[Federal Register: November 15, 2002 (Volume 67, Number 221)]
[Proposed Rules]
[Page 69172-69176]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15no02-21]
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AMERICAN BATTLE MONUMENTS COMMISSION
36 CFR Part 404
Revision of the Freedom of Information Act Regulations and
Implementation of the Electronic Freedom of Information Act Amendments
of 1996
AGENCY: American Battle Monuments Commission.
ACTION: Proposed rule.
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SUMMARY: The American Battle Monuments Commission proposes to revise
its regulations for responding to public requests for access to records
or information under the Freedom of Information Act (FOIA). These
regulations update and amplify the Commission's current regulations.
DATES: We will accept comments from all interested parties until
January 14, 2003.
ADDRESSES: Submit your comments to Mr. Thomas R. Sole, FOIA Officer,
Courthouse Plaza II, Suite 500, 2300 Clarendon Boulevard, Arlington, VA
22201-3367; fax (703) 696-6666. All comments received will be available
for public inspection at that address.
FOR FURTHER INFORMATION CONTACT: Mr. Thomas R. Sole, Freedom of
Information Officer, American Battle Monuments Commission or Ms. Martha
Sell, Freedom of Information Act Representative, Courthouse Plaza II,
Suite 500, 2300 Clarendon Blvd., Arlington, VA 22202 or by telephone at
703-696-6897.
SUPPLEMENTARY INFORMATION: This proposed rule replaces 36 CFR Parts 404
and 405. It updates Commission addresses, organizational information,
and fee schedule and explicitly incorporates electronic format
information as within the scope of covered information consistent with
the Electronic Freedom of Information Act of 1996 (Pub. L. 104-231).
List of Subjects in 36 CFR Parts 404 and 405
Freedom of information.
For the reasons stated in the preamble, the American Battle
Monuments Commission amends 36 CFR chapter IV as follows:
1. Revise part 404 to read as follows:
PART 404--PROCEDURES AND GUIDELINES FOR COMPLIANCE WITH THE FREEDOM
OF INFORMATION ACT
Sec.
404.1 General.
404.2 Authority and functions.
404.3 Organization.
404.4. Access to information.
404.5 Inspection and copying.
404.6 Definitions.
404.7 Fees to be charged--general.
404.8 Fees to be charged--categories of requesters.
404.9 Miscellaneous fee provisions.
404.10 Waiver or reduction of charges.
Authority: 5 U.S.C. 552.
Sec. 404.1 General.
This information is furnished for the guidance of the public and in
compliance with the requirements of section 552 of Title 5, United
States Code, as amended.
Sec. 404.2 Authority and functions.
The general functions of the American Battle Monuments Commission,
as provided by statute, 36 U.S.C. 2101, et seq., are to build and
maintain suitable memorials commemorating the service of American Armed
Forces and to maintain permanent American military cemeteries in
foreign countries.
Sec. 404.3 Organization.
(a) The brief description of the central organization of the
American Battle Monuments Commission follows:
[[Page 69173]]
(1) The Commission is composed of not more than eleven members
appointed by the President.
(2) The day to day operation of the Commission is under the
direction of a secretary appointed by the President.
(3) Principal Officials include the Executive Director, Director of
Finance, Director of Procurement and Contracting, Director of
Engineering, Maintenance, and Operations and Director of Personnel and
Administration.
(4) The Commission also creates temporary offices when tasked with
major additional responsibilities not of a permanent nature.
(b) Locations. (1) The principal offices of the American Battle
Monuments Commission are located at Courthouse Plaza II, Suite 500,
2300 Clarendon Boulevard, Arlington, VA 22201. Persons desiring to
visit offices or employees of the American Battle Monuments Commission
should write or telephone ahead (703-696-6897 or 703-696-6895) to make
an appointment.
(2) Field offices are located in Paris, France; Rome, Italy;
Manila, Republic of the Philippines; the Republic of Panama; and Mexico
City, Mexico.
Sec. 404.4 Access to information.
(a) The American Battle Monuments Commission makes available
information pertaining to Commission matters within the scope of 5
U.S.C. 552(a)(2) by publishing them electronically at the ABMC home
page at www.abmc.gov.
(b) The ABMC FOIA Officer is responsible for acting on all initial
requests. Individuals wishing to file a request under the Freedom of
Information Act (FOIA) should address their request in writing to the
FOIA Officer, American Battle Monuments Commission, Courthouse Plaza
II, Suite 500, 2300 Clarendon Boulevard, Arlington, VA 22201 (telephone
703-696-6897 or 703-696-6895). Requests for information shall be as
specific as possible.
(c) Upon receipt of any request for information or records, the
FOIA Officer will determine within 20 days (excepting Saturdays,
Sundays and legal public holidays) after the receipt of such request
whether it is appropriate to grant the request and will immediately
provide written notification to the person making the request. If the
request is denied, the written notification to the person making the
request shall include the names of the individuals who participated in
the determination, the reasons for the denial, and a notice that an
appeal may be lodged within the American Battle Monuments Commission.
(Receipt of a request as used herein means the date the request is
received in the office of the FOIA Officer.)
(d) Expedited processing. (1) Requests and appeals will be taken
out of order and given expedited treatment whenever it is determined
that they involve:
(i) Circumstances in which the lack of expedited treatment could
reasonably be expected to pose an imminent threat to the life or
physical safety of an individual;
(ii) An urgency to inform the public about an actual or alleged
federal government activity, if made by a person primarily engaged in
disseminating information;
(iii) The loss of substantial due process rights; or
(iv) A matter of widespread and exceptional media interest in which
there exist possible questions about the government's integrity which
effect public confidence.
(2) A request for expedited processing may be made at the time of
the initial request for records or at any later time.
(3) A requester who seeks expedited processing must submit a
statement, certified to be true and correct to the best of that
person's knowledge and belief, explaining in detail the basis for
requesting expedited processing. For example, a requester within the
category described in paragraph (d)(1)(ii) of this section, if not a
full-time member of the news media, must establish that he or she is a
person whose main professional activity or occupation is information
dissemination, though it need not be his or her sole occupation. A
requester within the category (d)(1)(ii) of this section also must
establish a particular urgency to inform the public about the
government activity involved in the request, beyond the public's right
to know about government activity generally. The formality of
certification may be waived as a matter of administrative discretion.
(4) Within ten days of its receipt of a request for expedited
processing, ABMC will decide whether to grant it and will notify the
requester of the decision. If a request for expedited treatment is
granted, the request will be given priority and will be processed as
soon as practicable. If a request for expedited processing is denied,
any appeal of that decision will be acted on expeditiously.
(e) Appeals shall be set forth in writing within 30 days of receipt
of a denial and addressed to the FOIA Officer at the address specified
in paragraph (b) of this section. The appeal shall include a statement
explaining the basis for the appeal. Determinations of appeals will be
set forth in writing and signed by the Executive Director, or his
designee, within 20 days (excepting Saturdays, Sundays, and legal
public holidays). If, on appeal, the denial is in whole or in part
upheld, the written determination will also contain a notification of
the provisions for judicial review and the names of the persons who
participated in the determination.
(f) In unusual circumstances, the time limits prescribed in
paragraphs (c) and (e) of this section may be extended for not more
than 10 days (excepting Saturdays, Sundays, or legal public holidays).
Extensions may be granted by the FOIA Officer. The extension period may
be split between the initial request and the appeal but in no instance
may the total period exceed 10 working days. Extensions will be by
written notice to the persons making the request and will set forth the
reasons for the extension and the date the determination is expected.
(g) With respect to a request for which a written notice under
paragraph (f) of this section extends the time limits prescribed under
paragraph (c) of this section, the agency shall notify the person
making the request if the request cannot be processed within the time
limit specified in paragraph (f) of this section and shall provide the
person an opportunity to limit the scope of the request so that it may
be processed within that time limit or an opportunity to arrange with
the agency an alternative time frame for processing the request or a
modified request. Refusal by the person to reasonably modify the
request or arrange such an alternative time frame shall be considered
as a factor in determining whether exceptional circumstances exist for
purposes of 5 U.S.C. 552(a)(6)(C). When ABMC reasonably believes that a
requester, or a group of requestors acting in concert, has submitted
requests that constitute a single request, involving clearly related
matters, ABMC may aggregate those requests for purposes of this
paragraph. One element to be considered in determining whether a belief
would be reasonable is the time period over which the requests have
occurred.
(h) As used herein, but only to the extent reasonably necessary to
the proper processing of the particular request, the term unusual
circumstances means:
(1) The need to search for and collect the requested records from
establishments that are separated from the office processing the
request;
(2) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records
[[Page 69174]]
which are demanded in a single request; or
The need for consultation, which shall be conducted with all
practicable speed, with another agency having a substantial interest in
the determination of the request or among two or more components of the
agency which have a substantial subject matter interest therein.
Sec. 404.5 Inspection and copying.
When a request for information has been approved pursuant to Sec.
404.4, the person making the request may make an appointment to inspect
or copy the materials requested during regular business hours by
writing or telephoning the FOIA Officer at the address or telephone
number listed in Sec. 404.4(b). Such materials may be copied and
reasonable facilities will be made available for that purpose. Copies
of individual pages of such materials will be made available at the
price per page specified in Sec. 404.7(d); however, the right is
reserved to limit to a reasonable quantity the copies of such materials
which may be made available in this manner when copies also are offered
for sale by the Superintendent of Documents.
Sec. 404.6 Definitions.
For the purpose of the regulations in this part:
(a) All the terms defined in the Freedom of Information Act apply.
(b) A statute specifically providing for setting the level of fees
for particular types of records (5 U.S.C. 552(a)(4)(A)(vi)) means any
statute that specifically requires a government agency, such as the
Government Printing Office (GPO) or the National Technical Information
Service (NTIS), to set the level of fees for particular types of
records, in order to:
(1) Serve both the general public and private sector organizations
by conveniently making available government information;
(2) Ensure that groups and individuals pay the cost of publications
and other services that are for their special use so that these costs
are not borne by the general taxpaying public;
(3) Operate an information dissemination activity on a self-
sustaining basis to the maximum extent possible; or
(4) Return revenue to the Treasury for defraying, wholly or in
part, appropriated funds used to pay the cost of disseminating
government information. Statutes, such as the User Fee Statute, which
only provide a general discussion of fees without explicitly requiring
that an agency set and collect fees for particular documents do not
supersede the Freedom of Information Act under section (a)(4)(A)(vi) of
that statute.
(c) The term direct costs means those expenditures that ABMC
actually incurs in searching for and duplicating (and in the case of
commercial requesters, reviewing) documents to respond to a FOIA
request. Direct costs include, for example, the salary of the employee
performing work (the basic rate of pay for the employee plus 16 percent
of that rate to cover benefits) and the cost of operating duplicating
machinery. Not included in direct costs are overhead expenses such as
costs of space, and heating or lighting the facility in which the
records are stored.
(d) The term search means the process of looking for and retrieving
records or information responsive to a request. It includes page-by-
page or line-by-line identification of information within records and
also includes reasonable efforts to locate and retrieve information
from records maintained in electronic form or format. ABMC employees
should ensure that searching for material is done in the most efficient
and least expensive manner so as to minimize costs for both the agency
and the requester. For example, employees should not engage in line-by-
line search when merely duplicating an entire document would prove the
less expensive and quicker method of complying with a request. Search
should be distinguished, moreover, from review of material in order to
determine whether the material is exempt from disclosure (see paragraph
(f) of this section).
(e) The term duplication means the making of a copy of a document,
or of the information contained in it, necessary to respond to a FOIA
request. Such copies can take the form of paper, microform, audio-
visual materials, or electronic records (e.g., magnetic tape or disk),
among others. The requester's specified preference of form or format of
disclosure will be honored if the record is readily reproducible in
that format.
(f) The term review refers to the process of examining documents
located in response to a request that is for a commercial use (see
paragraph (g) of this section) to determine whether any portion of any
document located is permitted to be withheld. It also includes
processing any documents for disclosure, e.g., doing all that is
necessary to excise them and otherwise prepare them for release. Review
does not include time spent resolving general legal or policy issues
regarding the application of exemptions.
(g) The term commercial use request refers to a request from or on
behalf of one who seeks information for a use or purpose that furthers
the commercial, trade, or profit interests of the requester or the
person on whose behalf the request is made. In determining whether a
requester properly belongs in this category, ABMC must determine the
use to which a requester will put the documents requested. Moreover,
where an ABMC employee has reasonable cause to doubt the use to which a
requester will put the records sought, or where that use is not clear
from the request itself, the employee should seek additional
clarification before assigning the request to a specific category.
(h) The term educational institution refers to a preschool, a
public or private elementary or secondary school, an institution of
graduate higher education, an institution of undergraduate higher
education, an institution of professional education, or an institution
of vocational education, that operates a program or programs of
scholarly research.
(i) The term non-commercial scientific institution refers to an
institution that is not operated on a commercial basis (as that term is
referenced in paragraph (g) of this section), and that is operated
solely for the purpose of conducting scientific research the results of
which are not intended to promote any particular product or industry.
The term representative of the news media refers to any person
actively gathering news for an entity that is organized and operated to
publish or broadcast news to the public. 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 broadcasting to the public at large, and
publishers of periodicals (but only in those instances when they can
qualify as disseminators of news) who make their products available for
purchase or subscription by the general public. These examples are not
intended to be all-inclusive. Moreover, as traditional methods of news
delivery evolve (e.g., electronic dissemination of newspapers through
telecommunications services), such alternative media would be included
in this category. In the case of freelance journalists, they may be
regarded as working for a news organization if they can demonstrate a
solid basis for expecting publication through that organization, even
though not actually employed by it. A publication contract would be the
clearest proof, but ABMC may also look to the past publication
[[Page 69175]]
record of a requester in making this determination.
Sec. 404.7 Fees to be charged--general.
ABMC shall charge fees that recoup the full allowable direct costs
it incurs. Moreover, it shall use the most efficient and least costly
methods to comply with requests for documents made under the FOIA. When
documents that would be responsive to a request are maintained for
distribution by agencies operating statutory-based fee schedule
programs (see definition in Sec. 404.5(b)), such as the NTIS, ABMC
should inform requesters of the steps necessary to obtain records from
those sources.
(a) Manual searches for records. ABMC will charge at the salary
rate(s) (i.e., basic pay plus 16 percent) of the employee(s) making the
search.
(b) Computer searches for records. ABMC will charge at the actual
direct cost of providing the service. This will include the cost of
operating the central processing unit (CPU) for that portion of
operating time that is directly attributable to searching for records
responsive to a FOIA request and operator/programmer salary
apportionable to the search.
(c) Review of records. Only requesters who are seeking documents
for commercial use may be charged for time spent reviewing records to
determine whether they are exempt from mandatory disclosure. Charges
may be assessed only for the initial review; i.e., the review
undertaken the first time ABMC analyzes the applicability of a specific
exemption to a particular record or portion of a record. Records or
portions of records withheld in full under an exemption that is
subsequently determined not to apply may be reviewed again to determine
the applicability of other exemptions not previously considered. The
costs for such a subsequent review is assessable.
(d) Duplication of records. Records will be duplicated at a rate of
$.15 per page. For copies prepared by computer, such as tapes or
printouts, ABMC shall charge the actual cost, including operator time,
of production of the tape or printout. For other methods of
reproduction or duplication, ABMC will charge the actual direct costs
of producing the document(s). If ABMC estimates that duplication
charges are likely to exceed $25, it shall notify the requester of the
estimated amount of fees, unless the requester has indicated in advance
his willingness to pay fees as high as those anticipated. Such a notice
shall offer a requester the opportunity to confer with agency personnel
with the object of reformulating the request to meet his or her needs
at a lower cost.
(e) Other charges. ABMC will recover the full costs of providing
services such as those enumerated below when it elects to provide them:
(1) Certifying that records are true copies;
(2) Sending records by special methods such as express mail.
(3) Eight by ten inch black and white photographs--$3.75
(4) Eight by ten inch color photographs--$5.00
(5) $1.50 per publication
(6) Video Purchase: The Price of Freedom--$13.00
(f) Remittances shall be in the form either of a personal check or
bank draft drawn on a bank in the United States, or a postal money
order. Remittances shall be made payable to the order of the Treasury
of the United States and mailed to the FOIA Officer, American Battle
Monuments Commission, Courthouse Plaza II, Suite 500, 2300 Clarendon
Blvd., Arlington, Virginia 22201.
(g) A receipt for fees paid will be given upon request. Refund of
fees paid for services actually rendered will not be made.
(h) Restrictions on assessing fees. With the exception of
requesters seeking documents for a commercial use, ABMC will provide
the first 100 pages of duplication and the first two hours of search
time without charge. Moreover, ABMC will not charge fees to any
requester, including commercial use requesters, if the cost of
collecting a fee would be equal to or greater than the fee itself.
(1) The elements to be considered in determining the cost of
collecting a fee are the administrative costs of receiving and
recording a requester's remittance, and processing the fee for deposit
in the Treasury Department's special account.
(2) For purposes of these restrictions on assessment of fees, the
word pages refers to paper copies of 8\1/2\ x 11 or 11 x 14. Thus,
requesters are not entitled to 100 microfiche or 100 computer disks,
for example. A microfiche containing the equivalent of 100 pages or 100
pages of computer printout, does meet the terms of the restriction.
(3) Similarly, the term search time in this context has as its
basis, manual search. To apply this term to searches made by computer,
ABMC will determine the hourly cost of operating the central processing
unit and the operator's hourly salary plus 16 percent. When the cost of
search (including the operator time and the cost of operating the
computer to process a request) equals the equivalent dollar amount of
two hours of the salary of the person performing the search, i.e., the
operator, ABMC will begin assessing charges for computer search.
Sec. 404.8 Fees to be charged--categories of requesters.
There are four categories of FOIA requesters: commercial use
requesters; educational and non-commercial scientific institutions;
representatives of the news media; and all other requesters. The
specific levels of fees for each of these categories:
(a) Commercial use requesters. When ABMC receives a request for
documents for commercial use, it will assess charges that recover the
full direct costs of searching for, reviewing for release, and
duplicating the record sought. Requesters must reasonably describe the
records sought. Commercial use requesters are not entitled to two hours
of free search time nor 100 free pages of reproduction of documents.
ABMC may recover the cost of searching for and reviewing records even
if there is ultimately no disclosure of records (see Sec. 404.8(b)).
(b) Educational and non-commercial scientific institution
requesters. ABMC shall provide documents to requesters in this category
for the cost of reproduction alone, excluding charges for the first 100
pages. To be eligible for inclusion in this category, requesters must
show that the request is being made as authorized by and under the
auspices of a qualifying institution and that the records are not
sought for a commercial use, but are sought in furtherance of scholarly
(if the request is from an educational institution) or scientific (if
the request is from a non-commercial scientific institution) research.
Requesters must reasonably describe the records sought.
(c) Requesters who are representatives of the news media. ABMC
shall provide documents to requesters in this category when serving the
news dissemination function for the cost of reproduction alone,
excluding charges for the first 100 pages. To be eligible for inclusion
in this category, a requester must meet the criteria in Sec. 404.4(j),
and his or her request must not be made for a commercial use. In
reference to this class of requester, a request for records supporting
the news dissemination function of the requester shall not be
considered to be a request that is for a commercial use. Requesters
must reasonably describe the records sought.
(d) All other requesters. ABMC shall charge requesters who do not
fit into any of the categories above fees that recover the full
reasonable direct cost of searching for and reproducing records
[[Page 69176]]
that are responsive to the request, except that the first 100 pages of
reproduction and the first two hours of search time shall be furnished
without charge. Moreover, requests for records about the requesters
filed in ABMC's systems of records will continue to be treated under
the fee provisions of the Privacy Act of 1974 which permit fees only
for reproduction. Requesters must reasonably describe the records
sought.
Sec. 404.9 Miscellaneous fee provisions.
(a) Charging interest--notice and rate. ABMC may begin assessing
interest charges on an unpaid bill starting on the 31st day following
the day on which the billing was sent. The fact that the fee has been
received by ABMC within the thirty day grace period, even if not
processed, will suffice to stay the accrual of interest. Interest will
be at the rate prescribed in section 3717 of Title 31 of the United
States Code and will accrue from the date of the billing.
(b) Charges for unsuccessful search. ABMC may assess charges for
time spent searching, even if it fails to locate the records or if
records located are determined to be exempt from disclosure. If ABMC
estimates that search charges are likely to exceed $25, it shall notify
the requester of the estimated amount of fees, unless the requester has
indicated in advance his willingness to pay fees as high as those
anticipated. Such a notice shall offer the requester the opportunity to
confer with agency personnel with the object of reformulating the
request to meet his or her needs at a lower cost.
(c) Aggregating requests. A requester may not file multiple
requests at the same time, each seeking portions of a document or
documents, solely in order to avoid payment of fees. When ABMC
reasonably believes that a requester, or a group of requestors acting
in concert, has submitted requests that constitute a single request,
involving clearly related matters, ABMC may aggregate those requests
and charge accordingly. One element to be considered in determining
whether a belief would be reasonable is the time period over which the
requests have occurred.
(d) Advance payments. ABMC may not require a requester to make an
advance payment, i.e., payment before work is commenced or continued on
a request, unless:
(1) ABMC estimates or determines that allowable charges that a
requester may be required to pay are likely to exceed $250. Then, ABMC
will notify the requester of the likely cost and obtain satisfactory
assurance of full payment where the requester has a history of prompt
payment of FOIA fees, or require an advance payment of an amount up to
the full estimated charges in the case of requesters with no history of
payment; or
(2) A requester has previously failed to pay a fee charged in a
timely fashion (i.e., within 30 days of the date of the billing). Then,
ABMC may require the requester to pay the full amount owed plus any
applicable interest as provided above or demonstrate that he or she
has, in fact, paid the fee, and to make an advance payment of the full
amount of the estimated fee before the agency begins to process a new
request or a pending request from that requester.
(3) When ABMC acts under paragraph (d)(1) or (2) of this section,
the administrative time limits prescribed in the FOIA, 5 U.S.C.
552(a)(6) (i.e., 20 working days from receipt of initial requests and
20 working days from receipt of appeals from initial denial, plus
permissible extensions of these time limits), will begin only after
ABMC has received fee payments described in paragraphs (d)(1) and (2)
of this section.
(e) Effect of the Debt Collection Act of 1982 (Pub. L. 97-365).
ABMC should comply with provisions of the Debt Collection Act,
including disclosure to consumer reporting agencies and use of
collection agencies, where appropriate, to encourage repayment.
Sec. 404.10 Waiver or reduction of charges.
Fees otherwise chargeable in connection with a request for
disclosure of a record shall be waived or reduced where it is
determined that disclosure is in the public interest because it is
likely to contribute significantly to public understanding of the
operations or activities of the Government and is not primarily in the
commercial interest of the requester.
PART 405--[REMOVED]
2. Remove part 405.
Dated: November 5, 2002.
Theodore Gloukhoff,
Director, Personnel and Administration.
[FR Doc. 02-28900 Filed 11-14-02; 8:45 am]
BILLING CODE 6120-01-P