Source: http://federal.elaws.us/fr/notice/3/30/2004/04-6783
Timestamp: 2019-04-18 22:19:52+00:00

Document:
This document sets forth proposed revisions of the Department's procedural regulations under the Freedom of Information Act (FOIA). These proposed revisions are not intended to change any rights under the FOIA. The proposed regulations are intended as a routine updating of the Department's procedures—to streamline the existing procedures based on experience, to reflect certain changes in the procedural requirements of the FOIA since the current regulations were issued, and to make the Department's procedures easier for the public to understand.
Comments must be received on or before May 14, 2004.
Comments should be mailed to Robert A. Shapiro, Associate Solicitor for Legislation and Legal Counsel, 200 Constitution Avenue, NW., Room N-2428, Washington, DC 20210. Alternatively, comments can be faxed to 202-693-5539, or sent by e-mail to Foia-regulations-comments@dol.gov. All comments should be clearly identified as such.
Miriam McD. Miller, Co-Counsel for Administrative Law, telephone (202) 693-5522.
These comprehensive revisions of Part 70 incorporate changes to the language and structure of the regulations. A number of provisions have been revised, and in some cases reorganized, in order to clarify how the Department implements the procedural requirements of the FOIA.
These proposed revisions are not intended to change any rights under the FOIA. The proposed regulations are intended only as a routine updating of the Department's procedures—to streamline the existing procedures based on experience, to reflect certain changes in the procedural requirements of the FOIA since the current regulations were issued, and to make the Department's procedures easier for the public to understand.
The proposed regulations would add new provisions to explicitly implement the Electronic Freedom of Information Act Amendments of 1996 (Pub. L. 104-231). The Department has been operating in compliance with the amendments, and based on its experience is now proposing to update the regulations to reflect these changes in the law. New provisions implementing the amendments are found at § 70.4(d)(2) (electronic reading rooms); § 70.21(a) (format of disclosure); § 70.21(b)(3) (deletion marking and volume estimation); § 70.25 (timing of responses); and § 70.38(d) (electronic searches).
The Department presumes that since the E-FOIA amendments have been operative now for several years, most of those interested in commenting on the Department's implementation of those provisions will be familiar with the subject. However, those interested in consulting additional resources on any of the procedural requirements of the FOIA, and the E-FOIA amendments in particular, can readily find detailed information at the U.S. Department of Justice Web site. For example, a copy of the FOIA can be located at http://www.usdoj.gov/04foia/foiastat.htm; the current (May 2002) edition of the Department of Justice FOIA Reference Guide can be located at http://www.usdoj.gov/oip/foi-act.htm; and specific information about the E-FOIA amendments of 1996 can be located at http://www.usdoj.gov/oip/foia_updates/Vol_XVII_4/page1.htm.
The proposed regulations would also update the Department's fee schedule. Proposed revisions of the Department's fee schedule can be found at §§ 70.40(d)(1) and (3). The duplication charge will remain the same at fifteen cents per page, while document search and review charges will increase to $5.00 and $10.00 per quarter hour for clerical and professional or supervisory time, respectively. The amount at or below which the Department will not charge a fee will increase from $5.00 to $15.00 at § 70.43(a). The proposed regulations would also clarify the application of fees with respect to administrative appeals.
The proposed regulations would allow for the submission of e-mail FOIA requests to the Department. The regulations will create one e-mail address where all FOIA e-mail requests must be directed. Requests submitted to any other e-mail address will not be accepted. § 70.19(b).
The Secretary of Labor, in accordance with the Regulatory Flexibility Act (5 U.S.C. 601-612) has reviewed this proposed regulation and has certified to the Chief Counsel for Advocacy of the Small Business Administration that it will not have a significant economic impact on a substantial number of small entities.
Small entities, like any other individual or entity, may request information in the Department's files that has not been generally made available to the public. One of the major purposes of revising the Department's FOIA regulations is to make it simpler for small entities and others to understand where and how to seek information from the Department, and to ensure that they receive disclosable information (and an appropriate explanation of why any information has been deemed non-disclosable) in a timely way. Like other requesters, small entities seeking information, must in some cases pay fees. The FOIA establishes a fee structure to cover the direct costs of the government in searching for, reviewing, and duplicating requested records. The Department's proposed regulations are fully consistent with these requirements. For example, consistent with the statute, the regulations provide that no fees will be charged in specified circumstances, establish uniform fees to cover the time expended by professional and clerical employees, and include provisions for fee waivers. Moreover, in fully implementing the provisions of the E-FOIA Act, the proposed regulations will ensure that small entities have the opportunity to obtain information in the format of their choice (including electronic formats) when it is feasible for the Department to produce the information in the requested manner.
This proposed rule has been drafted and reviewed in accordance with Executive Order 12866, section 1(b), Principles of Regulation. This Department and the Office of Management and Budget have determined that this proposed rule is not a “significant regulatory action” under Executive Order 12866, section 3(f), Regulatory Planning and Review. Accordingly, there is no requirement for an assessment of potential costs and benefits under section 6(a)(3) of that order, nor has the rule been reviewed by the Office of Management and Budget.
This rule will not result in the expenditure by State, local, and tribal governments or by the private sector, in the aggregate, of $100,000,000 or more in any one-year, and it will not significantly or uniquely affect small governments. Therefore, no actions were deemed necessary under the provisions of the Unfunded Mandates Reform Act of 1995.
The Department has reviewed the proposed rules with reference to the Paperwork Reduction Act and has concluded that they do not involve any “collection of information” within the requirements of the Act.
These proposed regulations would not require any person to fill out a form or otherwise provide specific information (other than self-identification and appropriate certifications) to the Department in order to make a FOIA request or administrative appeal for records. Pursuant to regulations of the Office of Management and Budget implementing the Paperwork Reduction Act, affidavits, oaths, affirmations, certifications, receipts, changes of address, consents or acknowledgments are not “information collections” under the law (5 CFR 1320.3(h)(1)).
Consistent with the FOIA, the proposed regulations require those seeking fee waivers to address certain specific requirements set forth by the law; and consistent with the law and Executive Order 12600, the proposed regulations require submitters of information who wish to protect that information to address certain specific requirements toward that end. In order to ensure consistency in its treatment of requesters and information submitters in this regard, the components of the Department are encouraged to use standard form letters when soliciting information they need to make determinations on these points. However, each such letter addresses a different factual situation and ordinarily is tailored to the situation at issue in the specific case. Pursuant to regulations of the Office of Management and Budget implementing the Paperwork Reduction Act, facts or opinions requested from a single person are not “information collections” under the law (5 CFR 1320.3(h)(6)).
This part contains the regulations of the Department of Labor implementing the Freedom of Information Act (FOIA), as amended, 5 U.S.C. 552 and Executive Order 12600. It also implements the public information provisions of the Labor-Management Reporting and Disclosure Act (LMRDA), 29 U.S.C. 435, the Employee Retirement Income Security Act of 1974 (ERISA), 29 U.S.C. 1026 (section 106), and the Federal Advisory Committee Act (FACA), 5 U.S.C. app. 11. Subpart A contains general information about Department of Labor policies and procedures; subpart B sets forth the procedures for obtaining access to records of the Department; subpart C contains the Department's regulations on fees; and subpart D sets forth the procedures for obtaining access to certain public records. Appendix A contains a list of all Department of Labor disclosure officers from whom records may be obtained.
(k) Submitter means any person or entity from whom the Department receives or obtains commercial or financial information, directly or indirectly. The term submitter includes, but is not limited to corporations, labor organizations, non-profit organizations, local, state, tribal and foreign governments.
(5) A general index of the records referred to in paragraph (a)(4) of this section.
(b) Each component of the Department will maintain and make available, including through the Department's Internet/World Wide-Web site (http://www.dol.gov), current indexes providing identifying information regarding any matter issued, adopted or promulgated after July 4, 1967, and required by paragraph (a) of this section to be made available or published. Each component will publish and make available for distribution copies of such indexes and their supplements at least quarterly, unless it determines by Notice published in the Federal Register that publication would be unnecessary and impracticable. After issuance of such Notice, the component will provide copies of any index upon request at a cost not to exceed the direct cost of duplication.
(d) Records described in this section are available for examination or copying without the submission of a formal FOIA request. All records covered by this section are available through public reading rooms, and, to the extent indicated in this paragraph (d), through the Department's Internet/World Wide-Web site (http://www.dol.gov).
(1) Some components have public reading rooms only in Washington, DC, while other components provide reading rooms in area, district or regional offices throughout the United States. A disclosure officer in the appropriate component listed in appendix A to this part should be contacted to find out where the public reading room is located. If the appropriate component is unknown, inquiries can be directed to the Office of the Solicitor, Division of Legislation and Legal Counsel, 200 Constitution Avenue, NW., Room N2428, Washington, DC 20210. Fees for reproduction of records in public reading rooms are charged consistent with § 70.40.
(2) To the extent feasible, components are required to place copies of any records covered by this section and which were created on or after November 1, 1996 on the Internet/World-Wide Web. In particular, when records are required to be made available to the public pursuant to the requirements of paragraph (a)(4) of this section, the component will also place on the Internet/World-Wide Web, if technically feasible, any records that are released in the response to a FOIA decision. The Department's Internet home page may be searched to obtain these documents. The Department will make available to the public by electronic or other appropriate media any documents covered by this section that cannot be feasibly placed on the Internet/World-Wide Web.
(1) The functions of each major Department of Labor component are summarized in the United States Government Manual which is issued annually. The manual is available in print from the Superintendent of Documents, Washington, DC 20402-9328, and electronically at the Government Printing Office's World Wide-Web site, www.access.gpo.gov/su_docs. Appendix A of this part lists the disclosure officers of each component by title and address. This initial list has been included for information purposes only, and the disclosure officers may be changed through appropriate designation. Regional, district and field office addresses have been included in appendix A to this part to assist requesters in identifying the disclosure officer who is most likely to have custody of the records sought.
(2) Requesters who cannot determine the proper disclosure officer to which the request should be addressed, may direct the request to the Office of the Solicitor, Division of Legislation and Legal Counsel, 200 Constitution Avenue, NW., Room N2428, Washington, DC 20210 or by e-mail to foiarequest@dol.gov. Note, pursuant to § 70.25(a), the time for the component to respond to a request begins to run when the request is received by the proper disclosure officer.
(a) In general. Except as stated in paragraph (b) of this section, the disclosure officer who receives a request for a record and has possession of that record is the disclosure officer responsible for responding to the request. If requested by component heads, the Co-Counsel for Administrative Law will provide a coordinated response on behalf of the Department to any initial FOIA request.
(2) A brief statement of the reason or reasons for the denial, including the FOIA exemption or exemptions relied upon in denying the request.
(b) The appeal will state in writing, the grounds for appeal, and it may include any supporting statements or arguments, but such statements are not required. In order to facilitate processing of the appeal, the appeal should include the appellant's mailing address and daytime telephone number, as well as copies of the initial request and the disclosure officer's response. The envelope and the letter of appeal should be clearly marked: “Freedom of Information Act Appeal.” Any amendment to the appeal must be in writing and received prior to a decision on the appeal.
(c) The appeal should be addressed to the Solicitor of Labor, Division of Legislation and Legal Counsel, U.S. Department of Labor, 200 Constitution Avenue NW., Room N-2428, Washington, DC 20210.
The disposition of an appeal will be issued by the Solicitor of Labor or designee in writing. A decision affirming, in whole or in part, the decision below will include a brief statement of the reason or reasons for the affirmance, including the FOIA exemption or exemptions relied upon, and its relation to each record withheld, and a statement that judicial review of the denial is available in the United States District Court for the judicial district in which the requester resides or maintains his or her principal place of business, the judicial district in which the requested records are located, or the District of Columbia. If it is determined on appeal that a record should be disclosed, the record should be provided in accordance with the decision on appeal. If it is determined that records should be denied in whole or in part, the appeal determination will include an estimate of the volume or records of information withheld, in number of pages or in some other reasonable form of estimation. This estimate does not need to be provided if the volume is otherwise indicated through deletions on records disclosed in part, or if providing an estimate would harm an interest protected by an applicable exemption.
(2) A request for expedited processing may be made at the time of the initial request for records or at any later time. For a prompt determination, a request for expedited processing must be received by the proper component. Requests based on the categories in paragraphs (d)(1)(i), (ii), (iii) and (iv) of this section must be submitted to the component that maintains the records requested.
(e) Review means the process of examining records, including audio-visual, electronic mail, etc., located in response to a request to determine whether any portion of the located record is exempt from disclosure, and accordingly may be withheld. It also includes the act of preparing materials for disclosure, i.e., doing all that is necessary to excise them and otherwise prepare them for release. Review time includes time spent contacting any submitter, considering and responding to any objections to disclosure made by a submitter under § 70.26, but does not include time spent resolving general legal or policy issues regarding the application of exemptions.
(2) Depending upon the type of requester, one or all of the charges in paragraph (b)(1) of this section may be assessed. Paragraph (c) of this section sets forth the extent to which such charges may be assessed against each type of requester.
(c) Types of charges that may be assessed for each type of request. (1) Commercial use request. When a requester makes a commercial use request, search costs, reproduction costs and review costs will be assessed in their entirety.
(4) All other requests. Requesters making a request which does not fall within paragraphs (c)(1), (2), or (3) of this section may be charged search costs and reproduction costs, except that the first 100 pages of reproduction and the first two hours of search time will be furnished without charge. Where computer searches are involved, the monetary equivalent of two hours of search time by a professional employee will be deducted from the total cost of computer processing time.
(2) Reproduction costs. The standard copying charge for records in paper copy is $0.15 per page. This charge includes the operator's time to duplicate the record. When responsive information is provided in a format other than paper copy, such as in the form of computer tapes and disks, the requester may be charged the direct costs of the tape, disk, audio-visual or whatever medium is used to produce the information, as well as the direct cost of reproduction, including operator time. The disclosure officer may request that if a medium is requested other than paper, the medium will be provided by the requester.
(3) Review costs. Costs associated with the review of records, as defined in § 70.38(e), will be charged for work performed by a clerical employee at a rate of $5.00 per quarter hour when applicable. When professional or supervisory personnel perform work, a rate of $10.00 per quarter hour will be charged, when applicable. Except as noted in this paragraph (d)(3), charges may only be assessed for review the first time the records are analyzed to determine the applicability of specific exemptions to the particular record or portion of the record. Thus a requester would not be charged for review at the administrative appeal level with regard to the applicability of an exemption already applied at the initial level. When, however, a record has been withheld pursuant to an exemption which is subsequently determined not to apply and is reviewed again at the appellate level to determine the potential applicability of other exemptions, the costs attendant to such additional review will be assessed.
(i) For certification of true copies, each $10.00.
(ii) For attestation under the seal of the Department, each $10.00.
(b) Requests for waiver or reduction of fees must be submitted along with the request or before processing of the request has been commenced.
(c) Appeal rights. The procedures for appeal under § 70.22 and § 70.23 will control.
(3) For a request other than those described in paragraphs (c)(1) and (2) of this section, a disclosure officer will not require the requester to make an advance payment before beginning to process a request. Payment owed for work already completed on a request pursuant to consent of the requester is not an advance payment and a disclosure officer may require the requester to make a payment for such work prior to releasing any records to the requester.
(c) Pursuant to 29 U.S.C. 435(c) which provides that the Secretary will by regulation provide for the furnishing of copies of the documents listed in paragraph (a) of this section, upon payment of a charge based upon the cost of the service, these documents are available at a cost of $.15 per page for record copies furnished. Authentication of copies is available in accordance with the fee schedule established in § 70.40. In accordance with 5 U.S.C. 552(a)(4)(A)(vi), the provisions for fees, fee waivers and fee reductions in subpart C of this part do not supersede these charges for these documents.
The heads of the foregoing agencies will make available for inspection and copying in accordance with the provisions of this part, records in their custody or in custody of component units within their organizations, either directly or through their authorized representative in particular offices and locations.
The mailing address for all requests directed to the Mine Safety and Health Administration (MSHA) is: 1100 Wilson Boulevard, 21st Floor,Arlington, Virginia 22209.
Region I: U.S. Department of Labor, John F. Kennedy Federal Building, Boston, Massachusetts 02203 (For Wage and Hour only: Contact Region III).
Region II: 201 Varick Street, New York, New York 10014 (For Wage and Hour only: Contact Region III).
Region III: The Curtis Center, 170 South Independence Mall West, Suite 825 East, Philadelphia, Pennsylvania 19106.
U.S. Department of Labor, Atlanta Federal Center, 61 Forsyth Street, SW., Atlanta, Georgia 30303.
214 N. Hogan Street, Suite 1006, Jacksonville, Florida 32202 (OWCP only).
Kluczynski Federal Building, 230 South Dearborn Street, Chicago, Illinois 60604.
1240 East Ninth Street, Room 851, Cleveland, Ohio 44199 (FECA only).
Region VI: 525 Griffin Square Building, Griffin Young Streets, Dallas, Texas 75202.
City Center Square Building, 1100 Main Street, Kansas City, Missouri 64105 (For Wage and Hour only: Contact Region V).
801 Walnut Street, Room 200, Kansas City, Missouri 64106 (OFCCP only).
1999 Broadway Street, Denver, Colorado 80202 (For Wage and Hour and OFCCP: Contact Region VI).
1999 Broadway, Suite 600, Denver, Colorado 80202 (OWCP only).
The mailing address for the Regional Director, Bureau of Apprenticeship and Training in Region VIII is: U.S. Custom House, 721-19th Street, Room 465, Denver, Colorado 80202.
Region IX: 71 Stevenson Street, San Francisco, California 94105.
Region X: 1111 Third Avenue, Seattle, Washington 98101 (For Wage and Hour only: Contact Region IX).
JFK Federal Building, Room E-235, Boston, Massachusetts 02203.
201 Varick Street, Room 750, New York, New York 10014.
The Curtis Center, 170 South Independence Mall West, Philadelphia, Pennsylvania 19106.
61 Forsyth Street, SW., Suite 7B75, Atlanta, Georgia 30303.
Klucynski Federal Building, 230 South Dearborn Street, Room 570, Chicago, Illinois 60604.
Federal Building, 525 South Griffin Street, Room 840, Dallas, Texas 75202.
71 Stevenson Street, Suite 1700, San Francisco, California 94105.
1111 Third Avenue, Suite 610, Seattle, Washington 98101.
John F. Kennedy Federal Building, Room E-260, Boston, Massachusetts 02203 (FECA and LHWCA only).
201 Varick Street, Seventh Floor, Room 750, New York, New York 10014 (LHWCA and FECA only ).
The Curtis Center, 170 South Independence Mall West, Philadelphia, Pennsylvania 19106 (LHWCA and FECA only).
Penn Traffic Building, 319 Washington Street, Johnstown, Pennsylvania 15901(BLBA only).
105 North Main Street, Suite 100, Wilkes-Barre, Pennsylvania 18701 (BLBA only).
Wellington Square, 1225 South Main Street, Suite 405, Greensburg, Pennsylvania 15601 (BLBA only).
The Federal Building, 31 Hopkins Plaza, Room 410-B Baltimore, Maryland 21201(LHWCA only).
Federal Building, 200 Granby Mall, Room #212, Norfolk, Virginia 23510 (LHWCA only).
2 Hale Street, Suite 304, Charleston, West Virginia 25301 (BLBA only).
425 Juliana Street, Suite 3116, Parkersburg, West Virginia 26101 (BLBA only).
800 North Capitol Street, NW., Room 800, Washington, DC 20211 (FECA only).
164 Main Street, Suite 508, Pikeville, Kentucky 41501 (BLBA only).
402 Campbell Way, Mt. Sterling, Kentucky 40353 (BLBA only).
214 N. Hogan Street, 10th Floor, Room 1026, Jacksonville, Florida 32202 (LHWCA and FECA only).
230 South Dearborn Street, Room 800, Chicago, Illinois 60604 (LHWCA and FECA only).
1240 East 9th Street, Room 851, Cleveland, Ohio 44199 (FECA only).
1160 Dublin Road, Suite 300, Columbus, Ohio 43214 (BLBA only).
525 Griffin Street, Federal Building, Dallas, Texas 75202 (FECA only).
701 Loyola Avenue, Room 13032, New Orleans, Louisiana 70113 (LHWCA only).
8866 Gulf Freeway, Suite 140, Houston, Texas 77017 (LHWCA only).
City Center Square, Suite 750, 1100 Main Street, Kansas City, Missouri 64105 (FECA only).
1999 Broadway, Suite 600, Denver, Colorado 80202 (FECA and BLBA only).
71 Stevenson Street, Suite 1705, San Francisco, California 94105 (LHWCA and FECA only).
401 E. Ocean Boulevard, Suite 720, Long Beach, California 90802 (LHWCA only).
300 Ala Moana Boulevard, Room 5-135, Honolulu, Hawaii 96850 (LHWCA only).
1111 3rd Avenue, Suite 620, Seattle, Washington 98101 (LHWCA and FECA only).
The mailing address for all requests directed to the field office of the Mine Safety and Health Administration (MSHA) is: 1100 Wilson Boulevard, 21st Floor, Arlington, Virginia 22209.
639 Granite Street, 4th Floor, Braintree, Massachusetts 02184.
279 Pleasant Street, Suite 201, Concord, New Hampshire 03301.
Federal Building, 450 Main Street, Room 613, Hartford, Connecticut 06103.
1057 Broad Street, 4th Floor, Bridgeport, Connecticut 06604.
1441 Main Street, Room 550, Springfield, Massachusetts 01103.
Federal Office Building, 380 Westminister Mall, Room 543, Providence, Rhode Island 02903.
Regional Director, J.F.K. Federal Building, Room 575, Boston, Massachusetts 02203.
Regional Director, 201 Varick Street, New York, New York 10014.
Regional Director, The Curtis Center, 170 South Independence Mall West, Suite 870 West, Philadelphia, Pennsylvania 19106.
District Supervisor, 1335 East-West Highway, Suite 200, Silver Spring, Maryland 20910.
Regional Director, 61 Forsyth Street, SW., Room 7B54, Atlanta, Georgia 30303.
District Supervisor, 8040 Peters Road, Building H, Suite 104, Plantation, Florida 33324.
Regional Director, 1885 Dixie Highway, Suite 210, Ft. Wright, Kentucky 41011.
District Supervisor, 211 West Fort Street, Suite 1310, Detroit, Michigan 48226.
Regional Director, 200 West Adams Street, Suite 1600, Chicago, Illinois 60606.
Regional Director, 1100 Main Street, Suite 1200, Kansas City, Missouri 64105.
District Supervisor, Robert Young Federal Building, 1222 Spruce Street, Room 6.310, St. Louis, Missouri 63103.
Regional Director, 525 Griffin Street, Room 900, Dallas, Texas 75202.
Regional Director, 71 Stevenson Street, Suite 915, P.O. Box 190250, San Francisco, California 94119.
District Director, 1111 Third Avenue, Room 860, Seattle, Washington 98101.
Regional Director, 1055 E. Colorado Blvd, Suite 200, Pasadena, California 91106.
Region I: J.F. Kennedy Federal Building, Government Center, Room E-315, Boston, Massachusetts 02203.
Region II: 201 Varick Street, Room 766, New York, New York 10014.
Region III: U.S. Customs House, Second and Chestnut Streets, Room 802, Philadelphia, Pennsylvania 19106.
Region IV: Sam Nunn Atlanta Federal Center, 61 Forsyth Street, SW., Room 6T85, Atlanta, Georgia 30303.
Region V: 230 South Dearborn, Room 1064, Chicago, Illinois 60604.
Region VI: 525 Griffin Street, Room 858, Dallas, Texas 75202.
Region VII: City Center Square Building, 1100 Main Street, Suite 850, Kansas City, Missouri 64105.
Region VIII: 1999 Broadway, Suite 1730, Denver, Colorado 80202.
Region IX: 71 Stevenson Street, Suite 705, San Francisco, California 94105.
Region X: 1111 Third Avenue, Suite 800, Seattle, Washington 98101.
Signed at Washington, DC, this 22nd day of March, 2004.

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