Source: http://thefederalregister.com/2012/09/13/2012-22391.html
Timestamp: 2018-02-18 10:39:33
Document Index: 345731039

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RIN 1093-AA15
This rule would revise the regulations that the Department follows in processing records under the Freedom of Information Act ("FOIA"). The revisions clarify and update procedures for requesting information from the Department and procedures that the Department follows in responding to requests from the public. The revisions also incorporate clarifications and updates resulting from changes to the FOIA and case law. Finally, the revisions include current cost figures to be used in calculating and charging fees and increase the amount of information that members of the public may receive from the Department without being charged processing fees.
DATES: Comments must be submitted on or before November 13, 2012.
ADDRESSES: 1.Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions on the Web site for submitting comments.
2.U.S. mail, courier, or hand delivery:Executive Secretariat--FOIA regulations, Department of the Interior, 1849 C Street NW., Washington, DC 20240.
FOR FURTHER INFORMATION CONTACT: Cindy Cafaro, Office of Executive Secretariat and Regulatory Affairs, 202-208-5342.
The revisions also incorporate changes to the language and structure of the FOIA regulations in order to improve the Department's FOIA performance. More nuanced multitrack processing can be found at § 2.15. Partial fee waivers will expressly be permitted under § 2.45. Proposed revisions of the Department's fee schedule can be found at § 2.42, § 2.49(a)(1), and Appendix A. The duplication charge for physical records or scanning records will increase from thirteen to fifteen cents a page. The amount at or below which the Department will not charge a fee will increase from $30.00 to $50.00.
II. Compliance With Laws and Executive Orders 1. Regulatory Planning and Review (Executive Orders 12866 and 13563)
The Department of the Interior certifies that this proposed rule will not have a significant economic effect on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601et seq.).
This proposed rule does not impose an unfunded mandate on State, local, or tribal governments or the private sector of more than $100 million per year. The proposed rule does not have a significant or unique effect on State, local or tribal governments or the private sector. A statement containing the information required by the Unfunded Mandates Reform Act (2 U.S.C. 1531et seq.) is not required.
In accordance with Executive Order 12988, the Office of the Solicitor hasdetermined that this proposed rule does not unduly burden the judicial system and meets the requirements of sections 3(a) and 3(b)(2) of the Order.
David J. Hayes, Deputy Secretary of the Interior.
5 U.S.C. 301, 552, 552a, 553; 31 U.S.C. 3717; 43 U.S.C. 1460, 1461.
3. Subpart F (consisting of § 2.41), subpart G (consisting of §§ 2.45 through 2.79), and subpart H (consisting of §§ 2.80 through 2.90) are redesignated as subpart J (consisting of § 2.141), subpart K (consisting of §§ 2.145 through 2.179), and subpart L(consisting of §§ 2.180 through 2.190).
Subpart A—Introduction Sec. 2.1 What should you know up front? 2.2 What kinds of records are not covered by the regulations in subparts A through I of this part? Subpart B—How to Make a Request 2.3 Where should you send a FOIA request? 2.4 Does where you send your request affect its processing? 2.5 How should you describe the records you seek? 2.6 How will fee information affect the processing of your request? 2.7 What information should you include about your fee category? 2.8 Can you ask for records to be disclosed in a particular form or format? 2.9 What if your request seeks records about another person? 2.10 May you ask for expedited processing? 2.11 What contact information should your request include? Subpart C—Processing Requests 2.12 What should you know about how bureaus process requests? 2.13 How do consultations and referrals work? Subpart D—Timing of Responses to Requests 2.14 In what order are responses usually made? 2.15 What is multitrack processing and how does it affect your request? 2.16 What is the basic time limit for responding to a request? 2.17 When does the basic time limit begin for misdirected FOIA requests? 2.18 When can the bureau suspend the basic time limit? 2.19 When may the bureau extend the basic time limit? 2.20 When will expedited processing be provided and how will it affect your request? Subpart E—Responses to Requests 2.21 How will the bureau respond to requests? 2.22 How will the bureau grant requests? 2.23 When will the bureau deny requests? 2.24 How will the bureau deny requests? 2.25 What if the requested records contain both exempt and nonexempt material? Subpart A—Introduction
§ 2.1 What should you know up front?
(b) Definitions of terms used in Subparts A through I of this part are found at § 2.70.
(d) The Department's FOIA Handbook and its attachments contain detailed information about Department procedures for making FOIA requests and descriptions of the types of records maintained by different Department bureaus or offices. This resource is available athttp://www.doi.gov/foia/guidance.cfm.
(g) Before you file a FOIA request, you are encouraged to review the Department's electronic FOIA libraries athttp://www.doi.gov/foia/libraries.cfm.The material you seek may be immediately available electronically at no cost.
§ 2.3 Where should you send a FOIA request?
(c) Address requests to the appropriate FOIA contact in the bureau that maintains the requested records. The Department's FOIA Web site,http://www.doi.gov/foia/index.cfm, lists the physical and email addresses of each bureau's FOIA Officer, along with other appropriate FOIA contacts athttp://www.doi.gov/foia/contacts.cfm.
(d) Questions about where to send a FOIA request should be directed to the bureau that manages the underlying program or to the appropriate FOIA Public Liaison, as discussed in § 2.66.
§ 2.5 How should you describe the records you seek?
(c) If the request does not reasonably describe the records sought, the bureau will inform you what additional information is needed. It will also notify you that it will not be able to comply with your FOIA request unless you provide the additional information requested within 20 workdays. If you receive this sort of response, you may wish to discuss it with the bureau's designated FOIA contact or its FOIA Public Liaison (see § 2.66). If the bureau does not hear from you within 20 workdays after asking for additional information, it will presume that you are no longer interested in the records and will close the file on the request.
§ 2.6 How will fee information affect the processing of your request?
(1) Needs either an assurance that you will pay the anticipated fees or an advance payment (see § 2.50); and
(d) If you are seeking a fee waiver, your request must include sufficient justification (see the criteria in § 2.45, § 2.48 and § 2.56). Failure to provide sufficient justification will result in a denial of the fee waiver request. If you are seeking a fee waiver, you may also indicate the amount you are willing to pay if the fee waiver is denied (see § 2.46 for the fee waiver criteria). This allows the bureau to process the request for records while it considers your fee waiver request.
§ 2.7 What information should you include about your fee category?
(a) A request should indicate your fee category (that is, whether you are a commercial-use requester, news media, educational or noncommercial scientific institution, or other requester under the criteria in § 2.38 and § 2.39).
(c) If your fee category is unclear, the bureau may ask you for additional information (see § 2.51).
§ 2.8 Can you ask for records to be disclosed in a particular form or format?
§ 2.9 What if your request seeks records about another person?
§ 2.10 May you ask for expedited processing?
You may include a request for expedited processing, which the bureau will evaluate under the criteria outlined in § 2.20.
§ 2.11 What contact information should your request include?
§ 2.12 What should you know about how bureaus process requests?
(a) Except as described in § 2.4 and § 2.13, the bureau to which the request is addressed is responsible for responding to the request and for making a reasonable effort to search for responsive records.
(d) If a bureau receives a request for records in its possession that it did not create or that another bureau or Federal agency is substantially concerned with, it may undertake consultations and/or referrals as described in § 2.13.
§ 2.13 How do consultations and referrals work?
(e) If the bureau refers records to another agency, it will document the referral and maintain a copy of the records that it refers; notify you of the referral in writing, unless that identification will itself disclose a sensitive, exempt fact; and provide the name of a contact at the other agency. You may treat such a response as a denial of records and file an appeal, in accordance with the procedures in § 2.59.
(h) If the bureau receives a request for records not in its possession, but that the bureau believes may be in the possession of another Federal agency, the bureau will return the request to you, advise you to submit it directly to the other agency, notify you that the bureau cannot comply with the request, and close the request. You may treat such a response as a denial of records and file an appeal, in accordance with the procedures in § 2.59.
(d) Bureaus also have a specific processing track for requests that are granted expedited processing under the standards in § 2.20.
(e) Bureaus must advise you of the track into which your request falls and,when appropriate, will offer you an opportunity to narrow your request so that it can be placed in a different processing track.
(b) A consultation or referral under § 2.13 does not restart the statutory time limit for responding to a request.
§ 2.17 When does the basic time limit begin for misdirected FOIA requests?
§ 2.18 When can the bureau suspend the basic time limit?
(a) The basic time limit in § 2.16 may be temporarily suspended for the time it takes you to respond to one written communication from the bureau reasonably asking for clarifying information.
(b) The basic time limit in § 2.16 may also repeatedly be temporarily suspended for the time it takes you to respond to written communications from the bureau that are necessary to clarify issues regarding fee assessment (see § 2.51).
(2) Make available its FOIA Public Liaison (see § 2.66) to assist in resolving any disputes between you and the bureau.
§ 2.20 When will expedited processing be provided and how will it affect your request?
(g) If you appeal the decision on expedited processing, your appeal (if it is properly formatted under § 2.59) will be processed ahead of other appeals.
(h) If the bureau has not responded to the request for expedited processing within 10 calendar days, you may file an appeal for nonresponse in accordance with § 2.57(a)(8)).
§ 2.21 How will the bureau respond to requests?
§ 2.23 When will the bureau deny requests?
(b) The bureau must consult with the Office of the Solicitor before it denies afee waiver request or withholds all or part of a requested record.
§ 2.24 How will the bureau deny requests?
§ 2.25 What if the requested records contain both exempt and nonexempt material?
If responsive records contain both exempt and nonexempt material, the bureau will consult with the Office of the Solicitor, as discussed in § 2.23(b). After consultation, the bureau will partially grant and partially deny the request by:
Subpart F—Handling Confidential Information 2.26 How will the bureau interact with the submitter of possibly confidential information? 2.27 When will the bureau notify a submitter of a request for their possibly confidential information? 2.28 What information will the bureau include when it notifies a submitter of a request for their possibly confidential information? 2.29 When will the bureau not notify a submitter of a request for their possibly confidential information? 2.30 How and when may a submitter object to disclosure of confidential information? 2.31 What must a submitter include in a detailed Exemption 4 objection statement? 2.32 How will the bureau consider the submitter's objections? 2.33 What if the bureau determines it will disclose information over the submitter's objections? 2.34 Will a submitter be notified of a FOIA lawsuit? 2.35 Will you receive notification of activities involving the submitter? 2.36 Can a bureau release information protected by Exemption 4? Subpart G—Fees 2.37 What general principles govern fees? 2.38 What are the requester fee categories? 2.39 Does your requester category affect the fees you are charged? 2.40 How will fee amounts be determined? 2.41 What search fees will you have to pay? 2.42 What duplication fees will you have to pay? 2.43 What review fees will you have to pay? 2.44 What fees for other services will you have to pay? 2.45 When will the bureau waive fees? 2.46 When may you ask the bureau for a fee waiver? 2.47 How will the bureau notify you if it denies your fee waiver request? 2.48 How will the bureau evaluate your fee waiver request? 2.49 When will you be notified of anticipated fees? 2.50 When will the bureau require advance payment? 2.51 What if the bureau needs clarification about fee issues? 2.52 How will you be billed? 2.53 How will the bureau collect fees owed? 2.54 When will the bureau combine or aggregate requests? 2.55 What if other statutes require the bureau to charge fees? 2.56 May the bureau waive your fees at its discretion? Subpart H—Administrative Appeals 2.57 When may you file an appeal? 2.58 How long do you have to file an appeal? 2.59 How do you file an appeal? 2.60 Who makes decisions on appeals? 2.61 How are decisions on appeals issued? 2.62 When can you expect a decision on your appeal? 2.63 Can you receive expedited processing of appeals? 2.64 Must you submit an appeal before seeking judicial review? Subpart I—General Information 2.65 Where are records made available? 2.66 What are public liaisons? 2.67 When will the Department make records available without a FOIA request? 2.68 How will FOIA materials be preserved? 2.69 How will a bureau handle a request for federally-funded research data? 2.70 What definitions apply to subparts A through I of this part?
§ 2.26 How will the bureau interact with the submitter of possibly confidential information?
(1) Consult with the submitter under § 2.27 and § 2.28; and
(2) Provide the submitter an opportunity to object to a decision to disclose the information under § 2.30 and § 2.31.
§ 2.27 When will the bureau notify a submitter of a request for their possibly confidential information?
(a) Except as outlined in § 2.29, a bureau must promptly notify a submitter in writing when it receives a FOIA request if either:
(b) If a large number of submitters are involved, the bureau may publish a notice in a manner reasonably calculated to reach the attention of the submitters (for example, in newspapers or newsletters, the bureau's Web site, or theFederal Register) instead of providing a written notice to each submitter.
(b) Either a description of the possibly confidential information located inresponse to the request or a copy of the responsive records, or portions of records, containing the information;
(c) A description of the procedures for objecting to the release of the possibly confidential information under § 2.30 and § 2.31;
(d) A time limit for responding to the bureau—no less than 10 workdays from receipt or publication of the notice (as set forth in § 2.27(b))—to object to the release and to explain the basis for the objection;
(h) Notice that failing to respond within the time frame specified under § 2.28(d) will create a presumption that the submitter has no objection to the disclosure of the information in question.
§ 2.29 When will the bureau not notify a submitter of a request for their possibly confidential information?
The notice requirements of § 2.28 will not apply if:
(a) If a submitter has any objections to the disclosure of confidential information, the submitter should provide a detailed written statement to the bureau that specifies all grounds for withholding the particular information under any FOIA exemption (see § 2.31 for further discussion of Exemption 4 objection statements).
(b) A submitter who does not respond within the time period specified under § 2.28(d) will be considered to have no objection to disclosure of the information. Responses received by the bureau after this time period will not be considered by the bureau unless the appropriate bureau FOIA contact determines, in his or her sole discretion, that good cause exists to accept the late response.
§ 2.31 What must a submitter include in a detailed Exemption 4 objection statement?
§ 2.32 How will the bureau consider the submitter's objections?
§ 2.33 What if the bureau determines it will disclose information over the submitter's objections?
§ 2.34 Will a submitter be notified of a FOIA lawsuit?
§ 2.35 Will you receive notification of activities involving the submitter?
§ 2.36 Can a bureau release information protected by Exemption 4?
§ 2.37 What general principles govern fees?
§ 2.38 What are the requester fee categories?
(b) The bureau's decision to place you in a particular fee category will be made on a case-by-case basis based on your intended use of the information and, in most cases, your identity. If you do not submit sufficient information in your FOIA request for the bureau to determine your proper fee category, the bureau may ask you to provide additional information (see § 2.51).
(c) See § 2.70 for the definitions of each of these fee categories.
§ 2.39 How does your requester category affect the fees you are charged?
Requester category Search fees Review fees Duplication fees Commercial use requester Yes Yes Yes. Educational and non-commercial scientific institutions No No Yes (first 100 pages, or equivalent volume, free). Representative of news media requester No No Yes (first 100 pages, or equivalent volume, free). All other requesters Yes (first 2 hours free) No Yes (first 100 pages, or equivalent volume, free).
§ 2.40 How will fee amounts be determined?
(a) The bureau will charge the types of fees discussed below unless a waiver of fees is required under § 2.39 or has been granted under § 2.45 or § 2.56.
§ 2.41 What search fees will you have to pay?
(a) The bureau will charge search fees for all requests, subject to the restrictions of § 2.39 and § 2.40(a). The bureau may charge you for time spent searching even if it does not locate any responsive records or if it determines that the records are entirely exempt from disclosure.
(c) You can review the current fee schedule for the categories discussed in subsection (b) of this section athttp://www.doi.gov/foia/fees-waivers.cfm.
(d) Some requests may require retrieval of records stored at a Federal records center operated by the National Archives and Records Administration. For these requests, bureaus will charge additional costs in accordance with the Transactional Billing Rate Schedule established by the National Archives and