Source: https://www.federalregister.gov/documents/2014/02/19/2014-03545/implementing-the-freedom-of-information-act
Timestamp: 2018-07-23 04:52:56
Document Index: 526354233

Matched Legal Cases: ['art 1184', 'art 1100', 'art 1184', '§\u20091184', '§\u20091184', '§\u20091184', '§\u20091184']

A Rule by the Institute of Museum and Library Services on 02/19/2014
79 FR 9421
9421-9426 (6 pages)
Expand Online Disclosures
Improve the Acknowledgment of Requests
Clarify Fees and Fee Waivers
Improve Communication With the Requester
Apply the Presumption of Openness
Improve Administrative Appeals
Provide Information About Dispute Resolution Services
https://www.federalregister.gov/d/2014-03545 https://www.federalregister.gov/d/2014-03545
IMLS issues this final rule to implement the Freedom of Information Act (FOIA), as amended. The regulations both describe how IMLS processes requests for records under FOIA and reaffirm the agency's commitment to providing the fullest possible disclosure of records to the public. The agency is implementing the regulations to replace its existing joint regulations as part of the National Foundation on the Arts and the Humanities, and to update, clarify, and streamline the language of several procedural provisions, while incorporating changes brought about by amendments to the FOIA.
This final rule implements IMLS' FOIA regulations in Subchapter E (45 CFR part 1184), replacing the existing regulations in Subchapter A (45 CFR part 1100) with regard to IMLS. The final rule provides additional detail concerning several provisions of the Freedom of Information Act, and is intended to increase understanding of IMLS' FOIA policies. IMLS is authorized to issue these regulations under 5 U.S.C. 552.
The Institute of Museum and Library Services (IMLS) is adopting regulations to implement the Freedom of Information Act (FOIA), 5 U.S.C. 552, as amended. FOIA requires Federal agencies to make official documents and other records available to the public upon request, unless the material requested falls under one of several statutorily prescribed exemptions. FOIA also requires agencies to publish rules stating the time, place, fees, and procedures to apply in making such records available. Further, Section 1803 of the Freedom of Information Reform Act of 1986 requires each agency to establish a system for recovering costs associated with responding to requests for information under FOIA. The Office of Management and Budget (OMB) has issued guidelines that set standard government-wide definitions for assessing and collecting FOIA fees (OMB Fee Guidelines). These regulations describe the ways in which records may be requested by the public, and explain how IMLS will respond to such requests and assess fees in connection with the agency's response.
The regulations also incorporate the policies expressed in the President's January 21, 2009, Executive Memorandum on the Freedom of Information Act, and the Attorney General's March 19, 2009, Memorandum for Heads of Executive Departments and Agencies. These policies, however, do not create any legally enforceable rights.
By implementing the provisions of the January 21, 2009, Executive Memorandum and Attorney General Holder's March 19, 2009, Memorandum to the Heads of Executive Departments and Agencies, these regulations will improve IMLS's FOIA-related service and performance, thereby strengthening the agency's compliance with the law. On April 16, 2013, IMLS published a proposed rule in the Federal Register (78 FR 22501) and requested public comments on the proposed rule.
The comment period ended on May 16, 2013, and IMLS received comments from one commenter. This section of the preamble discusses issues raised in the comments.
The commenter suggested that IMLS revise the regulations to more fully embrace the use of online disclosure for public information under FOIA, including recommendations to: (1) Adopt a policy to establish categories of records that can be disclosed regularly and posted on the IMLS Web site; (2) to proactively identify and disclose additional records of interest to the public; (3) to publish all records released in response to FOIA requests; and (4) to publish online indexes of information made available under FOIA. IMLS has carefully considered these suggestions, and adopts the recommendations to adopt a policy to establish categories of records that can be disclosed regularly and to proactively identify and disclose additional records of interest to the public. IMLS is committed to continuing to find new ways of proactively disclosing records to the public, the agency declines to adopt the other recommendations into its regulations, because it believes the final rule provides the agency with the necessary flexibility to adopt innovative ways of providing useful information.
The commenter suggested that IMLS revise the regulations to adopt a policy to acknowledge requests as soon as practicable, and to provide information about the agency's FOIA Public Liaison. IMLS agrees and adopts these recommendations in the final rule.Start Printed Page 9422
The commenter suggested that IMLS maintain a database of fee waivers granted by the agency to consult for future waiver requests, and revise the regulations to provide that it will not charge a fee if the total fee is $50 or less. IMLS has carefully considered these suggestions, but declines to adopt them. IMLS declines to adopt the first suggestion into its regulations, because the agency believes the final rule ensures consistent agency practice with regard to fee waivers. With regard to the second suggestion, both the proposed and final rule reflect IMLS's policy decision to not charge a fee if the total fee is $25 or less.
The commenter suggested that IMLS improve communication with FOIA requesters by: (1) Adopting a policy that the agency will contact the requester to seek clarification if the agency is unclear as to the scope of the request; (2) providing an estimated time to complete the request and opportunities to reformulate; (3) informing requesters of status updates; (4) communicating with requesters by email where appropriate; (5) using plain language in all communications with requesters; and (6) notifying requesters when requests are referred. After careful consideration of these suggestions, IMLS has revised the final rule to clarify that IMLS will provide requesters with a tracking number and as appropriate, a brief description of the request, and relevant IMLS contact information. The final rule also has been revised to reflect that IMLS will communicate with requesters to clarify the scope of the request in the event of uncertainty and that the agency will notify requesters when a request is referred to another agency. IMLS notes that the final rule allows for the agency to communicate, where appropriate, with requesters by email, and that the agency is governed by the Plain Writing Act of 2010, which directs agencies to use plain language when communicating.
The commenter suggested that the agency revise the rule to reflect a presumption of openness. IMLS agrees and the final rule has been revised to adopt this suggestion.
The commenter suggested that IMLS revise the proposed rule to: (1) Clarify that requesters may submit administrative appeals electronically; (2) notify requesters of dispute resolution services in appeal determinations; and (3) provide a minimum of 60 days for requesters to submit administrative appeals.
IMLS has carefully considered these suggestions, and adopts the recommendations that the rule be revised to: (1) Clarify that requesters may submit appeals electronically; and (2) notify requesters of dispute resolution services in appeal determinations. IMLS declines to adopt the recommendation to extend the period of time available for a requester to submit an appeal to 60 days. The agency believes the final rule, which provides the requester with 30 days to file an administrative appeal, allows for sufficient time for a requester to gather all the facts relevant to the request and prepare any arguments they may wish to make in their appeal.
The commenter suggested that IMLS revise the proposed rule to add a new subsection describing how requesters can resolve disputes with regard to their request. IMLS agrees and the final rule has been revised to adopt this suggestion.
The National Archives and Records Administration's Office of Government Information Services (OGIS) reviewed IMLS's proposed regulations and made recommendations, which IMLS took into account in drafting this final rule.
IMLS, in accordance with the Regulatory Flexibility Act, 5 U.S.C. 605(b), has reviewed these regulations and certifies that they will not have a significant economic impact on a substantial number of small entities because they pertain to administrative matters affecting the agency.
These regulations are not major regulations as defined by section 251 of the Small Business Regulatory Enforcement Fairness Act of 1996, 5 U.S.C. 804. They will not result in an annual effect on the economy of $100 million or more, a major increase in costs or prices, or significant adverse effects on competition, employment, Start Printed Page 9423investment, productivity, innovation, or the ability of United States-based enterprises to compete with foreign-based enterprises in domestic and export markets.
For the reasons stated in the preamble, IMLS amends 45 CFR chapter XI, subchapter E to add part 1184 as follows:
How can I address concerns regarding my request?
What are IMLS' policies regarding disclosure of confidential business information?
(8) Representative of news media. Any person or entity organized and operated to publish or broadcast news to the Start Printed Page 9424public that actively gathers information of potential interest to a segment of the public, uses its editorial skills to turn raw materials into a distinct work, and distributes that work to an audience. The term “news” means information that is about current events or that would be of current interest to the public. Examples of news media entities include television or radio stations that broadcast news to the public at large and publishers of periodicals that disseminate news and make their products available through a variety of means to the general public. A request for records that supports the news-dissemination function of the requester will not be considered to be for a commercial use. “Freelance” journalists who demonstrate a solid basis for expecting publication through a news media entity will be considered as working for that entity. A publishing contract would provide the clearest evidence that publication is expected; however, IMLS will also consider a requester's past publication record in making this determination.
(10) Review. The examination of a record located in response to a request in order to determine whether any portion of it is exempt from disclosure. Review time includes processing any record for disclosure, such as doing all that is necessary to prepare the record for disclosure, including the process of redacting the record and marking the appropriate exemptions. Review costs are properly charged even if a record ultimately is not disclosed. Review time also includes time spent both obtaining and considering any formal objection to disclosure made by a confidential business information submitter under § 1184.8 but it does not include time spent resolving general legal or policy issues regarding the application of exemptions.
(e) Denials of requests. Denials of your FOIA request, either whole or in part, will be made in writing by the FOIA Officer. IMLS will inform you of the reasons for the denial, including any FOIA exemption(s) applied by the agency in denying the request, and notify you of your right to appeal the determination as described in § 1184.6. IMLS will, as appropriate, provide a brief description of the information being withheld.
Start Printed Page 9425
(a) Submission of an appeal. If your FOIA request has been denied in whole or in part, or if the agency has not found any records in response to your request, you may file an appeal no later than thirty (30) calendar days following the date of the notification of denial. Your appeal must include a description of the initial request, the reason for the appeal, and why you believe the agency's response was incorrect. Your appeal must be in writing, signed, and filed with the IMLS Director, c/o Office of the General Counsel, 1800 M Street NW., 9th Floor, Washington, DC 20036-5802. Appeals may also be sent by email to foia@imls.gov, or by facsimile to (202) 653-4625.
(b) Decisions on appeal. The Director of IMLS will make a determination with respect to your appeal within twenty (20) working days after the agency has received the appeal, except as provided in § 1184.4(b). If the decision on appeal is favorable to you, the Director of IMLS will take action to assure prompt dispatch of the records to you. If the decision on appeal is adverse to you, in whole or in part, you will be informed by the Director of IMLS of the reasons for the decision and of the provisions for judicial review set forth in the FOIA. As appropriate, IMLS will advise you in a response to an appeal that the 2007 FOIA amendments created the Office of Government Services (OGIS) to offer mediation services to resolve disputes between FOIA requesters and Federal agencies as a non-exclusive alternative to litigation.
Start Printed Page 9426
(b) Additional resource. The National Archives and Records Administration (NARA), Office of Government Information Services (OGIS) offers non-compulsory, non-binding mediation services to help resolve FOIA disputes. If you seek information regarding OGIS and/or the services it offers, please contact OGIS directly at Office of Government Information Services, National Archives and Records Administration, Room 2510, 8601 Adelphi Road, College Park, MD 20740-6001, Email: ogis@nara.gov, Phone: (301) 837-1996, Fax: (301) 837-0348. This information is provided as a public service only. By providing this information, IMLS does not commit to refer disputes to OGIS, or to defer to OGIS' mediation decision in particular cases.
§ 1184.10
Signed: February 12, 2014.
Nancy E. Weiss.
[FR Doc. 2014-03545 Filed 2-18-14; 8:45 am]