Regulations Implementing the Freedom of Information Act, 41384-41392 [E6-11574]
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periods of limitations remain suspended
for the period during which a
proceeding is pending, regardless of
compliance (or partial compliance) with
the summons during that period.
(iii) Examples. The rules of paragraph
(e)(2) are illustrated by the following
examples:
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Example 1. A revenue agent issues a
summons to A, an accountant for B, requiring
production of records relating to B’s income
tax liabilities for 1998. The summons is
served on A on March 1, 2000. B files a
petition to quash the summons in district
court on March 15, 2000. The district court
dismisses B’s petition on July 1, 2000. B fails
to appeal this decision by filing a notice of
appeal within 60 days from the date of the
district court’s order of dismissal. The
revenue agent notifies A that B did not
appeal the district court’s order. A turns over
all of the records requested in the summons.
The periods of limitations applicable to B for
1998 under sections 6501 and 6531 are
suspended under section 7609(e)(1) from
March 15, 2000, the date B filed a petition
to quash, until August 30, 2000, the last day
on which B could have filed a notice of
appeal.
Example 2. A revenue agent issues a
summons to A, an accountant for B, requiring
production of records relating to B’s income
tax liabilities for 1999. The summons is
served on A on June 1, 2001. B files an
untimely petition to quash the summons in
district court on June 30, 2001. The district
court dismisses B’s petition on July 31, 2001.
B does not file an appeal of the district
court’s order. The periods of limitations
applicable to B for 1999 under sections 6501
and 6531 are suspended under section
7609(e)(1) from June 30, 2001, the date B
filed an untimely petition to quash, until
September 29, 2001, the last day on which
B could have filed a notice of appeal.
(3) Final resolution of the summoned
third party’s response to a summons.
For purposes of section 7609(e)(2)(B),
final resolution with respect to a
summoned party’s response to a thirdparty summons occurs when the
summons or any order enforcing any
part of the summons is fully complied
with and all appeals are disposed of or
the period in which an appeal may be
taken or a request for further review
may be made has expired. The
determination of whether there has been
full compliance will be made within a
reasonable time, given the volume and
complexity of the records produced,
after the later of the giving of all
testimony or the production of all
records requested by the summons. If,
following an enforcement order,
collateral proceedings are brought
challenging whether the production
made by the summoned party fully
satisfied the court order and whether
sanctions should be imposed against the
summoned party for a failing to do so,
the suspension of the periods of
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limitations shall continue until the
summons or any order enforcing any
part of the summons is fully complied
with and the decision in the collateral
proceeding becomes final. A decision in
a collateral proceeding becomes final
when all appeals are disposed of or
when the period in which an appeal
may be taken or a request for further
review may be made has expired.
(f) Effective date. This section is
applicable on the date the final
regulations are published in the Federal
Register.
Mark E. Matthews,
Deputy Commissioner for Services and
Enforcement.
[FR Doc. E6–11543 Filed 7–20–06; 8:45 am]
BILLING CODE 4830–01–P
OCCUPATIONAL SAFETY AND
HEALTH REVIEW COMMISSION
29 CFR Part 2201
Regulations Implementing the
Freedom of Information Act
Occupational Safety and Health
Review Commission.
ACTION: Notice of proposed rulemaking.
AGENCY:
SUMMARY: The Occupational Safety and
Health Review Commission (OSHRC) is
proposing to revise its regulations
implementing the Freedom of
Information Act (FOIA), 5 U.S.C. 552, as
amended. The proposed regulations
contain new provisions to comply with
Executive Order 13392. In addition, the
proposed regulations have been updated
to reflect changes in OSHRC’s policies
and procedures. As a result of these
proposed amendments, the public will
have a clearer understanding of
OSHRC’s policies and procedures
implementing the FOIA.
DATES: Submit comments on or before
August 21, 2006.
ADDRESSES: You may submit comments
by any of the following methods:
• E-mail: regsdocket@oshrc.gov.
Include ‘‘FOIA PROPOSED
RULEMAKING’’ in the subject line of
the message.
• Fax: (202) 606–5417.
• Mail: 1120 20th Street, NW., Ninth
Floor, Washington, DC 20036–3457.
• Hand Delivery/Courier: Same as
mailing address.
Instructions: All submissions must
include your name, return address and
e-mail address, if applicable. Please
clearly label submissions as ‘‘FOIA
PROPOSED RULEMAKING.’’ If you
submit comments by e-mail, you will
receive an automatic confirmation e-
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mail from the system indicating that we
have received your submission. If, in
response to your comments submitted
via e-mail, you do not receive a
confirmation e-mail within five working
days, please contact us directly at (202)
606–5410.
FOR FURTHER INFORMATION CONTACT: Jin
H. Kim, Attorney-Advisor, Office of the
General Counsel, via telephone: (202)
606–5410, or via e-mail:
jkim@oshrc.gov.
SUPPLEMENTARY INFORMATION:
I. Background
The Occupational Safety and Health
Review Commission (OSHRC) proposes
several substantive and technical
revisions governing its regulations
implementing the Freedom of
Information Act (FOIA), 5 U.S.C. 552, as
amended. OSHRC proposes revising its
FOIA regulations, including the
addition of new provisions and the
modification of existing provisions, to
comply with Executive Order 13392
(E.O. 13392), 70 FR 75373, December
19, 2005. In E.O. 13392, the President
directs each agency to ensure that its
FOIA operations treat FOIA requesters
courteously and appropriately and to
provide requesters with prompt
information regarding the status of their
FOIA requests, as well as appropriate
information regarding the agency’s
response. In addition, each agency is to
provide FOIA requesters and the public
in general with ‘‘citizen-centered’’ ways
to learn about the agency’s FOIA
process and how to receive agency
records that are publicly available. By
ensuring that its FOIA operations are
‘‘citizen-centered’’ and ‘‘resultsoriented,’’ each agency will improve
service and performance, thereby
strengthening compliance with the
FOIA.
In order to achieve these goals, E.O.
13392 requires each agency head to
designate a Chief FOIA Officer, who has
agency-wide responsibility for the
efficient and appropriate compliance
with the FOIA. As part of his or her
duties under E.O. 13392, the Chief FOIA
Officer must review the agency’s FOIA
operations and identify any areas for
improvement. In addition, E.O. 13392
requires agencies to establish FOIA
Requester Service Centers to enable any
FOIA requester to seek information
concerning the status of his or her FOIA
request as well as appropriate
information about the agency’s FOIA
response. As part of the FOIA Requester
Service Center, E.O. 13392 further
requires an agency to designate its own
FOIA Public Liaison(s) to serve as the
supervisory official(s) to whom a FOIA
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requester can raise concerns about the
service the FOIA requester has received
from the FOIA Requester Service Center,
following an initial response to the
FOIA request. Based upon these new
requirements, OSHRC therefore
proposes to revise its regulations
implementing the FOIA to comply fully
with E.O. 13392.
Further, as a result of the Chief FOIA
Officer’s review of OSHRC’s FOIA
operations, OSHRC proposes to amend
its rules to reflect recent changes in
OSHRC’s policies and procedures as
they relate to the processing of FOIA
requests. At the beginning of this fiscal
year, OSHRC moved all FOIA
processing from its Office of
Administration to the Office of the
General Counsel, where paralegals and
attorneys have received training in the
handling of FOIA requests. Moreover,
OSHRC has identified several areas for
improvement in its processing of FOIA
requests that are addressed by these
proposed rules, such as establishing a
recordkeeping log, standardizing forms
for processing FOIA requests, adding
definitions to clarify the use of terms,
and establishing a streamlined appeals
process that covers fee waiver denials.
These changes in OSHRC’s policies and
procedures will make the processing of
FOIA requests more efficient and
responsive. Lastly, OSHRC proposes
several minor revisions that are purely
technical or clarifying in nature which
relate to changes in phrasing and
nomenclature.
Accordingly, OSHRC proposes to
revise its regulations implementing the
FOIA and put them out for public
comment pursuant to 5 U.S.C.
552(a)(4)(A)(i), (a)(6)(B)(iv), (a)(6)(D)(i),
and (a)(6)(E)(i). For the convenience of
the reader, OSHRC reproduces proposed
29 CFR part 2201 in its entirety. The
specific amendments that OSHRC
proposes to each section of 29 CFR part
2201 are discussed hereafter in
regulatory sequence.
II. Proposed Regulatory Revisions
The President’s issuance of E.O.
13392 on December 14, 2005 created
new requirements and duties for
improving agency disclosure of
information under the FOIA which are
implemented in these proposed rules.
Consequently, OSHRC proposes to
amend the authority citation in 29 CFR
part 2201 to add a reference to E.O.
13392.
In 29 CFR 2201.1, OSHRC would
make changes to correct a grammatical
error in the section heading and to add
abbreviations for ‘‘Occupational Safety
and Health Review Commission’’ and
‘‘Freedom of Information Act’’ to the
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regulatory text. Accordingly, the
proposed rules in part 2201 are revised
throughout to refer to the ‘‘Occupational
Safety and Health Review Commission’’
as ‘‘OSHRC’’ or ‘‘Commission,’’ and the
‘‘Freedom of Information Act’’ as
‘‘FOIA.’’
In § 2201.2, OSHRC proposes adding
a sentence to the end of the section that
provides additional details about the
designation of one of the Commissioners
as the Chairman and his responsibilities
for the administrative operations of the
Commission, consistent with section
12(e) of the Occupational Safety and
Health Act of 1970, 29 U.S.C. 661(e).
Also, to conform to the abbreviations
noted above in § 2201.1, OSHRC would
substitute ‘‘OSHRC’’ in place of ‘‘The
Occupational Safety and Health Review
Commission (OSHRC or Commission)’’
in new § 2201.2.
In § 2201.3, OSHRC proposes revising
the delegation of FOIA-related duties to
reflect the changes required by E.O.
13392 and break them out into new
paragraphs (a) through (d). In order to
comport with E.O. 13392, OSHRC
would eliminate the current language
regarding the Chairman’s delegation of
authority to the Freedom of Information
Act Officer. In its place, OSHRC
proposes adding a delegation of
authority to the Chief FOIA Officer
under new paragraph (a). In addition,
OSHRC would eliminate the alternate
designation of another OSHRC officer or
employee, such as the General Counsel
or the Executive Secretary, by the
Chairman or the Executive Director in
the absence of the Freedom of
Information Act Officer. Instead, under
new paragraph (b) of proposed § 2201.3,
the Chief FOIA Officer would designate
the agency’s FOIA Disclosure Officer(s)
to process all FOIA requests. Under
paragraph (c), the Chief FOIA Officer
would designate the FOIA Public
Liaison(s) to address any concerns about
the service a FOIA requester has
received following an initial response
by the agency. Under new paragraph (d),
OSHRC’s proposal identifies the FOIA
Disclosure Officer(s) and FOIA Public
Liaison(s) as serving in the agency’s
FOIA Requester Service Center and
provides the address and telephone
number to contact the FOIA Requester
Service Center. This new language
reflects changes in the delegation of
authority and designation of personnel
in compliance with E.O. 13392.
Indeed, in order to ensure appropriate
communication with FOIA requesters,
E.O. 13392 requires agencies to
‘‘establish one or more FOIA Requester
Service Centers’’ to receive and respond
to inquiries from FOIA requesters. To
comply with this requirement, OSHRC
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proposes to establish a FOIA Requester
Service Center at its national office in
Washington, DC OSHRC’s FOIA
Requester Service Center, which will
handle all FOIA requests and inquiries
about FOIA requests, will consist of
FOIA Disclosure Officer(s) and FOIA
Public Liaison(s). Under OSHRC’s new
procedures, the FOIA Disclosure
Officer(s) will handle all initial
responses to FOIA requests. The FOIA
Public Liaison(s) will ensure
appropriate communication between
FOIA requesters and FOIA Disclosure
Officer(s) and will be supervisory
employee(s). This change will help
ensure that OSHRC’s FOIA operations
are ‘‘citizen-centered’’ and ‘‘resultsoriented’’ as directed in E.O. 13392.
OSHRC also would update references to
the FOIA Officer and Information Office
throughout 29 CFR part 2201 to reflect
this change.
OSHRC proposes to eliminate the
second to last sentence of current
§ 2201.3 that refers to the handling of
requests for copies of individual
decisions because copies of Commission
decisions have been placed on OSHRC’s
Web site for the public’s convenience,
pursuant to the Electronic Freedom of
Information Act Amendments of 1996,
Public Law 104–231, 110 Stat. 3048
(codified as amended in 5 U.S.C. 552)
(e-FOIA). OSHRC would further
eliminate the last sentence of current
§ 2201.3 which refers to the handling of
‘‘all other information requests’’ because
this information will be covered under
new § 2201.5(a) of the regulations; thus,
its inclusion in § 2201.3 is redundant.
In § 2201.4, OSHRC first proposes to
change the heading to include the
phrase ‘‘and definitions.’’ Second,
OSHRC would update regulatory crossreferences and make minor
nomenclature changes throughout the
section, such as deleting ‘‘Review’’ from
‘‘Review Commission’’ and replacing
‘‘Freedom of Information Act Officer’’
with ‘‘FOIA Disclosure Officer.’’ Third,
OSHRC would make other minor
changes in phrasing to paragraph (a) by
combining the last two sentences of the
existing regulations for clarity without
changing the meaning of the provision.
Fourth, in paragraph (c), OSHRC would
edit the paragraph heading to update the
nomenclature, as well as the
introductory text to describe more
precisely the location of the reading
room. Fifth, OSHRC would also add
new paragraphs (c)(3) and (c)(4) to
reflect the language of the FOIA, and
renumber current paragraphs (c)(3) and
(c)(4) as new paragraphs (c)(5) and
(c)(6). Sixth, in paragraph (d), OSHRC
would add a new paragraph heading
noting record availability at the OSHRC
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e-FOIA reading room, as well as
language clarifying the availability of
electronic records. Finally, OSHRC
would add a new paragraph (e) to
§ 2201.4 to provide definitions relevant
to 29 CFR part 2201 that are consistent
with other agencies’ FOIA regulations.
These nine definitions clarify certain
FOIA terminology but in no way change
how OSHRC processes FOIA requests.
The terms include: ‘‘commercial use
request,’’ ‘‘direct costs,’’ ‘‘duplication,’’
‘‘education institution,’’
‘‘noncommercial scientific institution,’’
‘‘representative of the news media, or
media requester,’’ ‘‘review,’’ ‘‘search,’’
and ‘‘working day.’’ The terms have
been defined using standard language
consistent with the statute, including
the incorporation of minor technical
modifications from the FOIA regulations
of several other government agencies,
including the Department of Justice (28
CFR part 16) and the Office of
Management and Budget (OMB) (5 CFR
part 1303). OSHRC proposes to define
‘‘working day,’’ which is not defined in
other government agencies’’ FOIA
regulations, in order to clarify the
FOIA’s calculation of time.
OSHRC would remove current
§ 2201.5 altogether because it is no
longer necessary. OSHRC had a policy
of providing a hard copy of a single
decision before the advent of the
Internet and e-FOIA. Pursuant to eFOIA, OSHRC has placed Commission
decisions on OSHRC’s Web site,
https://www.oshrc.gov, for the public’s
convenience. Therefore, OSHRC
proposes to remove § 2201.5 in its
entirety and renumber subsequent
sections accordingly.
OSHRC then proposes to redesignate
current § 2201.6 as new § 2201.5. In new
§ 2201.5 (old § 2201.6), OSHRC would
eliminate paragraph (a) of the current
regulations in its entirety. Pursuant to eFOIA, OSHRC has placed most of this
information on its Web site for the
public’s convenience. OSHRC also
proposes to make minor technical
changes throughout this section to
update cross-references and to reflect
changes made to other sections in part
2201, as well as to clarify language
which would not change the meaning of
the provision. For example, OSHRC
would remove ‘‘Review’’ from ‘‘Review
Commission,’’ replace ‘‘Freedom of
Information Act Officer’’ with ‘‘FOIA
Disclosure Officer’’ and change
references to other provisions. Further,
OSHRC would redesignate the old
paragraph (b) as paragraph (a) with a
new paragraph heading, ‘‘Requests for
information’’ and modify the language
within new paragraph (a) to clearly
delineate the procedures for making
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FOIA requests. The new paragraph (a)
provides that requests for information
must be made in writing with ‘‘Freedom
of Information Act Request’’ printed on
the request’s envelope or cover as well
as the request itself, and addressed to
the FOIA Disclosure Officer. In
addition, FOIA requests must describe
the record requested to the fullest extent
possible and specify the preferred form
or format of the response. The new
language states that OSHRC shall try to
accommodate requesters as to form or
format when possible, and if no form or
format is specified, OSHRC shall
respond in the form or format that is
most accessible to OSHRC. This new
language is easier to understand and
clarifies the procedures for requesting
records. Further, OSHRC would
redesignate current paragraph (c) as new
paragraph (b), and would rephrase new
paragraph (b) for clarity regarding the
date of receipt of a FOIA request.
OSHRC would also delete paragraph (d)
(Specificity required) (old § 2201.6)
because the information requested in
paragraph (d) is now incorporated in
new paragraph (a) of proposed § 2201.5.
OSHRC proposes to redesignate
current § 2201.7 as new § 2201.6. In new
§ 2201.6 (old § 2201.7), OSHRC would
first update cross-references to other
sections changed in part 2201 and then
make minor technical and grammatical
changes throughout this section. For
example, OSHRC would remove
‘‘Review’’ from ‘‘Review Commission’’
and replace ‘‘Freedom of Information
Act Officer’’ with ‘‘FOIA Disclosure
Officer’’ throughout this section.
OSHRC also proposes to rephrase
paragraph (b) for clarity without
changing the meaning of the provision
by directly stating that the FOIA
Disclosure Officer(s) shall notify the
requester in writing about extensions of
time. Also in the introductory text to
paragraph (b), OSHRC would delete the
phrase ‘‘telephonic notice’’ when
discussing ‘‘extensions of response time
in usual circumstances’’ beyond the
allowable time, because the FOIA
requires written notice under 5 U.S.C.
552(a)(6)(B). Further, OSHRC would
modify the language of paragraph (b)(1)
to reflect in a more precise manner the
location of OSHRC records. OSHRC
records are currently located in
OSHRC’s national office, regional offices
and an off-site storage location. In
paragraph (b)(3), OSHRC would delete
the phrase ‘‘or among two or more
components within the Commission
having substantial subject-matter
interest in the request’’ because this
phrase is unnecessary to OSHRC’s FOIA
operations. For consistency purposes,
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OSHRC proposes requiring written
notice in paragraph (c) for additional
extensions of time, as well as in
paragraph (d)(3) for when the estimated
time to process a FOIA request
substantially changes. By providing
written notice to requesters for these
circumstances, OSHRC believes that it
would improve OSHRC’s
communication with requesters.
In paragraph (d) of § 2201.6 (old
§ 2201.7), OSHRC would rename the
heading from ‘‘multitrack processing’’ to
‘‘two-track processing’’ to describe more
accurately OSHRC’s processing of FOIA
requests. Further, in order to streamline
the FOIA rules and make them more
user friendly, OSHRC proposes deleting
paragraph (e)(4), as well as paragraph (g)
of current § 2201.7 and incorporate that
information in new § 2201.9 (Appeal of
denials). New § 2201.9 will apply to all
appeals of denials related to FOIA
requests (i.e., requests for records,
requests for expedited processing, and/
or requests for fee waiver).
In paragraph (f), OSHRC proposes to
consolidate all denials related to FOIA
requests (i.e., requests for records,
requests for expedited processing, and/
or requests for fee waiver) to streamline
the rules and make them more user
friendly. Finally, OSHRC would further
revise the language in paragraph (f) to
closely track the language of the FOIA,
5 U.S.C. 552(a)(6)(C)(i) and (F), by
requiring the FOIA Disclosure Officer(s)
to provide the reason for a denial, a
reasonable estimate of the volume of
matter denied (unless doing so would
harm an interest protected by the
exemption(s) under which the request
was denied), the name and title or
position of the person responsible for
the denial of the request, and also notify
the requester of the right to appeal the
determination in the written notice of
denial.
Due to the movement of paragraph (g)
to new § 2201.9 (Appeal of denials),
OSHRC proposes redesignating
paragraph (h) as new paragraph (g).
OSHRC would edit the language in new
paragraph (g) to require written
justification for deletions within a
record, because the FOIA states that
‘‘the justification for the deletion shall
be explained fully in writing’’ as
required under 5 U.S.C. 552(a).
OSHRC proposes to redesignate
current § 2201.8 as new § 2201.7. In new
§ 2201.7 (old § 2201.8), OSHRC would
revise this section to reflect changes in
OSHRC’s calculation of fees, and create
an appendix that reflects OSHRC’s fee
schedule. In paragraph (a), OSHRC
proposes to make several nomenclature
changes and update a cross-reference to
the section on fee waivers. In addition,
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OSHRC proposes eliminating the
specified dollar amount ($10) and
changing it to ‘‘the threshold amount as
provided in OSHRC’s schedule of fees.’’
Further, in new § 2201.7 (old § 2201.8),
OSHRC proposes deleting paragraphs
(a)(2) and (a)(3) and incorporating that
definitional information in paragraph
§ 2201.4(e). In addition, the procedural
information in paragraph (a)(3) is
duplicated in new § 2201.8(a) discussed
below. In paragraph (b), OSHRC
proposes revising the copying, searching
and reviewing fees so they are based on
the direct costs of these services as
provided in the FOIA under 5 U.S.C.
552(a)(4)(A)(iv). The FOIA provides that
the Director of OMB shall promulgate
guidelines for a uniform schedule of
fees for all agencies under 5 U.S.C.
552(a)(4)(A)(i). OSHRC calculates its
fees in accordance with OMB’s
‘‘Uniform Freedom of Information Act
Fee Schedule and Guidelines,’’ 52 FR
10012, March 27, 1987. Under OMB’s
guidelines, these fees are to be based on
the average hourly salary (base plus DC
locality payment) of employees
performing the services plus 16 percent
for benefits. In addition, the fees for
clerical employees are to be based on an
average of all employees at the GS–9
level and below; the fees for
professional employees are to be based
on all employees at the GS–10 through
GS–14 level; and the fees for managerial
employees are to be based on an average
of all employees at the GS–15 level and
above. OSHRC’s Office of
Administration has calculated and
updated the fees, which appear in the
attached Appendix A. The FOIA
Requester Service Center also will
provide a hard copy of the schedule of
fees upon request. OSHRC proposes to
revise the language in paragraphs (b)(1),
(b)(2) and (b)(3) of new § 2201.7 (old
§ 2201.8) to reflect the new calculation
of fees.
OSHRC proposes to add a new
paragraph (c) in new § 2201.7 (old
§ 2201.8) requiring the FOIA Disclosure
Officer to provide requesters an
itemized invoice for fees related to FOIA
requests. Although the FOIA does not
require an itemized invoice, OSHRC
would provide an itemized invoice for
the convenience of the requester as part
of OSHRC’s effort to be citizen-centered
pursuant to E.O. 13392. OSHRC would
also redesignate old paragraph (c) as
new paragraph (d) to reflect the addition
of the new paragraph (c). New
paragraph (d) will be updated to include
changes in nomenclature. OSHRC also
would delete the current paragraph (d)
(Certification or authentication), and
include such certification or
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authentication service in a new
paragraph (g) (Fees for services not
required by the Freedom of Information
Act), which is more inclusive of other
services, such as express mail.
Paragraph (e) will remain essentially
the same, except that OSHRC would
make changes in wording that are
technical in nature, such as replacing
‘‘Freedom of Information Act Officer’’
with ‘‘FOIA Disclosure Officer’’ and
using gender neutral language. OSHRC
would also change ‘‘copying or search’’
to ‘‘the total fee’’ to reflect the true cost
of satisfying the request. OSHRC in this
proposal has left in place the $25 total
fee threshold, above which the agency is
required to contact the requester about
cost. OSHRC is considering, however,
whether to raise that threshold amount.
OSHRC requests comments specifically
on whether, and by how much, this
threshold should be raised.
In paragraph (f) of new § 2201.7 (old
§ 2201.8), OSHRC would make some
changes in nomenclature to insert the
term ‘‘FOIA Disclosure Officer’’ and
insert gender neutral language. OSHRC
would also modify the language in the
third sentence to require full payment
when a requester has previously failed
to pay within 30 days. This revision is
more consistent with the other
sentences in the paragraph addressing
advance payment. As noted above,
OSHRC proposes to create a new
paragraph (g) on fees for services not
required by the FOIA. This new
paragraph is more inclusive of the types
of services, such as express mail, that is
not in OSHRC’s current regulation.
OSHRC also would revise the language
in paragraph (h), as well as paragraph
(i), to reflect changes in OSHRC’s
procedures for transferring the bill
collection responsibilities related to
FOIA requests to OSHRC’s Office of
Administration. OSHRC believes that
this change in bill collection procedures
will improve efficiency because the
FOIA Requester Service Center will not
have to devote resources to bill
collection and can focus on responding
to FOIA requests. In paragraph (i),
OSHRC would further revise the
language to more precisely reflect the
statutory provisions relating to the
Federal government’s collection of debts
under the Debt Collection Act of 1982
and its administrative procedures.
OSHRC proposes to redesignate
current § 2201.9 as new § 2201.8. In new
§ 2201.8 (old § 2201.9), OSHRC would
make several minor changes that are
technical in nature, such as replacing
references to the ‘‘Freedom of
Information Act Officer’’ with ‘‘FOIA
Disclosure Officer’’ and using gender
neutral language. As mentioned in the
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discussion of new § 2201.7 (old
§ 2201.8), OSHRC would include some
of the procedural language from
paragraph (a)(3) of old § 2201.8 in
paragraph (a) of new § 2201.8 (old
§ 2201.9).
As previously mentioned, OSHRC
proposes adding a new section, § 2201.9
(Appeal of denials), to consolidate all
appeals in one section. This change is
intended to make the FOIA rules more
user friendly. OSHRC would also
change the time the requester may
appeal a denial from 30 working days
after the requester receives notice of the
appeal to 20 working days. This change
is based on a survey of various smaller
agencies, including the Federal Mine
Safety and Health Review Commission
(20 working days). In addition, OSHRC
would add appeals of denial of fee
waivers in this section because
OSHRC’s current rule does not
specifically provide for appeals of
denial of fee waivers.
In § 2201.10, OSHRC would make
minor technical changes, such as
replacing ‘‘Freedom of Information Act
Officer’’ with ‘‘FOIA Disclosure
Officer.’’
Finally, OSHRC would update the
cross-references to the various sections
and paragraphs throughout the rules in
29 CFR part 2201 to reflect changes in
section numbers and paragraphs due to
the reorganization of these proposed
regulations.
Executive Order 12866
The Commission is an independent
regulatory agency, and as such, is not
subject to the requirements of E.O.
12866.
Paperwork Reduction Act
The Commission has determined that
the Paperwork Reduction Act, 44 U.S.C.
3501 et seq., does not apply because
these rules do not contain any
information collection requirements that
require the approval of OMB.
Executive Order 13132
The Commission is an independent
regulatory agency, and as such, is not
subject to the requirements of E.O.
13132.
Regulatory Flexibility Act
The Commission has determined
under the Regulatory Flexibility Act, 5
U.S.C. 606(b), that these rules, if
adopted, would not have a significant
economic impact on a substantial
number of small entities. Therefore, a
Regulatory Flexibility Statement and
Analysis has not been prepared.
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discovery in adversary proceedings
before the Commission. Discovery is
governed by the Commission’s Rules of
Procedure in 29 CFR part 2200, subpart
D.
Unfunded Mandates Reform Act of
1995
The Commission is an independent
regulatory agency, and, as such, is not
subject to the Unfunded Mandates
Reform Act, 2 U.S.C. 1501 et seq.
§ 2201.2
Small Business Regulatory Enforcement
Fairness Act of 1996
This proposed rule is not a major rule
under the Small Business Regulatory
Enforcement Fairness Act, 5 U.S.C.
804(2). The proposed rule will not result
in an annual effect on the economy of
more than $100 million per year; a
major increase in costs or prices for
consumers, individual industries,
Federal, State, or local government
agencies, or geographic regions; or
significant adverse effects on
competition, employment, investment,
productivity, innovation, or on the
ability of U.S.-based enterprises to
compete with foreign-based companies
in domestic and export markets.
OSHRC adjudicates contested
enforcement actions under the
Occupational Safety and Health Act of
1970, 29 U.S.C. 651–678. The
Commission decides cases after the
parties are given an opportunity for a
hearing. All hearings are open to the
public and are conducted at a place
convenient to the parties by an
Administrative Law Judge. Any
Commissioner may direct that a
decision of a Judge be reviewed by the
full Commission. The President
designates one of the Commissioners as
Chairman, who is responsible on behalf
of the Commission for the
administrative operations of the
Commission.
List of Subjects in 29 CFR Part 2201
Freedom of Information.
§ 2201.3 Delegation of authority and
responsibilities.
Signed at Washington, DC, on July 17,
2006.
W. Scott Railton,
Chairman.
For the reasons set forth in the
preamble, the Commission proposes
that Chapter XX, part 2201 of Title 29,
Code of Federal Regulations, be revised
as follows:
PART 2201—REGULATIONS
IMPLEMENTING THE FREEDOM OF
INFORMATION ACT
Sec.
2201.1 Purpose and scope.
2201.2 Description of agency.
2201.3 Delegation of authority and
responsibilities.
2201.4 General policy and definitions.
2201.5 Procedure for requesting records.
2201.6 Responses to requests.
2201.7 Fees for copying, searching, and
review.
2201.8 Waiver of fees.
2201.9 Appeal of denials.
2201.10 Maintenance of statistics.
Appendix A to Part 2201—Schedule of Fees
Authority: 29 U.S.C. 661(g); 5 U.S.C. 552;
E.O. 13392, 70 FR 75373, 3 CFR, 2005 Comp.,
p. 216.
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§ 2201.1
Purpose and scope.
This part prescribes procedures to
obtain information and records of the
Occupational Safety and Health Review
Commission (OSHRC or Commission)
under the Freedom of Information Act
(FOIA), 5 U.S.C. 552. It applies only to
records or information of the
Commission or in the Commission’s
custody. This part does not affect
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Description of agency.
(a) The Chairman delegates to the
Chief FOIA Officer the authority to act
upon all requests for agency records.
(b) The Chief FOIA Officer shall
designate the FOIA Disclosure
Officer(s), who shall be responsible for
processing FOIA requests.
(c) The Chief FOIA Officer shall
designate the FOIA Public Liaison(s),
who shall serve as the supervisory
official(s) to whom a FOIA requester can
raise concerns about the service the
FOIA requester has received following
an initial response.
(d) OSHRC establishes a FOIA
Requester Service Center that shall be
staffed by the FOIA Disclosure Officer(s)
and FOIA Public Liaison(s). The address
and telephone number of the FOIA
Requester Service Center is 1120 20th
Street, NW., Washington, DC 20036–
3457, (202) 606–5410.
§ 2201.4
General policy and definitions.
(a) Non-exempt records available to
public. Except for records and
information exempted from disclosure
by 5 U.S.C. 552(b) or published in the
Federal Register under 5 U.S.C.
552(a)(1), all records of the Commission
or in its custody are available to any
person who requests them in
accordance with § 2201.5(a). Records
include any information that would be
a record subject to the requirements of
5 U.S.C. 552 when maintained by the
Commission in any format, including
electronic format. In response to FOIA
requests, the Commission will search for
records manually or by automated
means, except when an automated
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search would significantly interfere
with the operation of the Commission’s
automated information system.
(b) Examination of records in cases
appealed to courts. A final order of the
Commission may be appealed to a
United States Court of Appeals. When
this occurs, the Commission may send
part or all of the official case file to the
court and may retain other parts of the
file. Thus, a document in a case may not
be available from the Commission but
only from the court of appeals. In such
a case, the FOIA Disclosure Officer may
inform the requester that the request for
a particular document should be
directed to the court.
(c) Record availability at the OSHRC
on-site FOIA Reading Room. The
records of Commission activities are
publicly available for inspection and
copying at the OSHRC on-site FOIA
Reading Room, 1120 20th St., NW.,
Ninth Floor, Washington, DC 20036–
3457. These records include:
(1) Final decisions including
concurring and dissenting opinions as
well as orders issued as a result of
adjudication of cases;
(2) OSHRC Rules of Procedure and
Guides to those procedures;
(3) Specific agency policy statements
adopted by OSHRC and not published
in the Federal Register;
(4) Administrative staff manuals that
affect a member of the public;
(5) Copies of records that have been
released to a person under the FOIA
that, because of the subject matter, the
Commission determines that the records
have become or are likely to become the
subject of subsequent requests for
substantially the same records; and
(6) A general index of records referred
to under paragraph (c)(3) of this section.
(d) Record availability at the OSHRC
e-FOIA Reading Room. Materials
created on or after November 1, 1996
under paragraphs (c)(1), (2), (3) and (4)
of this section may also be accessed
electronically through the Commission’s
Web site at https://www.oshrc.gov.
(e) Definitions. For purposes of this
part:
Commercial use request means a
request from or on behalf of a person
who seeks information for a use or
purpose that furthers his or her
commercial, trade, or profit interests,
which can include furthering those
interests through litigation. The FOIA
Disclosure Officer shall determine,
whenever reasonably possible, the use
to which a requester will put the
requested records. When it appears that
the requester will put the records to a
commercial use, either because of the
nature of the request itself or because
the FOIA Disclosure Officer has
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reasonable cause to doubt a requester’s
stated use, the FOIA Disclosure Officer
shall provide the requester a reasonable
opportunity to submit further
clarification.
Direct costs means those expenses
that the Commission actually incurs in
searching for and duplicating (and, in
the case of commercial use requests,
reviewing) records to respond to a FOIA
request. Direct costs include, for
example, the salary of the employee
performing the work (the basic rate of
pay for the employee, plus 16 percent of
that rate to cover benefits) and the cost
of operating duplication machinery. Not
included in direct costs are overhead
expenses such as the costs of space and
heating or lighting of the facility in
which the records are kept.
Duplication means the making of a
copy of a record, or of the information
contained in it, necessary to respond to
a FOIA request. Copies can take the
form of paper, microform, audiovisual
materials, or electronic records (for
example, magnetic tape or disk), among
others. The FOIA Disclosure Officer
shall honor a requester’s specified
preference of form or format of
disclosure if the record is readily
reproducible with reasonable efforts in
the requested form or format.
Educational institution means a
preschool, a public or private
elementary or secondary school, an
institution of undergraduate higher
education, an institution of graduate
higher education, an institution of
professional education, or an institution
of vocational education, that operates a
program of scholarly research. To be in
this category, a requester must show
that the request is authorized by and is
made under the auspices of a qualifying
institution and that the records are not
sought for a commercial use but are
sought to further scholarly research.
Noncommercial scientific institution
means an institution that is not operated
on a ‘‘commercial’’ basis, as that term is
defined in this paragraph, 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. To be in this category, a
requester must show that the request is
authorized by and is made under the
auspices of a qualifying institution and
that the records are not sought for a
commercial use but are sought to further
scientific research.
Representative of the news media, or
news media requester is any person
actively gathering news for an entity
that is organized and operated to
publish or broadcast news to the public.
For purposes of this definition, the term
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‘‘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
where they can qualify as disseminators
of ‘‘news’’) who make their products
available for purchase or subscription
by the general public. For ‘‘freelance’’
journalists to be regarded as working for
a news organization, they must
demonstrate a solid basis for expecting
publication through that organization. A
publication contract would be the
clearest proof, but the FOIA Disclosure
Officer shall also look to the past
publication record of a requester in
making this determination. To be in this
category, a requester must not be
seeking the requested records for a
commercial use. However, a request for
records supporting the newsdissemination function of the requester
shall not be considered to be for a
commercial use.
Review means the examination of a
record located in response to a request
in order to determine whether any
portion of it is exempt from disclosure.
It also includes processing any record
for disclosure—for example, doing all
that is necessary to redact it and prepare
it for disclosure. Review costs are
recoverable even if a record ultimately
is not disclosed. Review time does not
include time spent resolving general
legal or policy issues regarding the
application of exemptions.
Search means the process of looking
for and retrieving records or information
responsive to a request. It includes pageby-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.
The FOIA Disclosure Officer shall
ensure that searches are done in the
most efficient and least expensive
manner reasonably possible. For
example, the FOIA Disclosure Officer
shall not search line-by-line where
duplicating an entire document would
be quicker and less expensive.
Working day means a regular Federal
working day. It does not include
Saturdays, Sundays, or Federal legal
public holidays.
§ 2201.5
Procedure for requesting records.
(a) Requests for information. All
requests for information must be made
in writing and must be mailed or
delivered to the FOIA Disclosure Officer
at the address in § 2201.3(d). The words
‘‘Freedom of Information Act Request’’
must be printed on the face of the
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41389
request’s envelope or covering as well as
the request itself. Requests for
information must describe the particular
record requested to the fullest extent
possible and specify the preferred form
or format (including electronic formats)
of the response. The Commission shall
accommodate requesters as to form or
format if the record is readily
reproducible in the requested form or
format. When requesters do not specify
the preferred form or format of the
response, the Commission shall respond
in the form or format in which the
record is most accessible to the
Commission.
(b) Date of receipt. A request that
complies with paragraph (a) of this
section is deemed received on the actual
date it is received by the Commission.
A request that does not comply with
paragraph (a) of this section is deemed
received when it is actually received by
the FOIA Disclosure Officer. For
requests that are expected to result in
fees exceeding $250, the request shall
not be deemed to have been received
until the requester is advised of the
anticipated costs and the Commission
has received full payment or satisfactory
assurance of full payment as provided
under § 2201.7(f).
§ 2201.6
Responses to requests.
(a) Responses within 20 working days.
The FOIA Disclosure Officer will either
grant or deny a request for records
within 20 working days after receiving
the request.
(b) Extensions of response time in
unusual circumstances. In unusual
circumstances, the Commission may
extend the time limit prescribed in
paragraph (a) of this section by not more
than 10 working days. The FOIA
Disclosure Officer shall notify the
requester in writing of the extension, the
reasons for the extension and the date
on which a determination is expected.
‘‘Unusual circumstances’’ exists, but
only to the extent reasonably necessary
to the proper processing of the
particular request, when there is a need
to:
(1) Search for and collect the
requested records from one of OSHRC’s
regional offices or off-site storage
facilities;
(2) Search for, collect, and
appropriately examine a voluminous
amount of separate and distinct records
that are demanded in a single request;
or
(3) Consult, with all practicable
speed, with another agency having a
substantial interest in the determination
of the request.
(c) Additional extension. The FOIA
Disclosure Officer shall notify the
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requester in writing when it appears
that a request cannot be completed
within the allowable time (20 working
days plus a 10 working day extension).
In such instances, the requester will be
provided an opportunity to limit the
scope of the request so that it may be
processed in the time limit, or to agree
to a reasonable alternative time frame
for processing.
(d) Two-track processing. To ensure
the most equitable treatment possible
for all requesters, the Commission will
process requests on a first-in, first-out
basis using a two-track processing
system based upon the estimated time it
will take to process the request.
(1) The first track is for requests of
simple to moderate complexity that are
expected to be completed within 20
working days.
(2) The second track is for requests
involving ‘‘unusual circumstances’’ that
are expected to take between 21 to 30
working days to complete and those
that, because of their unusual volume or
other complexity, are expected to take
more than 30 working days to complete.
(3) Requesters should assume, unless
otherwise notified by the Commission,
that their request is in the first track.
The Commission will notify requesters
when their request is placed in the
second track for processing and that
notification will include the estimated
time for completion. Should subsequent
information substantially change the
estimated time to process a request, the
requester will be notified in writing. In
the case of a request expected to take
more than 30 working days for action,
a requester may modify the request to
allow it to be processed faster or to
reduce the cost of processing. Partial
responses may be sent to requesters as
documents are obtained by the FOIA
Disclosure Officer from the supplying
offices.
(e) Expedited processing. (1) The
Commission may place a person’s
request at the front of the queue for the
appropriate track for that request upon
receipt of a written request that clearly
demonstrates a compelling need for
expedited processing. Requesters must
provide detailed explanations to
support their expedited requests. For
purposes of determining expedited
processing, the term compelling need
means:
(i) That a failure to obtain requested
records on an expedited basis could
reasonably be expected to pose an
imminent threat to the life or physical
safety of any individual; or
(ii) That a request is made by a person
primarily engaged in disseminating
information, and that person establishes
that there is an urgency to inform the
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public concerning actual or alleged
Federal Government activity.
(2) A person requesting expedited
processing must include a statement
certifying the compelling need given to
be true and correct to the best of his or
her knowledge and belief. The
certification requirement may be waived
by the Commission as a matter of agency
discretion.
(3) The FOIA Disclosure Officer will
make the initial determination whether
to grant or deny a request for expedited
processing and will notify a requester
within 10 calendar days after receiving
the request whether processing will be
expedited.
(f) Content of denial. When the FOIA
Disclosure Officer denies a request for
records, either in whole or in part, a
request for expedited processing, and/or
a request for fee waivers (see § 2201.8),
the written notice of the denial shall
state the reason for denial, give a
reasonable estimate of the volume of
matter denied (unless doing so would
harm an interest protected by the
exemption(s) under which the request
was denied), set forth the name and title
or position of the person responsible for
the denial of the request, and notify the
requester of the right to appeal the
determination as specified in § 2201.9.
A refusal by the FOIA Disclosure Officer
to process the request because the
requester has not made advance
payment or given a satisfactory
assurance of full payment required
under § 2201.7(f) may be treated as a
denial of the request and appealed
under § 2201.9.
(g) Deletions. The FOIA Disclosure
Officer shall provide to the requester in
writing a justification for deletions
within records. The amount of
information deleted from records shall
be indicated on the released portion of
the record, unless including that
indication would harm an interest
protected by the exemption under
which the deletion is made. If
technically feasible, the place in the
record where the deletion is made shall
be marked.
§ 2201.7
review.
Fees for copying, searching, and
(a) Fees required unless waived. The
FOIA Disclosure Officer shall charge the
fees in paragraph (b) of this section
unless the fees for a request are less than
the threshold amount as provided in
OSHRC’s fee schedule, in which case no
fees shall be charged. The FOIA
Disclosure Officer shall, however, waive
the fees in the circumstances stated in
§ 2201.8.
(b) Calculation of fees. Fees for
copying, searching and reviewing will
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be based on the direct costs of these
services, including the average hourly
salary (base plus DC locality payment),
plus 16 percent for benefits, of the
following three categories of employees
involved in responding to FOIA
requests: clerical—based on an average
of all employees at GS–9 and below;
professional—based on an average of all
employees at GS–10 through GS–14;
and managerial—based on an average of
all employees at GS–15 and above.
OSHRC will calculate a schedule of fees
based on these direct costs. The
schedule of fees under this section
appears in Appendix A to this Part
2201. A copy of the schedule of fees
may also be obtained at no charge from
the FOIA Disclosure Officer. See
§ 2201.3(d).
(1) Copying fee. The fee per copy of
each page shall be calculated in
accordance with the per-page amount
established in OSHRC’s fee schedule.
For other forms of duplication, direct
costs of producing the copy, including
operator time, shall be calculated and
assessed. Copying fees shall not be
charged for the first 100 pages of copies
unless the copies are requested for a
commercial use.
(2) Search fee. Search fees shall be
calculated in accordance with the
amounts established in OSHRC’s fee
schedule. Commercial requesters shall
be charged for all search time. Search
fees shall be charged even if the
responsive documents are not located or
if they are located but withheld on the
basis of an exemption. However, search
fees shall be limited or not charged as
follows:
(i) Easily identifiable decisions.
Search fees shall not be charged for
searching for decisions that the
requester identifies by name and date,
or by docket number, or that are
otherwise easily identifiable.
(ii) Educational, scientific or news
media requests. No fee shall be charged
if the request is not for a commercial use
and is by an educational or scientific
institution, whose purpose is scholarly
or scientific research, or by a
representative of the news media.
(iii) Other non-commercial requests.
No fee shall be charged for the first two
hours of searching if the request is not
for a commercial use and is not by an
educational or scientific institution, or a
representative of the news media.
(iv) Requests for records about self.
No fee shall be charged to search for
records filed in the Commission’s
systems of records if the requester is the
subject of the requested records. See the
Privacy Act of 1974, 5 U.S.C. 552a(f)(5)
(fees to be charged only for copying).
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(3) Review fee. A review fee shall be
charged only for commercial requests.
Review fees shall be calculated in
accordance with the amounts
established in OSHRC’s schedule of
fees. A review fee shall be charged for
the initial examination of documents
located in response to a request to
determine if it may be withheld from
disclosure, and for the excision of
withholdable portions. However, a
review fee shall not be charged for
review by the Chairman under § 2201.9
(Appeal of denials).
(c) Invoices. The FOIA Disclosure
Officer shall provide the requester with
an invoice containing an itemization of
assessed fees.
(d) Aggregation of requests. When the
FOIA Disclosure Officer reasonably
believes that a requester, or a group of
requesters acting in concert, is
attempting to break a request into a
series of requests for the purpose of
evading the assessment of fees, the
FOIA Disclosure Officer may aggregate
any such requests and charge
accordingly.
(e) Fees likely to exceed $25. If the
total fee charges are likely to exceed
$25, the FOIA Disclosure Officer shall
notify the requester of the estimated
amount of the charges. The notification
shall offer the requester an opportunity
to confer with the FOIA Disclosure
Officer to reformulate the request to
meet the requester’s needs at a lower
cost.
(f) Advance payments. Advance
payment of fees will generally not be
required. If, however, charges are likely
to exceed $250, the FOIA Disclosure
Officer shall notify the requester of the
likely cost and: If the requester has a
history of prompt payment of FOIA
charges, obtain satisfactory assurance of
full payment; or if the requester has no
history of payment, require an advance
payment of an amount up to the full
estimated charge. If the requester has
previously failed to pay a fee within 30
days of the date of billing, the FOIA
Disclosure Officer shall require the
requester to pay the full amount owed
plus any interest owed as provided in
paragraph (h) of this section 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 charges before the FOIA
Disclosure Officer begins to process the
new request or a pending request from
that requester.
(g) Fees for services not required by
the Freedom of Information Act. The
Commission has discretion regarding its
response to requests for services not
required by the FOIA. For example, the
FOIA does not require agencies to
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certify or authenticate responsive
documents, nor does it require
responsive documents to be sent by
express mail. If these services are
requested, the FOIA Disclosure Officer
shall assess the direct costs of such
services.
(h) Interest on unpaid bills. The
Commission’s Office of Administration
shall begin assessing interest charges on
unpaid bills starting on the thirty-first
day after the date the bill was sent.
Interest will accrue from the date of
billing until the Commission receives
full payment. Interest will be at the rate
described in 31 U.S.C. 3717.
(i) Debt collection procedures. If bills
are unpaid 60 days after the mailing of
a written notice to the requester, the
Commission’s Office of Administration
may resort to the debt collection
procedures set out in the Debt
Collection Act of 1982 (Pub. L. 97–365,
96 Stat. 1749), as amended, and its
administrative procedures, including
the use of consumer reporting agencies,
collection agencies, and offset.
§ 2201.8
Waiver of fees.
(a) General. The FOIA Disclosure
Officer shall waive part or all of the fees
assessed under § 2201.7(b) if two
conditions are satisfied: Disclosure of
the information is in the public interest
because it is likely to contribute
significantly to public understanding of
the operations or activities of the
government; and disclosure is not
primarily in the commercial interest of
the requester. Where the FOIA
Disclosure Officer 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 FOIA Disclosure Officer may
seek clarification from the requester
before assigning the request to a specific
category for fee assessment purposes.
The FOIA Disclosure Officer shall afford
the requester the opportunity to show
that the requester comes within these
two conditions. The following factors
may be considered in determining
whether the two conditions are
satisfied:
(1) Whether the subject of the
requested records concerns the
operations or activities of the
government;
(2) Whether the disclosure is likely to
contribute significantly to public
understanding of government operations
or activities;
(3) Whether the requester has a
commercial interest that would be
furthered by the requested disclosure;
and, if so, whether the magnitude of the
identified commercial interest of the
requester is sufficiently large, in
PO 00000
Frm 00016
Fmt 4702
Sfmt 4702
41391
comparison with the public interest in
disclosure, that disclosure is primarily
in the commercial interest of the
requester.
(b) Partial waiver of fees. If the two
conditions stated in paragraph (a) of this
section are met, the FOIA Disclosure
Officer will ordinarily waive all fees. In
exceptional cases, however, only a
partial waiver may be granted if the
request for records would impose an
exceptional burden or require an
exceptional expenditure of Commission
resources, and the request for a waiver
minimally satisfies the ‘‘public interest’’
requirement in paragraph (a) of this
section.
§ 2201.9
Appeal of denials.
A denial of a request for records,
either in whole or in part, a request for
expedited processing, or a request for
fee waivers, may be appealed in writing
to the Chairman of the Commission
within 20 working days of the date of
the letter denying an initial request. The
Chairman shall act on the appeal under
5 U.S.C. 552(a)(6)(A)(ii) within 20
working days after the receipt of the
appeal. If the Chairman wholly or
partially upholds the denial of the
request, the Chairman shall notify the
requesting person that the requester may
obtain judicial review of the Chairman’s
action under 5 U.S.C. 552(a)(4)(B)–(G).
§ 2201.10
Maintenance of statistics.
(a) The FOIA Disclosure Officer shall
maintain records of:
(1) The number of determinations
made by the agency not to comply with
the requests for records made to the
agency and the reasons for those
determinations;
(2) The number of appeals made by
persons, the results of those appeals,
and the reason for the action upon each
appeal that results in a denial of
information;
(3) A complete list of all statutes that
the agency used to authorize the
withholding of information under 5
U.S.C. 552(b)(3), which exempts
information that is specifically
exempted from disclosure by other
statutes;
(4) A description of whether a court
has upheld the decision of the agency to
withhold information under each of
those statutes cited, and a concise
description of the scope of any
information upheld;
(5) The number of requests for records
pending before the agency as of
September 30 of the preceding year and
the median number of days that these
requests had been pending before the
agency as of that date;
E:\FR\FM\21JYP1.SGM
21JYP1
41392
Federal Register / Vol. 71, No. 140 / Friday, July 21, 2006 / Proposed Rules
(6) The number of requests for records
received by the agency and the number
of requests the agency processed;
(7) The median number of days taken
by the agency to process different types
of requests;
(8) The total amount of fees collected
by the agency for processing requests;
(9) The average amount of time that
the agency estimates as necessary, based
on the past experience of the agency, to
comply with different types of requests;
(10) The number of full-time staff of
the agency devoted to the processing of
requests for records under this section;
and
(11) The total amount expended by
the agency for processing these requests.
(b) The FOIA Disclosure Officer shall
annually, on or before February 1 of
each year, prepare and submit to the
Attorney General an annual report
covering each of the categories of
records to be maintained in accordance
with paragraph (a) of this section, for
the previous fiscal year. A copy of the
report will be available for public
inspection and copying at the OSHRC
FOIA Reading Room, and a copy will be
accessible through OSHRC’s Web site at
https://www.oshrc.gov.
APPENDIX A TO PART 2201.—SCHEDULE OF FEES
Type of fee
Amount of fee
Threshold Amount (Amount below which fees will not be assessed) .....
Search and Review Hourly Fees:
Clerical (GS–9 and below) ................................................................
Professional (GS–10 through GS 14) ...............................................
Managerial (GS–15 and above) ........................................................
Duplication cost per page .........................................................................
Computer printout copying fee .................................................................
Searches of computerized records ..........................................................
Certification Fee .......................................................................................
[FR Doc. E6–11574 Filed 7–20–06; 8:45 am]
BILLING CODE 7600–01–P
DEPARTMENT OF LABOR
Employee Benefits Security
Administration
29 CFR Part 2520
RIN 1210–AB06
Annual Reporting and Disclosure
Employee Benefits Security
Administration, Labor.
ACTION: Proposed rule.
rmajette on PROD1PC65 with PROPOSAL
AGENCY:
14:43 Jul 20, 2006
Jkt 208001
$23.
$46.
$76.
$0.25.
$0.40.
Actual cost to the Commission, but shall not exceed $300 per hour, including machine time and the cost of the operator and clerical personnel.
$35 per authenticating affidavit or declaration. (Note: Search and review charges may be assessed in accordance with the rates listed
above.)
update the annual reporting forms to
reflect current issues and agency
priorities. The regulatory amendments
thus would, upon adoption, apply for
the reporting year for which the
electronic filing requirement is
implemented. The proposed regulatory
amendments will affect the financial
and other information required to be
reported and disclosed by employee
benefit plans filing the Form 5500
Annual Return/Report of Employee
Benefit Plan under Part 1 of Subtitle B
of Title I of ERISA.
Written comments must be
received by the Department of Labor on
or before September 19, 2006.
DATES:
SUMMARY: This document contains
proposed amendments to Department of
Labor (Department) regulations relating
to annual reporting and disclosure
requirements under Part 1 of Subtitle B
of Title I of the Employee Retirement
Income Security Act of 1974, as
amended (ERISA or Act). The proposed
amendments contained in this
document are necessary to conform the
annual reporting and disclosure
regulations to proposed revisions to the
Form 5500 Annual Return/Report of
Employee Benefit Plan forms and
instructions. The proposed changes to
the Form 5500 and implementing
regulatory amendments are intended to
facilitate the transition to an electronic
filing system, separately proposed at 70
FR 51542 (August 30, 2005), reduce and
streamline annual reporting burdens,
especially for small businesses, and
VerDate Aug<31>2005
$10.
Comments should be
addressed to the Office of Regulations
and Interpretations, Employee Benefits
Security Administration (EBSA), Room
N–5669, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington,
DC 20210. Attn: Form 5500 Regulation
Revisions (RIN 1210–AB06). Comments
also may be submitted electronically to
e-ori@dol.gov or by using the Federal
eRulingmaking Portal https://
www.regulations.gov (follow
instructions for submission of
comments). EBSA will make all
comments available to the public on its
Web site at https://www.dol.gov/ebsa.
The comments also will be available for
public inspection at the Public
Disclosure Room, N–1513, EBSA, U.S.
Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210.
ADDRESSES:
PO 00000
Frm 00017
Fmt 4702
Sfmt 4702
FOR FURTHER INFORMATION CONTACT:
Elizabeth A. Goodman or Michael Baird,
Office of Regulations and
Interpretations, Employee Benefits
Security Administration, U.S.
Department of Labor, (202) 693–8523
(not a toll-free number).
SUPPLEMENTARY INFORMATION:
A. Background
Under Titles I and IV of ERISA, and
the Internal Revenue Code (Code), as
amended, pension and other employee
benefit plans are generally required to
file annual returns/reports concerning,
among other things, the financial
condition and operations of the plan.
Filing the Form 5500 ‘‘Annual Return/
Report of Employee Benefit Plan,’’
together with any required attachments
and schedules (Form 5500 Annual
Return/Report) generally satisfies these
annual reporting requirements. The
Form 5500 Annual Return/Report is the
primary source of information
concerning the operation, funding,
assets, and investments of pension and
other employee benefit plans. In
addition to being an important
disclosure document for plan
participants and beneficiaries, the Form
5500 Annual Return/Report is a
compliance and research tool for the
Department and a source of information
and data for use by other federal
agencies, Congress, and the private
sector in assessing employee benefit,
tax, and economic trends and policies.
E:\FR\FM\21JYP1.SGM
21JYP1
Agencies
[Federal Register Volume 71, Number 140 (Friday, July 21, 2006)]
[Proposed Rules]
[Pages 41384-41392]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-11574]
=======================================================================
-----------------------------------------------------------------------
OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION
29 CFR Part 2201
Regulations Implementing the Freedom of Information Act
AGENCY: Occupational Safety and Health Review Commission.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Occupational Safety and Health Review Commission (OSHRC)
is proposing to revise its regulations implementing the Freedom of
Information Act (FOIA), 5 U.S.C. 552, as amended. The proposed
regulations contain new provisions to comply with Executive Order
13392. In addition, the proposed regulations have been updated to
reflect changes in OSHRC's policies and procedures. As a result of
these proposed amendments, the public will have a clearer understanding
of OSHRC's policies and procedures implementing the FOIA.
DATES: Submit comments on or before August 21, 2006.
ADDRESSES: You may submit comments by any of the following methods:
E-mail: regsdocket@oshrc.gov. Include ``FOIA PROPOSED
RULEMAKING'' in the subject line of the message.
Fax: (202) 606-5417.
Mail: 1120 20th Street, NW., Ninth Floor, Washington, DC
20036-3457.
Hand Delivery/Courier: Same as mailing address.
Instructions: All submissions must include your name, return
address and e-mail address, if applicable. Please clearly label
submissions as ``FOIA PROPOSED RULEMAKING.'' If you submit comments by
e-mail, you will receive an automatic confirmation e-mail from the
system indicating that we have received your submission. If, in
response to your comments submitted via e-mail, you do not receive a
confirmation e-mail within five working days, please contact us
directly at (202) 606-5410.
FOR FURTHER INFORMATION CONTACT: Jin H. Kim, Attorney-Advisor, Office
of the General Counsel, via telephone: (202) 606-5410, or via e-mail:
jkim@oshrc.gov.
SUPPLEMENTARY INFORMATION:
I. Background
The Occupational Safety and Health Review Commission (OSHRC)
proposes several substantive and technical revisions governing its
regulations implementing the Freedom of Information Act (FOIA), 5
U.S.C. 552, as amended. OSHRC proposes revising its FOIA regulations,
including the addition of new provisions and the modification of
existing provisions, to comply with Executive Order 13392 (E.O. 13392),
70 FR 75373, December 19, 2005. In E.O. 13392, the President directs
each agency to ensure that its FOIA operations treat FOIA requesters
courteously and appropriately and to provide requesters with prompt
information regarding the status of their FOIA requests, as well as
appropriate information regarding the agency's response. In addition,
each agency is to provide FOIA requesters and the public in general
with ``citizen-centered'' ways to learn about the agency's FOIA process
and how to receive agency records that are publicly available. By
ensuring that its FOIA operations are ``citizen-centered'' and
``results-oriented,'' each agency will improve service and performance,
thereby strengthening compliance with the FOIA.
In order to achieve these goals, E.O. 13392 requires each agency
head to designate a Chief FOIA Officer, who has agency-wide
responsibility for the efficient and appropriate compliance with the
FOIA. As part of his or her duties under E.O. 13392, the Chief FOIA
Officer must review the agency's FOIA operations and identify any areas
for improvement. In addition, E.O. 13392 requires agencies to establish
FOIA Requester Service Centers to enable any FOIA requester to seek
information concerning the status of his or her FOIA request as well as
appropriate information about the agency's FOIA response. As part of
the FOIA Requester Service Center, E.O. 13392 further requires an
agency to designate its own FOIA Public Liaison(s) to serve as the
supervisory official(s) to whom a FOIA
[[Page 41385]]
requester can raise concerns about the service the FOIA requester has
received from the FOIA Requester Service Center, following an initial
response to the FOIA request. Based upon these new requirements, OSHRC
therefore proposes to revise its regulations implementing the FOIA to
comply fully with E.O. 13392.
Further, as a result of the Chief FOIA Officer's review of OSHRC's
FOIA operations, OSHRC proposes to amend its rules to reflect recent
changes in OSHRC's policies and procedures as they relate to the
processing of FOIA requests. At the beginning of this fiscal year,
OSHRC moved all FOIA processing from its Office of Administration to
the Office of the General Counsel, where paralegals and attorneys have
received training in the handling of FOIA requests. Moreover, OSHRC has
identified several areas for improvement in its processing of FOIA
requests that are addressed by these proposed rules, such as
establishing a recordkeeping log, standardizing forms for processing
FOIA requests, adding definitions to clarify the use of terms, and
establishing a streamlined appeals process that covers fee waiver
denials. These changes in OSHRC's policies and procedures will make the
processing of FOIA requests more efficient and responsive. Lastly,
OSHRC proposes several minor revisions that are purely technical or
clarifying in nature which relate to changes in phrasing and
nomenclature.
Accordingly, OSHRC proposes to revise its regulations implementing
the FOIA and put them out for public comment pursuant to 5 U.S.C.
552(a)(4)(A)(i), (a)(6)(B)(iv), (a)(6)(D)(i), and (a)(6)(E)(i). For the
convenience of the reader, OSHRC reproduces proposed 29 CFR part 2201
in its entirety. The specific amendments that OSHRC proposes to each
section of 29 CFR part 2201 are discussed hereafter in regulatory
sequence.
II. Proposed Regulatory Revisions
The President's issuance of E.O. 13392 on December 14, 2005 created
new requirements and duties for improving agency disclosure of
information under the FOIA which are implemented in these proposed
rules. Consequently, OSHRC proposes to amend the authority citation in
29 CFR part 2201 to add a reference to E.O. 13392.
In 29 CFR 2201.1, OSHRC would make changes to correct a grammatical
error in the section heading and to add abbreviations for
``Occupational Safety and Health Review Commission'' and ``Freedom of
Information Act'' to the regulatory text. Accordingly, the proposed
rules in part 2201 are revised throughout to refer to the
``Occupational Safety and Health Review Commission'' as ``OSHRC'' or
``Commission,'' and the ``Freedom of Information Act'' as ``FOIA.''
In Sec. 2201.2, OSHRC proposes adding a sentence to the end of the
section that provides additional details about the designation of one
of the Commissioners as the Chairman and his responsibilities for the
administrative operations of the Commission, consistent with section
12(e) of the Occupational Safety and Health Act of 1970, 29 U.S.C.
661(e). Also, to conform to the abbreviations noted above in Sec.
2201.1, OSHRC would substitute ``OSHRC'' in place of ``The Occupational
Safety and Health Review Commission (OSHRC or Commission)'' in new
Sec. 2201.2.
In Sec. 2201.3, OSHRC proposes revising the delegation of FOIA-
related duties to reflect the changes required by E.O. 13392 and break
them out into new paragraphs (a) through (d). In order to comport with
E.O. 13392, OSHRC would eliminate the current language regarding the
Chairman's delegation of authority to the Freedom of Information Act
Officer. In its place, OSHRC proposes adding a delegation of authority
to the Chief FOIA Officer under new paragraph (a). In addition, OSHRC
would eliminate the alternate designation of another OSHRC officer or
employee, such as the General Counsel or the Executive Secretary, by
the Chairman or the Executive Director in the absence of the Freedom of
Information Act Officer. Instead, under new paragraph (b) of proposed
Sec. 2201.3, the Chief FOIA Officer would designate the agency's FOIA
Disclosure Officer(s) to process all FOIA requests. Under paragraph
(c), the Chief FOIA Officer would designate the FOIA Public Liaison(s)
to address any concerns about the service a FOIA requester has received
following an initial response by the agency. Under new paragraph (d),
OSHRC's proposal identifies the FOIA Disclosure Officer(s) and FOIA
Public Liaison(s) as serving in the agency's FOIA Requester Service
Center and provides the address and telephone number to contact the
FOIA Requester Service Center. This new language reflects changes in
the delegation of authority and designation of personnel in compliance
with E.O. 13392.
Indeed, in order to ensure appropriate communication with FOIA
requesters, E.O. 13392 requires agencies to ``establish one or more
FOIA Requester Service Centers'' to receive and respond to inquiries
from FOIA requesters. To comply with this requirement, OSHRC proposes
to establish a FOIA Requester Service Center at its national office in
Washington, DC OSHRC's FOIA Requester Service Center, which will handle
all FOIA requests and inquiries about FOIA requests, will consist of
FOIA Disclosure Officer(s) and FOIA Public Liaison(s). Under OSHRC's
new procedures, the FOIA Disclosure Officer(s) will handle all initial
responses to FOIA requests. The FOIA Public Liaison(s) will ensure
appropriate communication between FOIA requesters and FOIA Disclosure
Officer(s) and will be supervisory employee(s). This change will help
ensure that OSHRC's FOIA operations are ``citizen-centered'' and
``results-oriented'' as directed in E.O. 13392. OSHRC also would update
references to the FOIA Officer and Information Office throughout 29 CFR
part 2201 to reflect this change.
OSHRC proposes to eliminate the second to last sentence of current
Sec. 2201.3 that refers to the handling of requests for copies of
individual decisions because copies of Commission decisions have been
placed on OSHRC's Web site for the public's convenience, pursuant to
the Electronic Freedom of Information Act Amendments of 1996, Public
Law 104-231, 110 Stat. 3048 (codified as amended in 5 U.S.C. 552) (e-
FOIA). OSHRC would further eliminate the last sentence of current Sec.
2201.3 which refers to the handling of ``all other information
requests'' because this information will be covered under new Sec.
2201.5(a) of the regulations; thus, its inclusion in Sec. 2201.3 is
redundant.
In Sec. 2201.4, OSHRC first proposes to change the heading to
include the phrase ``and definitions.'' Second, OSHRC would update
regulatory cross-references and make minor nomenclature changes
throughout the section, such as deleting ``Review'' from ``Review
Commission'' and replacing ``Freedom of Information Act Officer'' with
``FOIA Disclosure Officer.'' Third, OSHRC would make other minor
changes in phrasing to paragraph (a) by combining the last two
sentences of the existing regulations for clarity without changing the
meaning of the provision. Fourth, in paragraph (c), OSHRC would edit
the paragraph heading to update the nomenclature, as well as the
introductory text to describe more precisely the location of the
reading room. Fifth, OSHRC would also add new paragraphs (c)(3) and
(c)(4) to reflect the language of the FOIA, and renumber current
paragraphs (c)(3) and (c)(4) as new paragraphs (c)(5) and (c)(6).
Sixth, in paragraph (d), OSHRC would add a new paragraph heading noting
record availability at the OSHRC
[[Page 41386]]
e-FOIA reading room, as well as language clarifying the availability of
electronic records. Finally, OSHRC would add a new paragraph (e) to
Sec. 2201.4 to provide definitions relevant to 29 CFR part 2201 that
are consistent with other agencies' FOIA regulations. These nine
definitions clarify certain FOIA terminology but in no way change how
OSHRC processes FOIA requests. The terms include: ``commercial use
request,'' ``direct costs,'' ``duplication,'' ``education
institution,'' ``noncommercial scientific institution,''
``representative of the news media, or media requester,'' ``review,''
``search,'' and ``working day.'' The terms have been defined using
standard language consistent with the statute, including the
incorporation of minor technical modifications from the FOIA
regulations of several other government agencies, including the
Department of Justice (28 CFR part 16) and the Office of Management and
Budget (OMB) (5 CFR part 1303). OSHRC proposes to define ``working
day,'' which is not defined in other government agencies'' FOIA
regulations, in order to clarify the FOIA's calculation of time.
OSHRC would remove current Sec. 2201.5 altogether because it is no
longer necessary. OSHRC had a policy of providing a hard copy of a
single decision before the advent of the Internet and e-FOIA. Pursuant
to e-FOIA, OSHRC has placed Commission decisions on OSHRC's Web site,
https://www.oshrc.gov, for the public's convenience. Therefore, OSHRC
proposes to remove Sec. 2201.5 in its entirety and renumber subsequent
sections accordingly.
OSHRC then proposes to redesignate current Sec. 2201.6 as new
Sec. 2201.5. In new Sec. 2201.5 (old Sec. 2201.6), OSHRC would
eliminate paragraph (a) of the current regulations in its entirety.
Pursuant to e-FOIA, OSHRC has placed most of this information on its
Web site for the public's convenience. OSHRC also proposes to make
minor technical changes throughout this section to update cross-
references and to reflect changes made to other sections in part 2201,
as well as to clarify language which would not change the meaning of
the provision. For example, OSHRC would remove ``Review'' from ``Review
Commission,'' replace ``Freedom of Information Act Officer'' with
``FOIA Disclosure Officer'' and change references to other provisions.
Further, OSHRC would redesignate the old paragraph (b) as paragraph (a)
with a new paragraph heading, ``Requests for information'' and modify
the language within new paragraph (a) to clearly delineate the
procedures for making FOIA requests. The new paragraph (a) provides
that requests for information must be made in writing with ``Freedom of
Information Act Request'' printed on the request's envelope or cover as
well as the request itself, and addressed to the FOIA Disclosure
Officer. In addition, FOIA requests must describe the record requested
to the fullest extent possible and specify the preferred form or format
of the response. The new language states that OSHRC shall try to
accommodate requesters as to form or format when possible, and if no
form or format is specified, OSHRC shall respond in the form or format
that is most accessible to OSHRC. This new language is easier to
understand and clarifies the procedures for requesting records.
Further, OSHRC would redesignate current paragraph (c) as new paragraph
(b), and would rephrase new paragraph (b) for clarity regarding the
date of receipt of a FOIA request. OSHRC would also delete paragraph
(d) (Specificity required) (old Sec. 2201.6) because the information
requested in paragraph (d) is now incorporated in new paragraph (a) of
proposed Sec. 2201.5.
OSHRC proposes to redesignate current Sec. 2201.7 as new Sec.
2201.6. In new Sec. 2201.6 (old Sec. 2201.7), OSHRC would first
update cross-references to other sections changed in part 2201 and then
make minor technical and grammatical changes throughout this section.
For example, OSHRC would remove ``Review'' from ``Review Commission''
and replace ``Freedom of Information Act Officer'' with ``FOIA
Disclosure Officer'' throughout this section. OSHRC also proposes to
rephrase paragraph (b) for clarity without changing the meaning of the
provision by directly stating that the FOIA Disclosure Officer(s) shall
notify the requester in writing about extensions of time. Also in the
introductory text to paragraph (b), OSHRC would delete the phrase
``telephonic notice'' when discussing ``extensions of response time in
usual circumstances'' beyond the allowable time, because the FOIA
requires written notice under 5 U.S.C. 552(a)(6)(B). Further, OSHRC
would modify the language of paragraph (b)(1) to reflect in a more
precise manner the location of OSHRC records. OSHRC records are
currently located in OSHRC's national office, regional offices and an
off-site storage location. In paragraph (b)(3), OSHRC would delete the
phrase ``or among two or more components within the Commission having
substantial subject-matter interest in the request'' because this
phrase is unnecessary to OSHRC's FOIA operations. For consistency
purposes, OSHRC proposes requiring written notice in paragraph (c) for
additional extensions of time, as well as in paragraph (d)(3) for when
the estimated time to process a FOIA request substantially changes. By
providing written notice to requesters for these circumstances, OSHRC
believes that it would improve OSHRC's communication with requesters.
In paragraph (d) of Sec. 2201.6 (old Sec. 2201.7), OSHRC would
rename the heading from ``multitrack processing'' to ``two-track
processing'' to describe more accurately OSHRC's processing of FOIA
requests. Further, in order to streamline the FOIA rules and make them
more user friendly, OSHRC proposes deleting paragraph (e)(4), as well
as paragraph (g) of current Sec. 2201.7 and incorporate that
information in new Sec. 2201.9 (Appeal of denials). New Sec. 2201.9
will apply to all appeals of denials related to FOIA requests (i.e.,
requests for records, requests for expedited processing, and/or
requests for fee waiver).
In paragraph (f), OSHRC proposes to consolidate all denials related
to FOIA requests (i.e., requests for records, requests for expedited
processing, and/or requests for fee waiver) to streamline the rules and
make them more user friendly. Finally, OSHRC would further revise the
language in paragraph (f) to closely track the language of the FOIA, 5
U.S.C. 552(a)(6)(C)(i) and (F), by requiring the FOIA Disclosure
Officer(s) to provide the reason for a denial, a reasonable estimate of
the volume of matter denied (unless doing so would harm an interest
protected by the exemption(s) under which the request was denied), the
name and title or position of the person responsible for the denial of
the request, and also notify the requester of the right to appeal the
determination in the written notice of denial.
Due to the movement of paragraph (g) to new Sec. 2201.9 (Appeal of
denials), OSHRC proposes redesignating paragraph (h) as new paragraph
(g). OSHRC would edit the language in new paragraph (g) to require
written justification for deletions within a record, because the FOIA
states that ``the justification for the deletion shall be explained
fully in writing'' as required under 5 U.S.C. 552(a).
OSHRC proposes to redesignate current Sec. 2201.8 as new Sec.
2201.7. In new Sec. 2201.7 (old Sec. 2201.8), OSHRC would revise this
section to reflect changes in OSHRC's calculation of fees, and create
an appendix that reflects OSHRC's fee schedule. In paragraph (a), OSHRC
proposes to make several nomenclature changes and update a cross-
reference to the section on fee waivers. In addition,
[[Page 41387]]
OSHRC proposes eliminating the specified dollar amount ($10) and
changing it to ``the threshold amount as provided in OSHRC's schedule
of fees.'' Further, in new Sec. 2201.7 (old Sec. 2201.8), OSHRC
proposes deleting paragraphs (a)(2) and (a)(3) and incorporating that
definitional information in paragraph Sec. 2201.4(e). In addition, the
procedural information in paragraph (a)(3) is duplicated in new Sec.
2201.8(a) discussed below. In paragraph (b), OSHRC proposes revising
the copying, searching and reviewing fees so they are based on the
direct costs of these services as provided in the FOIA under 5 U.S.C.
552(a)(4)(A)(iv). The FOIA provides that the Director of OMB shall
promulgate guidelines for a uniform schedule of fees for all agencies
under 5 U.S.C. 552(a)(4)(A)(i). OSHRC calculates its fees in accordance
with OMB's ``Uniform Freedom of Information Act Fee Schedule and
Guidelines,'' 52 FR 10012, March 27, 1987. Under OMB's guidelines,
these fees are to be based on the average hourly salary (base plus DC
locality payment) of employees performing the services plus 16 percent
for benefits. In addition, the fees for clerical employees are to be
based on an average of all employees at the GS-9 level and below; the
fees for professional employees are to be based on all employees at the
GS-10 through GS-14 level; and the fees for managerial employees are to
be based on an average of all employees at the GS-15 level and above.
OSHRC's Office of Administration has calculated and updated the fees,
which appear in the attached Appendix A. The FOIA Requester Service
Center also will provide a hard copy of the schedule of fees upon
request. OSHRC proposes to revise the language in paragraphs (b)(1),
(b)(2) and (b)(3) of new Sec. 2201.7 (old Sec. 2201.8) to reflect the
new calculation of fees.
OSHRC proposes to add a new paragraph (c) in new Sec. 2201.7 (old
Sec. 2201.8) requiring the FOIA Disclosure Officer to provide
requesters an itemized invoice for fees related to FOIA requests.
Although the FOIA does not require an itemized invoice, OSHRC would
provide an itemized invoice for the convenience of the requester as
part of OSHRC's effort to be citizen-centered pursuant to E.O. 13392.
OSHRC would also redesignate old paragraph (c) as new paragraph (d) to
reflect the addition of the new paragraph (c). New paragraph (d) will
be updated to include changes in nomenclature. OSHRC also would delete
the current paragraph (d) (Certification or authentication), and
include such certification or authentication service in a new paragraph
(g) (Fees for services not required by the Freedom of Information Act),
which is more inclusive of other services, such as express mail.
Paragraph (e) will remain essentially the same, except that OSHRC
would make changes in wording that are technical in nature, such as
replacing ``Freedom of Information Act Officer'' with ``FOIA Disclosure
Officer'' and using gender neutral language. OSHRC would also change
``copying or search'' to ``the total fee'' to reflect the true cost of
satisfying the request. OSHRC in this proposal has left in place the
$25 total fee threshold, above which the agency is required to contact
the requester about cost. OSHRC is considering, however, whether to
raise that threshold amount. OSHRC requests comments specifically on
whether, and by how much, this threshold should be raised.
In paragraph (f) of new Sec. 2201.7 (old Sec. 2201.8), OSHRC
would make some changes in nomenclature to insert the term ``FOIA
Disclosure Officer'' and insert gender neutral language. OSHRC would
also modify the language in the third sentence to require full payment
when a requester has previously failed to pay within 30 days. This
revision is more consistent with the other sentences in the paragraph
addressing advance payment. As noted above, OSHRC proposes to create a
new paragraph (g) on fees for services not required by the FOIA. This
new paragraph is more inclusive of the types of services, such as
express mail, that is not in OSHRC's current regulation. OSHRC also
would revise the language in paragraph (h), as well as paragraph (i),
to reflect changes in OSHRC's procedures for transferring the bill
collection responsibilities related to FOIA requests to OSHRC's Office
of Administration. OSHRC believes that this change in bill collection
procedures will improve efficiency because the FOIA Requester Service
Center will not have to devote resources to bill collection and can
focus on responding to FOIA requests. In paragraph (i), OSHRC would
further revise the language to more precisely reflect the statutory
provisions relating to the Federal government's collection of debts
under the Debt Collection Act of 1982 and its administrative
procedures.
OSHRC proposes to redesignate current Sec. 2201.9 as new Sec.
2201.8. In new Sec. 2201.8 (old Sec. 2201.9), OSHRC would make
several minor changes that are technical in nature, such as replacing
references to the ``Freedom of Information Act Officer'' with ``FOIA
Disclosure Officer'' and using gender neutral language. As mentioned in
the discussion of new Sec. 2201.7 (old Sec. 2201.8), OSHRC would
include some of the procedural language from paragraph (a)(3) of old
Sec. 2201.8 in paragraph (a) of new Sec. 2201.8 (old Sec. 2201.9).
As previously mentioned, OSHRC proposes adding a new section, Sec.
2201.9 (Appeal of denials), to consolidate all appeals in one section.
This change is intended to make the FOIA rules more user friendly.
OSHRC would also change the time the requester may appeal a denial from
30 working days after the requester receives notice of the appeal to 20
working days. This change is based on a survey of various smaller
agencies, including the Federal Mine Safety and Health Review
Commission (20 working days). In addition, OSHRC would add appeals of
denial of fee waivers in this section because OSHRC's current rule does
not specifically provide for appeals of denial of fee waivers.
In Sec. 2201.10, OSHRC would make minor technical changes, such as
replacing ``Freedom of Information Act Officer'' with ``FOIA Disclosure
Officer.''
Finally, OSHRC would update the cross-references to the various
sections and paragraphs throughout the rules in 29 CFR part 2201 to
reflect changes in section numbers and paragraphs due to the
reorganization of these proposed regulations.
Executive Order 12866
The Commission is an independent regulatory agency, and as such, is
not subject to the requirements of E.O. 12866.
Paperwork Reduction Act
The Commission has determined that the Paperwork Reduction Act, 44
U.S.C. 3501 et seq., does not apply because these rules do not contain
any information collection requirements that require the approval of
OMB.
Executive Order 13132
The Commission is an independent regulatory agency, and as such, is
not subject to the requirements of E.O. 13132.
Regulatory Flexibility Act
The Commission has determined under the Regulatory Flexibility Act,
5 U.S.C. 606(b), that these rules, if adopted, would not have a
significant economic impact on a substantial number of small entities.
Therefore, a Regulatory Flexibility Statement and Analysis has not been
prepared.
[[Page 41388]]
Unfunded Mandates Reform Act of 1995
The Commission is an independent regulatory agency, and, as such,
is not subject to the Unfunded Mandates Reform Act, 2 U.S.C. 1501 et
seq.
Small Business Regulatory Enforcement Fairness Act of 1996
This proposed rule is not a major rule under the Small Business
Regulatory Enforcement Fairness Act, 5 U.S.C. 804(2). The proposed rule
will not result in an annual effect on the economy of more than $100
million per year; a major increase in costs or prices for consumers,
individual industries, Federal, State, or local government agencies, or
geographic regions; or significant adverse effects on competition,
employment, investment, productivity, innovation, or on the ability of
U.S.-based enterprises to compete with foreign-based companies in
domestic and export markets.
List of Subjects in 29 CFR Part 2201
Freedom of Information.
Signed at Washington, DC, on July 17, 2006.
W. Scott Railton,
Chairman.
For the reasons set forth in the preamble, the Commission proposes
that Chapter XX, part 2201 of Title 29, Code of Federal Regulations, be
revised as follows:
PART 2201--REGULATIONS IMPLEMENTING THE FREEDOM OF INFORMATION ACT
Sec.
2201.1 Purpose and scope.
2201.2 Description of agency.
2201.3 Delegation of authority and responsibilities.
2201.4 General policy and definitions.
2201.5 Procedure for requesting records.
2201.6 Responses to requests.
2201.7 Fees for copying, searching, and review.
2201.8 Waiver of fees.
2201.9 Appeal of denials.
2201.10 Maintenance of statistics.
Appendix A to Part 2201--Schedule of Fees
Authority: 29 U.S.C. 661(g); 5 U.S.C. 552; E.O. 13392, 70 FR
75373, 3 CFR, 2005 Comp., p. 216.
Sec. 2201.1 Purpose and scope.
This part prescribes procedures to obtain information and records
of the Occupational Safety and Health Review Commission (OSHRC or
Commission) under the Freedom of Information Act (FOIA), 5 U.S.C. 552.
It applies only to records or information of the Commission or in the
Commission's custody. This part does not affect discovery in adversary
proceedings before the Commission. Discovery is governed by the
Commission's Rules of Procedure in 29 CFR part 2200, subpart D.
Sec. 2201.2 Description of agency.
OSHRC adjudicates contested enforcement actions under the
Occupational Safety and Health Act of 1970, 29 U.S.C. 651-678. The
Commission decides cases after the parties are given an opportunity for
a hearing. All hearings are open to the public and are conducted at a
place convenient to the parties by an Administrative Law Judge. Any
Commissioner may direct that a decision of a Judge be reviewed by the
full Commission. The President designates one of the Commissioners as
Chairman, who is responsible on behalf of the Commission for the
administrative operations of the Commission.
Sec. 2201.3 Delegation of authority and responsibilities.
(a) The Chairman delegates to the Chief FOIA Officer the authority
to act upon all requests for agency records.
(b) The Chief FOIA Officer shall designate the FOIA Disclosure
Officer(s), who shall be responsible for processing FOIA requests.
(c) The Chief FOIA Officer shall designate the FOIA Public
Liaison(s), who shall serve as the supervisory official(s) to whom a
FOIA requester can raise concerns about the service the FOIA requester
has received following an initial response.
(d) OSHRC establishes a FOIA Requester Service Center that shall be
staffed by the FOIA Disclosure Officer(s) and FOIA Public Liaison(s).
The address and telephone number of the FOIA Requester Service Center
is 1120 20th Street, NW., Washington, DC 20036-3457, (202) 606-5410.
Sec. 2201.4 General policy and definitions.
(a) Non-exempt records available to public. Except for records and
information exempted from disclosure by 5 U.S.C. 552(b) or published in
the Federal Register under 5 U.S.C. 552(a)(1), all records of the
Commission or in its custody are available to any person who requests
them in accordance with Sec. 2201.5(a). Records include any
information that would be a record subject to the requirements of 5
U.S.C. 552 when maintained by the Commission in any format, including
electronic format. In response to FOIA requests, the Commission will
search for records manually or by automated means, except when an
automated search would significantly interfere with the operation of
the Commission's automated information system.
(b) Examination of records in cases appealed to courts. A final
order of the Commission may be appealed to a United States Court of
Appeals. When this occurs, the Commission may send part or all of the
official case file to the court and may retain other parts of the file.
Thus, a document in a case may not be available from the Commission but
only from the court of appeals. In such a case, the FOIA Disclosure
Officer may inform the requester that the request for a particular
document should be directed to the court.
(c) Record availability at the OSHRC on-site FOIA Reading Room. The
records of Commission activities are publicly available for inspection
and copying at the OSHRC on-site FOIA Reading Room, 1120 20th St., NW.,
Ninth Floor, Washington, DC 20036-3457. These records include:
(1) Final decisions including concurring and dissenting opinions as
well as orders issued as a result of adjudication of cases;
(2) OSHRC Rules of Procedure and Guides to those procedures;
(3) Specific agency policy statements adopted by OSHRC and not
published in the Federal Register;
(4) Administrative staff manuals that affect a member of the
public;
(5) Copies of records that have been released to a person under the
FOIA that, because of the subject matter, the Commission determines
that the records have become or are likely to become the subject of
subsequent requests for substantially the same records; and
(6) A general index of records referred to under paragraph (c)(3)
of this section.
(d) Record availability at the OSHRC e-FOIA Reading Room. Materials
created on or after November 1, 1996 under paragraphs (c)(1), (2), (3)
and (4) of this section may also be accessed electronically through the
Commission's Web site at https://www.oshrc.gov.
(e) Definitions. For purposes of this part:
Commercial use request means a request from or on behalf of a
person who seeks information for a use or purpose that furthers his or
her commercial, trade, or profit interests, which can include
furthering those interests through litigation. The FOIA Disclosure
Officer shall determine, whenever reasonably possible, the use to which
a requester will put the requested records. When it appears that the
requester will put the records to a commercial use, either because of
the nature of the request itself or because the FOIA Disclosure Officer
has
[[Page 41389]]
reasonable cause to doubt a requester's stated use, the FOIA Disclosure
Officer shall provide the requester a reasonable opportunity to submit
further clarification.
Direct costs means those expenses that the Commission actually
incurs in searching for and duplicating (and, in the case of commercial
use requests, reviewing) records to respond to a FOIA request. Direct
costs include, for example, the salary of the employee performing the
work (the basic rate of pay for the employee, plus 16 percent of that
rate to cover benefits) and the cost of operating duplication
machinery. Not included in direct costs are overhead expenses such as
the costs of space and heating or lighting of the facility in which the
records are kept.
Duplication means the making of a copy of a record, or of the
information contained in it, necessary to respond to a FOIA request.
Copies can take the form of paper, microform, audiovisual materials, or
electronic records (for example, magnetic tape or disk), among others.
The FOIA Disclosure Officer shall honor a requester's specified
preference of form or format of disclosure if the record is readily
reproducible with reasonable efforts in the requested form or format.
Educational institution means a preschool, a public or private
elementary or secondary school, an institution of undergraduate higher
education, an institution of graduate higher education, an institution
of professional education, or an institution of vocational education,
that operates a program of scholarly research. To be in this category,
a requester must show that the request is authorized by and is made
under the auspices of a qualifying institution and that the records are
not sought for a commercial use but are sought to further scholarly
research.
Noncommercial scientific institution means an institution that is
not operated on a ``commercial'' basis, as that term is defined in this
paragraph, 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. To be in this category, a requester
must show that the request is authorized by and is made under the
auspices of a qualifying institution and that the records are not
sought for a commercial use but are sought to further scientific
research.
Representative of the news media, or news media requester is any
person actively gathering news for an entity that is organized and
operated to publish or broadcast news to the public. For purposes of
this definition, 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 where they can qualify as disseminators of
``news'') who make their products available for purchase or
subscription by the general public. For ``freelance'' journalists to be
regarded as working for a news organization, they must demonstrate a
solid basis for expecting publication through that organization. A
publication contract would be the clearest proof, but the FOIA
Disclosure Officer shall also look to the past publication record of a
requester in making this determination. To be in this category, a
requester must not be seeking the requested records for a commercial
use. However, a request for records supporting the news-dissemination
function of the requester shall not be considered to be for a
commercial use.
Review means the examination of a record located in response to a
request in order to determine whether any portion of it is exempt from
disclosure. It also includes processing any record for disclosure--for
example, doing all that is necessary to redact it and prepare it for
disclosure. Review costs are recoverable even if a record ultimately is
not disclosed. Review time does not include time spent resolving
general legal or policy issues regarding the application of exemptions.
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. The FOIA Disclosure Officer
shall ensure that searches are done in the most efficient and least
expensive manner reasonably possible. For example, the FOIA Disclosure
Officer shall not search line-by-line where duplicating an entire
document would be quicker and less expensive.
Working day means a regular Federal working day. It does not
include Saturdays, Sundays, or Federal legal public holidays.
Sec. 2201.5 Procedure for requesting records.
(a) Requests for information. All requests for information must be
made in writing and must be mailed or delivered to the FOIA Disclosure
Officer at the address in Sec. 2201.3(d). The words ``Freedom of
Information Act Request'' must be printed on the face of the request's
envelope or covering as well as the request itself. Requests for
information must describe the particular record requested to the
fullest extent possible and specify the preferred form or format
(including electronic formats) of the response. The Commission shall
accommodate requesters as to form or format if the record is readily
reproducible in the requested form or format. When requesters do not
specify the preferred form or format of the response, the Commission
shall respond in the form or format in which the record is most
accessible to the Commission.
(b) Date of receipt. A request that complies with paragraph (a) of
this section is deemed received on the actual date it is received by
the Commission. A request that does not comply with paragraph (a) of
this section is deemed received when it is actually received by the
FOIA Disclosure Officer. For requests that are expected to result in
fees exceeding $250, the request shall not be deemed to have been
received until the requester is advised of the anticipated costs and
the Commission has received full payment or satisfactory assurance of
full payment as provided under Sec. 2201.7(f).
Sec. 2201.6 Responses to requests.
(a) Responses within 20 working days. The FOIA Disclosure Officer
will either grant or deny a request for records within 20 working days
after receiving the request.
(b) Extensions of response time in unusual circumstances. In
unusual circumstances, the Commission may extend the time limit
prescribed in paragraph (a) of this section by not more than 10 working
days. The FOIA Disclosure Officer shall notify the requester in writing
of the extension, the reasons for the extension and the date on which a
determination is expected. ``Unusual circumstances'' exists, but only
to the extent reasonably necessary to the proper processing of the
particular request, when there is a need to:
(1) Search for and collect the requested records from one of
OSHRC's regional offices or off-site storage facilities;
(2) Search for, collect, and appropriately examine a voluminous
amount of separate and distinct records that are demanded in a single
request; or
(3) Consult, with all practicable speed, with another agency having
a substantial interest in the determination of the request.
(c) Additional extension. The FOIA Disclosure Officer shall notify
the
[[Page 41390]]
requester in writing when it appears that a request cannot be completed
within the allowable time (20 working days plus a 10 working day
extension). In such instances, the requester will be provided an
opportunity to limit the scope of the request so that it may be
processed in the time limit, or to agree to a reasonable alternative
time frame for processing.
(d) Two-track processing. To ensure the most equitable treatment
possible for all requesters, the Commission will process requests on a
first-in, first-out basis using a two-track processing system based
upon the estimated time it will take to process the request.
(1) The first track is for requests of simple to moderate
complexity that are expected to be completed within 20 working days.
(2) The second track is for requests involving ``unusual
circumstances'' that are expected to take between 21 to 30 working days
to complete and those that, because of their unusual volume or other
complexity, are expected to take more than 30 working days to complete.
(3) Requesters should assume, unless otherwise notified by the
Commission, that their request is in the first track. The Commission
will notify requesters when their request is placed in the second track
for processing and that notification will include the estimated time
for completion. Should subsequent information substantially change the
estimated time to process a request, the requester will be notified in
writing. In the case of a request expected to take more than 30 working
days for action, a requester may modify the request to allow it to be
processed faster or to reduce the cost of processing. Partial responses
may be sent to requesters as documents are obtained by the FOIA
Disclosure Officer from the supplying offices.
(e) Expedited processing. (1) The Commission may place a person's
request at the front of the queue for the appropriate track for that
request upon receipt of a written request that clearly demonstrates a
compelling need for expedited processing. Requesters must provide
detailed explanations to support their expedited requests. For purposes
of determining expedited processing, the term compelling need means:
(i) That a failure to obtain requested records on an expedited
basis could reasonably be expected to pose an imminent threat to the
life or physical safety of any individual; or
(ii) That a request is made by a person primarily engaged in
disseminating information, and that person establishes that there is an
urgency to inform the public concerning actual or alleged Federal
Government activity.
(2) A person requesting expedited processing must include a
statement certifying the compelling need given to be true and correct
to the best of his or her knowledge and belief. The certification
requirement may be waived by the Commission as a matter of agency
discretion.
(3) The FOIA Disclosure Officer will make the initial determination
whether to grant or deny a request for expedited processing and will
notify a requester within 10 calendar days after receiving the request
whether processing will be expedited.
(f) Content of denial. When the FOIA Disclosure Officer denies a
request for records, either in whole or in part, a request for
expedited processing, and/or a request for fee waivers (see Sec.
2201.8), the written notice of the denial shall state the reason for
denial, give a reasonable estimate of the volume of matter denied
(unless doing so would harm an interest protected by the exemption(s)
under which the request was denied), set forth the name and title or
position of the person responsible for the denial of the request, and
notify the requester of the right to appeal the determination as
specified in Sec. 2201.9. A refusal by the FOIA Disclosure Officer to
process the request because the requester has not made advance payment
or given a satisfactory assurance of full payment required under Sec.
2201.7(f) may be treated as a denial of the request and appealed under
Sec. 2201.9.
(g) Deletions. The FOIA Disclosure Officer shall provide to the
requester in writing a justification for deletions within records. The
amount of information deleted from records shall be indicated on the
released portion of the record, unless including that indication would
harm an interest protected by the exemption under which the deletion is
made. If technically feasible, the place in the record where the
deletion is made shall be marked.
Sec. 2201.7 Fees for copying, searching, and review.
(a) Fees required unless waived. The FOIA Disclosure Officer shall
charge the fees in paragraph (b) of this section unless the fees for a
request are less than the threshold amount as provided in OSHRC's fee
schedule, in which case no fees shall be charged. The FOIA Disclosure
Officer shall, however, waive the fees in the circumstances stated in
Sec. 2201.8.
(b) Calculation of fees. Fees for copying, searching and reviewing
will be based on the direct costs of these services, including the
average hourly salary (base plus DC locality payment), plus 16 percent
for benefits, of the following three categories of employees involved
in responding to FOIA requests: clerical--based on an average of all
employees at GS-9 and below; professional--based on an average of all
employees at GS-10 through GS-14; and managerial--based on an average
of all employees at GS-15 and above. OSHRC will calculate a schedule of
fees based on these direct costs. The schedule of fees under this
section appears in Appendix A to this Part 2201. A copy of the schedule
of fees may also be obtained at no charge from the FOIA Disclosure
Officer. See Sec. 2201.3(d).
(1) Copying fee. The fee per copy of each page shall be calculated
in accordance with the per-page amount established in OSHRC's fee
schedule. For other forms of duplication, direct costs of producing the
copy, including operator time, shall be calculated and assessed.
Copying fees shall not be charged for the first 100 pages of copies
unless the copies are requested for a commercial use.
(2) Search fee. Search fees shall be calculated in accordance with
the amounts established in OSHRC's fee schedule. Commercial requesters
shall be charged for all search time. Search fees shall be charged even
if the responsive documents are not located or if they are located but
withheld on the basis of an exemption. However, search fees shall be
limited or not charged as follows:
(i) Easily identifiable decisions. Search fees shall not be charged
for searching for decisions that the requester identifies by name and
date, or by docket number, or that are otherwise easily identifiable.
(ii) Educational, scientific or news media requests. No fee shall
be charged if the request is not for a commercial use and is by an
educational or scientific institution, whose purpose is scholarly or
scientific research, or by a representative of the news media.
(iii) Other non-commercial requests. No fee shall be charged for
the first two hours of searching if the request is not for a commercial
use and is not by an educational or scientific institution, or a
representative of the news media.
(iv) Requests for records about self. No fee shall be charged to
search for records filed in the Commission's systems of records if the
requester is the subject of the requested records. See the Privacy Act
of 1974, 5 U.S.C. 552a(f)(5) (fees to be charged only for copying).
[[Page 41391]]
(3) Review fee. A review fee shall be charged only for commercial
requests. Review fees shall be calculated in accordance with the
amounts established in OSHRC's schedule of fees. A review fee shall be
charged for the initial examination of documents located in response to
a request to determine if it may be withheld from disclosure, and for
the excision of withholdable portions. However, a review fee shall not
be charged for review by the Chairman under Sec. 2201.9 (Appeal of
denials).
(c) Invoices. The FOIA Disclosure Officer shall provide the
requester with an invoice containing an itemization of assessed fees.
(d) Aggregation of requests. When the FOIA Disclosure Officer
reasonably believes that a requester, or a group of requesters acting
in concert, is attempting to break a request into a series of requests
for the purpose of evading the assessment of fees, the FOIA Disclosure
Officer may aggregate any such requests and charge accordingly.
(e) Fees likely to exceed $25. If the total fee charges are likely
to exceed $25, the FOIA Disclosure Officer shall notify the requester
of the estimated amount of the charges. The notification shall offer
the requester an opportunity to confer with the FOIA Disclosure Officer
to reformulate the request to meet the requester's needs at a lower
cost.
(f) Advance payments. Advance payment of fees will generally not be
required. If, however, charges are likely to exceed $250, the FOIA
Disclosure Officer shall notify the requester of the likely cost and:
If the requester has a history of prompt payment of FOIA charges,
obtain satisfactory assurance of full payment; or if the requester has
no history of payment, require an advance payment of an amount up to
the full estimated charge. If the requester has previously failed to
pay a fee within 30 days of the date of billing, the FOIA Disclosure
Officer shall require the requester to pay the full amount owed plus
any interest owed as provided in paragraph (h) of this section 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 charges before the
FOIA Disclosure Officer begins to process the new request or a pending
request from that requester.
(g) Fees for services not required by the Freedom of Information
Act. The Commission has discretion regarding its response to requests
for services not required by the FOIA. For example, the FOIA does not
require agencies to certify or authenticate responsive documents, nor
does it require responsive documents to be sent by express mail. If
these services are requested, the FOIA Disclosure Officer shall assess
the direct costs of such services.
(h) Interest on unpaid bills. The Commission's Office of
Administration shall begin assessing interest charges on unpaid bills
starting on the thirty-first day after the date the bill was sent.
Interest will accrue from the date of billing until the Commission
receives full payment. Interest will be at the rate described in 31
U.S.C. 3717.
(i) Debt collection procedures. If bills are unpaid 60 days after
the mailing of a written notice to the requester, the Commission's
Office of Administration may resort to the debt collection procedures
set out in the Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat.
1749), as amended, and its administrative procedures, including the use
of consumer reporting agencies, collection agencies, and offset.
Sec. 2201.8 Waiver of fees.
(a) General. The FOIA Disclosure Officer shall waive part or all of
the fees assessed under Sec. 2201.7(b) if two conditions are
satisfied: Disclosure of the information is in the public interest
because it is likely to contribute significantly to public
understanding of the operations or activities of the government; and
disclosure is not primarily in the commercial interest of the
requester. Where the FOIA Disclosure Officer 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 FOIA
Disclosure Officer may seek clarification from the requester before
assigning the request to a specific category for fee assessment
purposes. The FOIA Disclosure Officer shall afford the requester the
opportunity to show that the requester comes within these two
conditions. The following factors may be considered in determining
whether the two conditions are satisfied:
(1) Whether the subject of the requested records concerns the
operations or activities of the government;
(2) Whether the disclosure is likely to contribute significantly to
public understanding of government operations or activities;
(3) Whether the requester has a commercial interest that would be
furthered by the requested disclosure; and, if so, whether the
magnitude of the identified commercial interest of the requester is
sufficiently large, in comparison with the public interest in
disclosure, that disclosure is primarily in the commercial interest of
the requester.
(b) Partial waiver of fees. If the two conditions stated in
paragraph (a) of this section are met, the FOIA Disclosure Officer will
ordinarily waive all fees. In exceptional cases, however, only a
partial waiver may be granted if the request for records would impose
an exceptional burden or require an exceptional expenditure of
Commission resources, and the request for a waiver minimally satisfies
the ``public interest'' requirement in paragraph (a) of this section.
Sec. 2201.9 Appeal of denials.
A denial of a request for records, either in whole or in part, a
request for expedited processing, or a request for fee waivers, may be
appealed in writing to the Chairman of the Commission within 20 working
days of the date of the letter denying an initial request. The Chairman
shall act on the appeal under 5 U.S.C. 552(a)(6)(A)(ii) within 20
working days after the receipt of the appeal. If the Chairman wholly or
partially upholds the denial of the request, the Chairman shall notify
the requesting person that the requester may obtain judicial review of
the Chairman's action under 5 U.S.C. 552(a)(4)(B)-(G).
Sec. 2201.10 Maintenance of statistics.
(a) The FOIA Disclosure Officer shall maintain records of:
(1) The number of determinations made by the agency not to comply
with the requests for records made to the agency and the reasons for
those determinations;
(2) The number of appeals made by persons, the results of those
appeals, and the reason for the action upon each appeal that results in
a denial of information;
(3) A complete list of all statutes that the agency used to
authorize the withholding of information under 5 U.S.C. 552(b)(3),
which exempts information that is specifically exempted from disclosure
by other statutes;
(4) A description of whether a court has upheld the decision of the
agency to withhold information under each of those statutes cited, and
a concise description of the scope of any information upheld;
(5) The number of requests for records pending before the agency as
of September 30 of the preceding year and the median number of days
that these requests had been pending before the agency as of that date;
[[Page 41392]]
(6) The number of requests for records received by the agency and
the number of requests the agency processed;
(7) The median number of days taken by the agency to process
different types of requests;
(8) The total amount of fees collected by the agency for processing
requests;
(9) The average amount of time that the agency estimates as
necessary, based on the past experience of the agency, to comply with
different types of requests;
(10) The number of full-time staff of the agency devoted to the
processing of requests for records under this section; and
(11) The total amount expended by the agency for processing these
requests.
(b) The FOIA Disclosure Officer shall annually, on or before
February 1 of each year, prepare and submit to the Attorney General an
annual report covering each of the categories of records to be
maintained in accordance with paragraph (a) of this section, for the
previous fiscal year. A copy of the report will be available for public
inspection and copying at the OSHRC FOIA Reading Room, and a copy will
be accessible through OSHRC's Web site at https://www.oshrc.gov.
Appendix A to Part 2201.--Schedule of Fees
------------------------------------------------------------------------
Type of fee Amount of fee
------------------------------------------------------------------------
Threshold Amount (Amount below which $10.
fees will not be assessed).
Search and Review Hourly Fees:
Clerical (GS-9 and below).......... $23.
Professional (GS-10 through GS 14). $46.
Managerial (GS-15 and above)....... $76.
Duplication cost per page.............. $0.25.
Computer printout copying fee.......... $0.40.
Searches of computerized records....... Actual cost to the Commission,
but shall not exceed $300 per
hour, including machine time
and the cost of the operator
and clerical personnel.
Certification Fee...................... $35 per authenticating
affidavit or declaration.
(Note: Search and review
charges may be assessed in
accordance with the rates
listed above.)
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[FR Doc. E6-11574 Filed 7-20-06; 8:45 am]
BILLING CODE 7600-01-P