or other proceeding before the Department for such period of time as he deems warranted. Whenever the Secretary has probable cause to believe that any person who is acting or has acted as counsel or representative in any such hearing or other proceeding has not conformed to any such standards of ethical conduct, he may, by written notice to such person, suspend him from acting as such a counsel or representative pending completion of the procedures specified in the preceding sentence.

(3) No employee or former employee of the Department shall be permitted to represent any person before the Department in connection with any particular matter as to which by reason of his employment he acquired personal knowledge of such a nature that it would be improper, unethical, or contrary to the public interest for him so to act.

(4) This section shall not be construed to prevent an employee or former employee of the Department from appear

ing as a witness in any hearing or other i proceeding before the Department.

(c) Statutory provisions. Chapter 11 of Title 18, United States Code prohibits employees and former employees from

representing others under certain circumstances. See $ 0.735-41 of this subtitle for illustrations. (18 U.S.C. 203, 205, 207) (32 F.R. 5458, Apr. 1, 1967) § 1.27 Rule making procedures.

In all cases where notice of proposed rule making is given:

(a) The notice shall indicate the procedure to be followed in the rule making proceeding unless the procedure is prescribed by statute or by published rule of the Department. Each notice of proposed rule making shall contain a statement which will advise the public of the policy regarding availability of written submissions by indicating specifically whether paragraphs (b), (c), or (d) of this section will be applicable to submissions made pursuant to the notice.

(b) All written submissions made pursuant to notice of proposed rule making shall be made available for public inspection at such times and places and in a manner convenient to the publio business.

(c) Any submission, pursuant to such notice, will be held confidential when so requested by the person making the submission upon a determination, by an official of the Department authorized to issue the rule under consideration, that he has shown that the making public of the submission may result in an adverse effect on him by reason of:

(1) disclosing trade secrets, processes, operations, style of work or apparatus, or the identity, confidential statistical data, amount or source of any income, profits, losses, or expenditures; or

(2) exposing such person to substantial disadvantage in his business or employment. Where request is made hereunder for confidential treatment of a submission, the person making the request shall be informed promptly in the event the request is denied and afforded an opportunity to withdraw the submission. Any such request will be held confidential; however, where a determination is made to grant a request for confidential treatment under subparagraph (2) of this paragraph, a statement of the specific basis for such determination which will not be susceptible of identifying the person making the request will be made available for public inspection.

(d) Where the nature of the subject matter of the proposed rule is such that meaningful submissions cannot be expected unless they treat with matters of the kind referred to in paragraph (c) of this section, then in that event the notice of proposed rule making shall so indicate and also contain a statement that submissions pursuant thereto will be treated as confidential: Provided, That such action shall have the prior approval of the Secretary, the Under Secretary, or an Assistant Secretary.

(e) This section shall apply in any instance where the Department or an agency thereof by published notice solicits, or affords interested members of the public an opportunity to submit, written views with respect to any proposed action relating to any program administered in the Department regardless of the fact that the issuance of a rule may not be contemplated. [29 F.R. 7311, June 5, 1964, as amended at 29 F.R. 9319, July 8, 1964] $ 1.28 Petitions.

Petitions by interested persons in accordance with the provisions of section 4(d) of the Administrative Procedure Act (60 Stat. 239; 5 U.S.C. 1003(d)) for the issuance, amendment or repeal of a rule may be filed with the official that issued or authorized to issue the rule. All such petitions will be given prompt consideration and petitioners will be notified promptly of the disposition made of their petitions. (11 F.R. 177A-233, Sept. 11, 1946. Redesignated at 13 F.R. 6703, Nov. 16, 1948) § 1.29 Subpoenas relating to meat in

spection program. (a) Definitions. When used in this section, the following words, names, or terms shall be construed as follows:

(1) Secretary. The Secretary of Agriculture, or any person acting in his stead.

(2) Administrator. The Administrator of the Consumer and Marketing Service, U.S. Department of Agriculture, or any person acting in his stead.

(3) Inspector General. The Inspector General of the U.S. Department of Agriculture, or any person acting in his stead.

(4) Designated place of hearing. Any place designated for the production of witnesses or documentary evidence, which may include a witness' place of business.

(5) Federal Meat Inspection Act. The Federal Meat Inspection Act (34 Stat. 1260, as amended by the Wholesome Meat Act, Public Law 90-201; 21 U.S.C. 601 et seq.).

(6) Investigation. Any investigation, inquiry, inspection, or audit conducted by the Consumer and Marketing Service or by the Office of the Inspector General, U.S. Department of Agriculture, relating to efficient administration and enforcement of the Federal Meat Inspection Act.

(b) Issuance of subpoena. The attendance of a witness and the production of documentary evidence relating to an investigation may, by subpoena, be required at any designated place of hearing. A subpoena may be issued by either the Secretary, the Administrator, or the Inspector General upon a reasonable showing by the applicant of the grounds, necessity, and reasonable scope thereof.

(c) Service of subpoena. (1) A subpoena issued pursuant to this section may be served by:

(i) A U.S. Marshal or Deputy Marshal,

(ii) Any other person who is not less than 18 years of age, or

(iii) Certified or registered mailing of a copy of the subpoena addressed to the person to be served at his or its last known residence or principal place of business or residence.

(2) Proof of service may be made by the return of service on the subpoena by the U.S. Marshal or Deputy Marshal; or, if served by an individual other than a U.S. Marshal or Deputy Marshal, by an affidavit of such person stating that he personally served a copy of the subpoena upon the person named therein; or, if service was by certified or registered mail, by the signed return Post Office receipt.

(3) In making personal service, the person making service shall leave a copy of the subpoena with the person subpoenaed; and the original, bearing or accompanied by the required proof of service, shall be returned to the official who issued the subpoena. (Sec. 407, 34 Stat. 1260, as amended; 21 U.S.C. 677, 15 U.S.C. 49) [33 F.R. 7295, May 17, 1968]

Subpart C-Judicial Proceedings 8 1.41

Service of process. Process in any suit brought in Washington, District of Columbia, against the United States or any officer of the U.S. Department of Agriculture in any matter involving the activities of this Department, shall be served on the General Counsel of the Department. A U.S. Marshal or other process server attempting to serve process in such a suit on any

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