[Federal Register Volume 64, Number 212 (Wednesday, November 3, 1999)]
[Proposed Rules]
[Pages 59697-59700]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-28678]


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FEDERAL MEDIATION AND CONCILIATION SERVICE

29 CFR Part 1401

RIN 3076-AA06


Freedom of Information Act Regulations

AGENCY: Federal Mediation and Conciliation Service.

ACTION: Proposed rule.

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SUMMARY: The Federal Mediation and Conciliation Service (FMCS) proposes 
to amend its rules under the Freedom of Information Act (FOIA) 
primarily to effectuate various provisions under the 1996 Electronic 
FOIA Amendments. The proposed revisions include the new response time 
for FOIA requests, procedures for requesting expedited processing, the 
availability of certain public information on FMCS's web site, and 
express inclusion of electronic records and automated searches along 
with paper records and manual searches. In addition, FMCS's proposed 
amendments would update its fee schedule. FMCS is also updating the 
names and addresses of the various offices within the agency 
responsible for FOIA related activities. This rulemaking only deals 
with such matters at FMCS; it is not an executive branchwide 
regulation.

DATES: Written comments must be submitted to the office listed in the 
addresses section below on or before January 3, 2000.

ADDRESSES: Send comments to Jane Lorber, General Counsel, Federal 
Mediation and Conciliation Service, 2100 K Street, NW, Washington, DC 
20427.

FOR FURTHER INFORMATION CONTACT: Jane Lorber, (202) 606-5444.

SUPPLEMENTARY INFORMATION: In this rulemaking, FMCS proposes to amend 
its regulations at 29 CFR part 1401, Subpart B under FOIA, 5 U.S.C. 
552. The primary focus of these proposed amendments is to effectuate 
for this Agency various provisions under the 1996 Electronic FOIA 
Amendments, Public Law 104-231. New provisions implementing the 
amendments are found at Sec. 1401.21(c) (electronic reading room), 
Secs. 1401.34(b), (c), (e), (f) (timing of responses), Sec. 1401.22 
(deletion marking), Sec. 1401.34(d) (volume estimation), 
Sec. 1401.36(a)(3) (format of disclosure) and Sec. 1401.36(a)(2) 
(electronic searches).
    Proposed revisions to the Service's fee schedule can be found at 
Secs. 1401.36(b)(1), (3)(v). The duplication charge will remain the 
same at twenty cents per page, while document search and review charges 
will increase to $4.00 and $10.00 for clerical and professional time, 
respectively. The amount at or below which the Service will not charge 
a fee will decrease from $50.00 to $14.00.
    Sections 1401.22(d), 1401.31(a),(b) and 1401.32(b) are being 
revised to reflect organizational name changes within FMCS. Sections 
1401.24 and 1401.37 are being removed because they are neither required 
by law nor necessary to interpret the law.

Regulatory Flexibility Act

    The Director, in accordance with the Regulatory Flexibility Act (5 
U.S.C. 606(b)), has reviewed this regulation and by approving it 
certifies that this regulation will not have a significant economic 
impact on a substantial number of small entities. Under FOIA, agencies 
may recover only the direct costs of searching for, reviewing, and 
duplicating the records processed for requesters. Thus, fees assessed 
by FMCS are nominal. Further, the ``small entities'' that make FOIA 
requests, as compared with individual requesters and other requesters, 
are relatively few in number .

Executive Order 12866

    This regulation has been reviewed in accordance with Executive 
Order 12866. It is not classified as significant because it does not 
meet the criteria for significant regulatory action established by the 
Executive Order.

Unfunded Mandates Reform Act of 1995

    This rule will not result in the expenditure by State, local, and 
tribal governments, in the aggregate, or by the private sector, of 
$100,000,000 or more in any one year, and it will not significantly or 
uniquely affect small Governments. Therefore, no actions were deemed 
necessary under the provisions of the Unfunded Mandates Reform Act of 
1995.

Small Business Regulatory Enforcement Fairness Act of 1996

    This rule is not a major rule as defined by section 804 of the 
Small Business Regulatory Enforcement Fairness Act of 1996. This rule 
will not result in an annual effect on the economy of $100,000,000 or 
more; a major increase in costs or prices; or significant adverse 
effects on competition, employment, investment, productivity, 
innovation, or on the ability of United States-based companies to 
compete with Foreign-based companies in domestic and export markets.

List of Subjects in 29 CFR Part 1401

    Administrative practice and procedure, Freedom of Information.

    For the reasons set forth in the preamble, FMCS proposes to amend 
29 CFR part 1401 as follows:

PART 1401--PUBLIC INFORMATION

    1. The authority citation for part 1401 is revised to read as 
follows:

    Authority: 5 U.S.C. 552.

    2. Subpart B of part 1401 is revised to read as follows:

Subpart B--Production or Disclosure of Information

Sec.
1401.20  Purpose and scope.
1401.21  Information policy.
1401.22  Partial disclosure of records.
1401.23  Preparation of new records.
1401.30  Applicability of procedures.
1401.31  Filing a request for records.
1401.32  Logging of written requests.
1401.33  Description of information requested.
1401.34  Time for processing requests.
1401.35  Appeals from denials of request.
1401.36 Freedom of Information Act fee schedules.

Subpart B--Production or Disclosure of Information


Sec. 1401.20  Purpose and scope.

    This subpart contains the regulations of the Federal Mediation and 
Conciliation Service providing for public access to information from 
records of the Service. These regulations implement the Freedom of 
Information Act, 5 U.S.C. 552, and the policy of the FMCS to 
disseminate information on matters of interest to the public and to 
disclose on request information contained in agency records insofar as 
is compatible with the discharge of its responsibilities and the 
principle of confidentiality and neutrality of dispute resolution by 
third party neutrals.

[[Page 59698]]

Sec. 1401.21  Information policy.

    (a) Except for matters specifically excluded by subsection 552(b) 
of title 5, United States Code, matters covered by the Privacy Act, or 
other applicable statutes, all documents and records maintained by this 
agency or in its custody shall be available to the public upon request 
filed in accordance with these regulations. To the extent permitted by 
other laws, the Service also will make available records which it is 
authorized to withhold under 5 U.S.C. 552(b) whenever it determines 
that such disclosure is in the public interest.
    (b) Any document released for inspection under the provisions of 
this part may be manually copied by the requesting party. The Service 
shall provide facilities for copying such documents at reasonable times 
during normal working hours so long as it does not interfere with the 
efficient operation of the agency.
    (c) The Service maintains a public reading room that contains the 
records that the FOIA requires to be made regularly available for 
public inspection and copying. FMCS shall maintain and make available 
for public inspection and copying a current subject-matter index of its 
reading room records. Each index shall be updated regularly, at least 
quarterly, with respect to newly included records. FMCS shall also make 
reading room records created by the Service on or after November 1, 
1996, available electronically through FMCS's World Wide Web Site 
(which can be found at http://www.fmcs.gov)
    (d) Records or documents prepared by the Service for routine public 
distribution, e.g., pamphlets and brochures, will be furnished upon 
request to Office of the Director, Federal Mediation and Conciliation 
Service, 2100 K Street, NW, Washington, DC 20427, as long as the supply 
lasts. The provisions of Sec. 1401.36 (fees) is not applicable to such 
requests expect when the supply of such material is exhausted and it is 
necessary to reproduce individual copies upon specific request.
    (e) All existing FMCS records are subject to routine destruction 
according to standard record retention schedules.


Sec. 1401.22  Partial disclosure of records.

    (a) If a record contains both disclosable and nondisclosable 
information, the nondisclosable information will be deleted and the 
remaining record will be disclosed unless the two are so inextricably 
intertwined that it is not feasible to separate them or release of the 
disclosable information would compromise or impinge upon the 
nondisclosable portion of the record.
    (b) Records disclosed in part shall be marked or annotated to show 
both the amount and the location of the information deleted wherever 
practicable.


Sec. 1401.23  Preparation of new records.

    (a) The Freedom of Information Act and the provisions of this part 
apply only to existing records that are reasonably described in a 
request filed with the Federal Mediation and Conciliation Service 
pursuant to the procedures established in Secs. 1401.31-1401.36.
    (b) The Director may, in his or her discretion, prepare new records 
in order to respond to a request for information when he or she 
concludes that it is in the public interest and promotes the objectives 
of the Labor-Management Relations Act, 1947, as amended.


Sec. 1401.30  Applicability of procedures.

    Requests for inspection or copying of information from records in 
the custody of the FMCS which are reasonably identifiable and available 
under the provisions of this part shall be made and acted upon as 
provided in the following sections of this subpart. The prescribed 
procedure shall be followed in all cases where access is sought to 
official records pursuant to the provisions of the Freedom of 
Information Act, except with respect to records for which a less formal 
disclosure procedure is provided specifically in this part.


Sec. 1401.31  Filing a request for records.

    (a) Any person who desires to inspect or copy any record covered by 
this part shall submit a written request to that effect to the Office 
of the General Counsel, Federal Mediation and Conciliation Service, 
2100 K Street, NW, Washington, DC 20427.
    (b) The Office of the General Counsel will determine what office or 
division within FMCS is custodian of the records. The Office will then 
send the request to the appropriate FMCS office or division as provided 
in Sec. 1401.32(b) of this part.


Sec. 1401.32  Logging of written request.

    (a) All requests for records should by clearly and prominently 
identified as a request for information under the Freedom of 
Information Act, and if submitted by mail or otherwise submitted in an 
envelope or other cover, should be clearly and prominently identified 
as such on the envelope or other cover.
    (b) Upon receipt of a request for records from the Office of the 
General Counsel, the FMCS office or division responding to the request 
shall enter it in a public log. The log shall state the date and time 
received, the name and address of person making the request, the nature 
of the records requested, the action taken on the request, the date of 
the determination letter sent pursuant to Sec. 1401.34(b) and (d), the 
date(s) any records are subsequently furnished, the number of staff 
hours and grade levels of persons who spent time responding to the 
request, and the payment requested and received.


Sec. 1401.33  Description of information requested.

    (a) Each request should reasonably describe the records being 
sought, in a way that they can be identified and located. A request 
should include all pertinent details that will help identify the 
records sought.
    (b) If the description is insufficient, the officer processing the 
request will so notify the person making the request and indicate the 
additional information needed. Every reasonable effort shall be made to 
assist in the identification and location of the records sought.


Sec. 1401.34  Time for processing requests.

    (a) All time limitations established pursuant to this section shall 
begin as of the time at which a request for records is logged in by the 
officer or employee processing the request pursuant to Sec. 1401.32(b). 
An oral request for records shall not begin any time requirement. A 
written request for records sent to an office or division of FMCS other 
than the one having authority to grant or deny access to the records 
shall be redirected to the appropriate office for processing, and the 
time shall begin upon its being logged in there in accordance with 
Sec. 1401.32(b).
    (b) The officer or employee passing upon the request for records 
shall, within twenty (20) working days following receipt of the 
request, respond in writing to the requester, determining whether, or 
the extent to which, the Agency shall comply with the request.
    (1) If all of the records requested have been located and a final 
determination has been made with respect to disclosure of all the 
records requested, the response shall so state.
    (2) If all of the records have not been located or a final 
determination has not been made with respect to disclosure of all 
records requested, the response shall state the extent to which the 
records involved will be disclosed pursuant to the rules established in 
this part.
    (3) If the request is expected to involve an assessed fee in excess 
of $50.00, the response shall specify or

[[Page 59699]]

estimate the fee involved and shall require prepayment before the 
records are made available.
    (4) Whenever possible, the response relating to a request for 
records that involves a fee of less than $50.00, shall be accompanied 
by the requested records. Where this is not possible, the records shall 
be forwarded as soon as possible thereafter, consistent with other 
obligations of the Agency.
    (c) Where the time limits for processing a request cannot be met 
because of unusual circumstances and FMCS determines to extend the time 
limit on that basis, FMCS will, as soon as practicable, notify the 
requester in writing of the unusual circumstances and of the date by 
which the processing can be expected to be completed. Where the 
extension is for more than 10 working days, FMCS will provide the 
requester with an opportunity either to modify the request so that it 
may be processed within the time limits or to arrange an alternative 
time period for processing the request or a modified request. If FMCS 
reasonably believes that multiple requests submitted by a requester, or 
by a group of requesters acting in concert, constitute a single request 
that would otherwise involve unusual circumstances, and the requests 
involve clearly related matters, they may be aggregated.
    (d) If any request for records is denied in whole or in part, the 
response required by paragraph (b) of this section shall notify the 
requester of the denial. Such denial shall specify the reason therefor 
and also advise that the denial may be appealed to the Office of Deputy 
Director of the Agency as specified in Sec. 1401.35. In addition, such 
denial shall include an estimate of the volume of records or 
information withheld, in numbers of pages or in some other reasonable 
form of estimation. This estimate does not need to be provided if the 
volume is otherwise indicated through deletions on records disclosed in 
part, or if providing an estimate would harm an interest protected by 
an applicable estimation.
    (e) FMCS offices may use two or more processing tracks by 
distinguishing between simple and more complex requests based on the 
amount of work and or time needed to process the request. A person 
making a request that does not qualify for the fastest multitrack 
processing should be given an opportunity to limit the scope of the 
request in order to qualify for faster processing.
    (f) Requests and appeals will be taken out of order and given 
expedited processing in cases where the requester demonstrates a 
compelling need.
    (1) The term ``compelling need'' means:
    (i) Circumstances in which failure to obtain copies of the 
requested records on an expedited basis could reasonably be expected to 
pose an imminent threat to the life or physical safety of an 
individual; or
    (ii) An urgency to inform the public about an actual or alleged 
Federal Government activity, if the request is made by a person 
primarily engaged in disseminating information.
    (2) A requester seeking expedited processing should so indicate in 
the initial request, and should state all the facts supporting the need 
to obtain the requested records quickly. The requester must also 
certify in writing that these facts are true and correct to the best of 
the requester's knowledge and belief.
    (3) Within 10 calendar days of its receipt of a request for 
expedited processing, FMCS will notify the requester of its decision. 
If a request for expedited treatment is granted, the request shall be 
given priority and shall be processed as soon as practicable. If a 
request for expedited processing is denied, any appeal of that decision 
will be acted on expeditiously.


Sec. 1401.35  Appeals from denials of request.

    (a) Whenever any request for records is denied, a written appeal 
may be filed with the Deputy Director, Federal Mediation and 
Conciliation Service, 2100 K Street, NW, Washington, DC 20427, within 
30 days after the requester receives notification that the request has 
been denied or after the requester receives any records being made 
available, in the event of partial denial. The appeal shall state the 
grounds for appeal, including any supporting statements or arguments.
    (b) Final action on the appeal shall be taken within 20 working 
days from the time of receipt of the appeal. Where novel and 
complicated questions have been raised or unusual difficulties have 
been encountered, the Deputy Director may extend the time for final 
action up to an additional 10 days, depending upon whether there had 
been an extension pursuant to Sec. 1401.34(c) at the initial stage. In 
such cases, the applicant shall be notified in writing of the reasons 
for the extension of time and the approximate date on which a final 
response will be forthcoming.
    (c) If on appeal the denial of the request for records is upheld in 
whole or in part, the Deputy Director shall notify the applicant of the 
reasons therefor, and shall advise the requester of the provisions for 
judicial review under 5 U.S.C. 552(a)(4) and (6).


Sec. 1401.36  Freedom of Information Act fee schedules.

    (a) Definitions. For purpose of Sec. 1401.36, the following 
definitions apply:
    (1) Direct costs means those expenditures which are actually 
incurred in searching for and duplicating and, in the case of 
commercial use requesters, reviewing to respond to a FOIA request.
    (2) 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.
    (3) Duplication refers to the process of making a copy of a 
document necessary to respond to a FOIA request. Copies may be in 
various forms including machine readable documentation (e.g. magnetic 
tape or disk) among others. A requester's specified preference of form 
or format of disclosure will be honored if the record is readily 
reproducible with reasonable efforts in the requested form or format.
    (4) Review refers to the process of examining documents located in 
response to a request that is for commercial use, to determine whether 
a document or any portion of any document located is permitted to be 
withheld. It includes processing any documents for disclosure to the 
requester, e.g., doing all that is necessary to excise them or 
otherwise prepare them for release.
    (5) Commercial use request refers to a request from or on behalf of 
one who seeks information for a use or purpose that furthers the 
commercial trade or profit interest of the requester or the person on 
whose behalf the request is made.
    (6) Educational institution refers to a preschool, a public or 
private elementary or secondary school, an institution of undergraduate 
higher education, an institution of graduate or professional education 
or an institution vocational education, which operates a program of 
programs of scholarly research.
    (7) Representative of the news media refers to any person actively 
gathering news for an entity that is organized and operated to publish 
or broadcast news to the public. The term ``news'' means information 
that is about current events or that would be of current interest to 
the public. In the case of ``freelance'' journalists, they may be 
regarded as working for a news organization if they can demonstrate a 
reasonable

[[Page 59700]]

expectation of publication through the organization, even though not 
actually employed by it.
    (8) Non-commercial scientific institution refers to an institution 
that is not operated on a commercial basis as defined under 
``commercial use request'' in paragraph (a)(5) of this section, and 
which is operated solely for the purpose of conducting scientific 
research, the results of which are not intended to promote any 
particular product or industry.
    (b) Fee schedules and waivers. Requests submitted shall be subject 
to direct costs, including search, duplication and review, in 
accordance with the following schedules, procedures and conditions.
    (1) Schedule of charges.--(i) Clerical time. For each one-quarter 
hour or portion thereof of clerical time, $4.00.
    (ii) Professional time. For each one-quarter hour or portion 
thereof of professional time, $10.00.
    (iii) Duplication. For each sheet of duplication (not to exceed 
8\1/2\ by 14 inches) of requested records, $.20.
    (iv) Computer time. For computer time, $3.00 per minute of time 
expended for production programming, searching and production of any 
record. Computer time expressed in fractions of minutes will be rounded 
to the next whole minute.
    (v) Certification or authorization of records. The fee per 
certification or authentication is $2.00.
    (vi) Forwarding material to destination. No charge will be assessed 
for ordinary packaging and mailing costs. The FMCS may assess a charge 
if compliance with the request requires special handing procedures such 
as express mail or other unusual procedures. Such charges will be made 
on the basis of actual costs.
    (vii) Other costs. All other direct costs of preparing a response 
to a request shall be charged to requester in the same amount as 
incurred by FMCS. Charges may also be assessed for searches even if the 
records requested are not found, or the records are determined to be 
exempted from disclosure.
    (2) Rules of construction. (i) In providing the foregoing the 
schedules pursuant to the provisions of 5 U.S.C. 552(a)(4)(A), it is 
the intent of FMCS to apply 29 CFR part 70 and the user charge statute, 
31 U.S.C. 9701, to cover those situations in which the Agency is 
performing for a requester services which are not required under the 
Freedom of Information Act.
    (ii) For those matters coming within the scope of this regulation, 
the FMCS will look to the provisions of the guidance published by the 
Office of Management and Budget (52 FR 10012, March 27, 1987) and the 
Department of Justice (Attorney General's, memorandum on the 1986 
Amendments to the Freedom of Information Act, December 1987) for making 
such interpretations as may be necessary.
    (3) Fee categories. Fees shall be determined in accordance with the 
following categories of requesters.
    (i) Commercial use requesters will be assessed charges to recover 
the full direct cost of searching for, reviewing for release, and 
duplicating the records sought. This includes the full direct costs of 
computer production programming, searching and production of records. 
Commercial use requesters are not entitled to 2 hours of free search 
time nor 100 free pages of reproduction of documents, as described 
below.
    (ii) Educational and non-commercial scientific institution 
requesters will be assessed charges for the cost of duplication alone, 
excluding charges for the first 100 pages. To be eligible for inclusion 
in this category, requesters must show that the request is being made 
under the auspices of a qualifying institution pursuant to the criteria 
in paragraphs (a)(6) and (a)(8) of this section, and that the records 
are not sought for commercial use, but are sought in furtherance of 
scholarly or scientific research.
    (iii) Requesters who are representatives of the news media will be 
assessed charges for the cost of duplication alone, excluding charges 
for the first 100 pages. To be eligible for inclusion in this category, 
a requester must meet the criteria in paragraph (a)(7) of this section, 
and the request must not be made for a commercial use. A request for 
records supporting the news dissemination function of the requester 
shall not be considered to be a request that is for commercial use.
    (iv) All other requesters will be assessed charges to recover the 
full reasonable direct costs of searching for and reproducing records 
that are responsive to the request, including costs of computer 
production programming, searching and production, except that the first 
100 pages of reproduction, and the first 2 hours of search time shall 
be furnished without charge.
    (v) In no event shall fees be charged when the total charges are 
less than $14.00, which is the Agency cost of collecting and processing 
the fee itself.
    (4) Waiver or reduction of charge. Documents are to be furnished 
without charge or at reduced levels if disclosure of the information is 
in the public interest; that is, because it is likely to contribute 
significantly to public understanding of the operations or activities 
of the Government and is not primarily in the commercial interest of 
the requester.
    (c) Fee payments. (1) Payments shall be made by check or money 
order payable to ``Federal Mediation and Conciliation Service'' and 
shall be sent to: Director, Financial Management Staff, Federal 
Mediation and Conciliation Service, 2100 K Street NW, Washington, DC 
20427.
    (2) If a requester fails to pay chargeable fees that were incurred 
as a result of this Agency's processing of the information request, the 
Agency beginning on the 31st day following the date on which the 
notification of charges was sent, may assess interest charges against 
the requester in the manner prescribed in 31 U.S.C. 3717.
    (3) The Agency may use the provisions of the Debt Collection Act of 
1982, (Pub. L. 97-365, 29 CFR part 1450) including disclosure to 
consumer reporting agencies, for the purpose of obtaining payment.
    (d) Advance payments. FMCS may require a requester to make an 
advance payment of anticipated fees under the following circumstances:
    (1) If the anticipated charges are likely to exceed $250.00, FMCS 
may notify the requestor of the likely cost and obtain satisfactory 
assurance of full payment when the requester has a history of prompt 
payment of FOIA fees, or require an advance payment of an amount up to 
the full estimated charges in the case of requesters with no history of 
payments.
    (2) If a requester has previously failed to pay fees that have been 
charged in processing a request, within 30 days of the date when the 
notification of fees was sent, the requester may be required to:
    (i) Pay the entire amount of fees that are owed, plus any 
applicable interest as provided for in paragraph (c)(2) of this 
section, and
    (ii) To make an advance payment of the full amount of the estimated 
fee before the Agency will process the new pending request.

    Dated: October 28, 1999.
Vella M. Traynham,
Deputy Director.
[FR Doc. 99-28678 Filed 11-2-99; 8:45 am]
BILLING CODE 6372-01-U