[Federal Register Volume 66, Number 136 (Monday, July 16, 2001)]
[Proposed Rules]
[Pages 36966-36989]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-17491]


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DEPARTMENT OF THE INTERIOR

43 CFR Part 2

RIN 1090-AA61


Revision of the Freedom of Information Act Regulations and 
Implementation of the Electronic Freedom of Information Act Amendments 
of 1996

AGENCY: Department of the Interior.

ACTION: Proposed rule.

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SUMMARY: The Department of the Interior (DOI or Agency) proposes to 
revise its regulations implementing the Freedom of Information Act 
(FOIA), 5 U.S.C. 552. The FOIA regulations have been completely 
rewritten in plain language, question and answer format. The 
regulations also contain new provisions implementing the Electronic 
Freedom of Information Act Amendments of 1996 (E-FOIA). Additionally, 
the regulations have been updated to reflect changes in the 
Department's policies and procedures, developments in case law, cost 
figures for calculating and charging fees, and organizational changes 
within DOI. As a result, the public will have a clearer understanding 
of DOI's policies and procedures implementing the FOIA.

[[Page 36967]]


DATES: We will accept comments from all interested parties until 
September 14, 2001.

ADDRESSES: Submit your comments to Alexandra Mallus, Office of 
Information Resources Management (OIRM), Department of the Interior, 
1849 C Street, NW., MS-5312-MIB, Washington, DC 20240. Submit 
electronic comments to [email protected]. See Supplementary 
Information for file format and other information regarding electronic 
filing. Hand deliver comments to OIRM/DOI, 1849 C Street, NW., Room 
5312-MIB, Washington, DC 20240.

FOR FURTHER INFORMATION CONTACT: Alexandra Mallus by telephone at (202) 
208-5342, by fax at (202) 501-2360, or by e-mail at 
[email protected].

SUPPLEMENTARY INFORMATION: The revision of part 2, subparts A and B, 
incorporates changes to the language and structure of the regulations 
and adds new provisions to implement the E-FOIA (Pub. L. 104-231). New 
provisions implementing the amendments are found at Sec. 2.4(c) 
(electronic reading rooms), Sec. 2.9 (format of disclosure), Sec. 2.12 
(timing of responses), Sec. 2.14 (expedited processing), Sec. 2.21(a) 
(electronic searches), Sec. 2.21(c) (marking deletions), 
Sec. 2.21(d)(3) (volume estimation), and Sec. 2.25 (multitrack 
processing).
    Subpart B now describes information that is routinely available to 
the public through the agency reading rooms and the Internet. 
Requesters are encouraged to use these resources first before filing a 
FOIA request. Subpart E is added to include information on DOI's FOIA 
annual report.
    Requesters now have 30 workdays, instead of 20 workdays, to file an 
appeal after the date of DOI's response or receipt of any records 
provided (Sec. 2.28(a)).
    New sections have been added, such as: (1) Sec. 2.24 concerning 
submitter designations; and (2) Sec. 2.26 to clarify the difference 
between a FOIA request and a Privacy Act request.
    The Department's fee schedule has been revised; proposed revisions 
may be found in Appendix C. The duplication charge will remain the 
same, at thirteen cents per page. Document search and review charges 
will increase to reflect the average hourly labor costs of employees in 
the following three categories: clerical, professional, and managerial 
(this is a new category designed to cover employees at the GS-13 level 
and above), respectively. Also, the criteria for determining fee 
waivers have been clarified to make it clear that DOI decides fee 
waiver requests on a case-by-case basis and to ensure that requesters 
know that they must provide sufficient justification to support their 
fee waiver requests (Sec. 2.19 and Appendix D).
    The DOI does not charge a requester if the fee to process the FOIA 
request is $15 or less (Sec. 2.16(b)(2)). We are reviewing the true 
administrative costs associated with processing a FOIA request. This 
review may result in an increase of the dollar amount below which we 
will not bill a requester. If the review warrants, the increase will be 
reflected in the final rule. We specifically request your comments 
regarding this issue.
    Due to the fact that the FOIA regulations have been completely 
rewritten and reorganized, subparts C through E of the old regulations 
will be redesignated as subparts F through H in the proposed rule. 
While the proposed rule redesignates these three subparts, it does not 
revise them.
    If you submit electronic comments, you should provide them as an 
ASCII file avoiding the use of special characters and any form of 
encryption. Please also include ``Attn: (RIN 1090-AA61)'' and your name 
and return address in your Internet message. If you do not receive a 
confirmation from the system that we have received your Internet 
message, contact us directly at (202) 208-5342.
    Our practice is to make comments, including names and home 
addresses of respondents available for public review during regular 
business hours. Individual respondents may request that we withhold 
their home address from the rulemaking record, which we will honor to 
the extent allowable by law. There also may be circumstances in which 
we would withhold from the rulemaking record a respondent's identity, 
as allowable by law. If you wish us to withhold your name and/or 
address, you must state this prominently at the beginning of your 
comments along with the reason(s) for your request. However, we will 
not consider anonymous comments. We will make all submissions from 
organizations or businesses, and from individuals identifying 
themselves as representatives or officials of organizations or 
businesses, available for public inspection in their entirety. Public 
comments will be available for inspection by appointment (call (202) 
208-5342) during normal business hours at the above address. A 
reasonable fee may be charged for copying.

Regulatory Planning and Review (E.O. 12866)

    DOI has determined that this proposed rule is not a ``significant 
regulatory action'' under the terms of Executive Order 12866 and 
therefore is not subject to OMB review because it is not likely to 
result in a rule that may:
    (1) Have an annual effect on the economy of $100 million or more or 
adversely affect in a material way the economy, a sector of the 
economy, productivity, competition, jobs, the environment, public 
health or safety, or State, local, or tribal governments, or 
communities;
    (2) Create a serious inconsistency or otherwise interfere with an 
action taken or planned by another agency;
    (3) Materially alter the budgetary impact of entitlements, grants, 
user fees, or loan programs or the rights or obligations of their 
recipients; or
    (4) Raise novel legal or policy issues.

Regulatory Flexibility Act

    DOI certifies that this regulation will not have a significant 
economic impact on a substantial number of small entities under the 
Regulatory Flexibility Act (5 U.S.C. 606(b)). Under the FOIA, agencies 
may recover only the direct costs of searching for, reviewing, and 
duplicating the records processed for requesters. Thus, fees assessed 
by DOI are nominal.

Small Business Regulatory Enforcement Fairness Act

    This rule is not a major rule under 5 U.S.C. 804(2), the Small 
Business Regulatory Enforcement Fairness Act. This 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 
companies to compete with foreign-based enterprises. It deals strictly 
with implementation of the FOIA within DOI.

Unfunded Mandates Reform Act

    This rule does not impose an unfunded mandate on State, local, or 
tribal governments, or the private sector of more than $100 million per 
year. The rule does not have a significant or unique effect on State, 
local, or tribal governments, or the private sector. Therefore, no 
actions were deemed necessary under the provisions of the Unfunded 
Mandates Reform Act (2 U.S.C. 1531 et seq.)

[[Page 36968]]

Takings (E.O. 12630)

    In accordance with Executive Order 12630, this rule does not have 
any takings implications. It deals strictly with implementation of the 
FOIA within DOI. Therefore, a takings assessment is not required.

Federalism (E.O. 13132)

    In accordance with Executive Order 13132, This rule does not have 
Federalism implications as it deals strictly with implementation of the 
FOIA within DOI. Therefore, a Federalism assessment is not required.

Civil Justice Reform (E.O. 12988)

    In accordance with Executive Order 12988, the Office of the 
Solicitor has determined that this rule does not unduly burden the 
judicial system and the requirements of sections 3(a) and 3(b)(2) of 
the Order.

Paperwork Reduction Act

    This rule does not contain any information collection requirements 
for which OMB approval under the Paperwork Reduction Act (44 U.S.C. 
3501-3520) is required.

National Environmental Policy Act

    This rule does not constitute a major Federal action significantly 
affecting the quality of the human environment. A detailed statement 
under the National Environmental Policy Act(42 U.S.C. 4321-4347) of 
1969 is not required.

Executive Order 13211

    On May 18, 2001, the President issued an Executive Order (E. O. 
13211) on regulations that significantly affect energy supply, 
distribution, and use. Executive Order 13211 requires agencies to 
prepare Statements of Energy Effects when undertaking certain actions. 
As this rule is not expected to significantly affect energy supplies, 
distribution, or use, this action is not a significant energy action 
and no Statement of Energy Effects is required.

Clarity of This Regulation

    Executive Order 12866 requires each agency to write regulations 
that are easy to understand. We invite your comments on how to make 
this rule easier to understand, including answers to such questions 
such as the following: (1) Are the requirements in the rule clearly 
stated? (2) Does the rule contain technical language or jargon that 
interferes with its clarity? (3) Does the format of the rule (grouping 
and order of sections, use of headings, paragraphing, etc.) aid or 
reduce its clarity? (4) Would the rule be easier to understand if it 
were divided into more (but shorter) sections? (A ``section'' appears 
in bold type and is preceded by the symbol ``Sec. '' and a numbered 
heading; for example, Sec. 2.7 What do I need to know before filing a 
FOIA request?) (5) Is the description of the rule in the 
``Supplementary Information'' section of the preamble helpful in 
understanding the proposed rule? What else could we do to make the rule 
easier to understand?
    Send a copy of any comments that concern how we could make this 
rule easier to understand to: Office of Regulatory Affairs, Department 
of the Interior, 1849 C Street, NW., MS-7229-MIB, Washington, DC 20240. 
You also may e-mail the comments to this address: [email protected].

List of Subjects in 43 CFR Part 2

    Administrative practice and procedure, Classified information, 
Courts, Freedom of information, Government employees, Privacy.

    Dated: June 21, 2001.
Robert J. Lamb,
Deputy Assistant Secretary, Budget and Finance.

Proposed Regulation Promulgation

    For the reasons given in the preamble, we propose to amend part 2 
of title 43 of the Code of Federal Regulations, as set forth below:

PART 2--RECORDS AND TESTIMONY: FREEDOM OF INFORMATION ACT

    1. The authority citation for part 2 continues to read as follows:

    Authority: 5 U.S.C. 301, 552 and 552a; 31 U.S.C. 9701; and 43 
U.S.C. 1460.

    2. Subparts C through E are redesignated as subparts F through H 
and the heading of newly redesignated subpart H is revised to read as 
follows:

Subpart H--Compulsory Process and Testimony of Employees

    3. Subparts A and B are revised in their entirety and redesignated 
as subparts A through E to read as follows:
Subpart A--General Information
Sec.
2.1  What do the regulations cover?
2.2  What is DOI's policy regarding release of records under the 
FOIA?
2.3  What terms do I need to know?
Subpart B--Information Routinely Available to the Public without Filing 
a FOIA Request
2.4  How do I obtain information routinely available to the public?
2.5  Does DOI maintain an index of its reading room materials?
2.6  Will the Department accept written requests, including fax, e-
mail, or telephone requests, for routinely available information?
Subpart C--Requests for Records under the FOIA
2.7  What do I need to know before filing a FOIA request?
2.8  What information must I include in my request?
2.9  May I specify the form or format of disclosure?
2.10  Where do I send my request?
2.11  Why is it important to send my request to the right office?
2.12  When can I expect the response?
2.13  When may the bureau take a time extension to respond to my 
request?
2.14  When can I get expedited processing?
2.15  Will I be charged fees?
2.16  How are fees determined?
2.17  How will my requester category affect the fees that I am 
charged?
2.18  How are fees assessed and collected?
2.19  When will bureaus waive fees?
2.20  When will bureaus grant discretionary fee waivers?
2.21  How will the bureau respond to my request?
2.22  What happens if a bureau receives a request for records it 
does not have or did not create?
2.23  How will a bureau handle a request for confidential commercial 
or financial information that it has obtained from a person or 
entity outside the Federal Government?
2.24  Is a submitter required to designate information that is 
commercially or financially sensitive?
2.25  Does the bureau provide multitrack processing of FOIA 
requests?
2.26  What is the difference between a FOIA request and a Privacy 
Act request?
Subpart D--FOIA Appeals
 2.27  Which FOIA decisions may I appeal?
2.28  How long do I have to file an appeal?
2.29  How do I file an appeal?
2.30  How will DOI respond to my appeal?
2.31  How long does DOI have to respond to my appeal?
Subpart E--FOIA Annual Report
2.32  Where can I get a copy of DOI's FOIA annual report?

Subpart A--General Information


Sec. 2.1  What do the regulations cover?

    (a) The regulations implement the Freedom of Information Act 
(FOIA), 5 U.S.C. 552, and contain the procedures by which the public 
may inspect and obtain copies of Department of the Interior (DOI or 
Department) records through the FOIA or by other means.
    (b) They apply to all agency records as defined in Sec. 2.3(c).
    (c) The policy and procedures set forth in these regulations apply 
to all bureaus and offices of the Department.
    (d) Nothing in the regulations will entitle you to any service or 
any record that is not required to be provided under the FOIA.

[[Page 36969]]

    (e) These regulations do not apply to records that fall under the 
law enforcement exclusions in Appendix E to this part.


Sec. 2.2  What is DOI's policy regarding release of records under the 
FOIA?

    It is our policy to make records of the Department available to the 
public to the greatest extent possible, in keeping with the spirit of 
the FOIA.


Sec. 2.3  What terms do I need to know?

    For the purposes of this part, the following definitions apply:
    (a) Act and FOIA mean the Freedom of Information Act, 5 U.S.C. 552, 
as amended.
    (b) Agency means any executive department, military department, 
Government corporation, Government controlled corporation, or other 
establishment in the executive branch of the Federal Government, or any 
independent regulatory agency.
    (c) Agency record means any documentary material which is either 
created or obtained by an agency in the transaction of agency business 
and under agency control at the time the FOIA request is received.
    (1) Agency records include:
    (i) Books, papers, maps, charts, plats, plans, architectural 
drawings, photographs, and microfilm;
    (ii) Machine-readable materials such as magnetic tape and disks;
    (iii) Electronic records (including e-mail messages);
    (iv) Audiovisual material such as still pictures, sound and video 
recordings; and
    (v) All other documentary materials, regardless of physical form, 
format or characteristics.
    (2) This definition generally does not cover records of an 
individual which are:
    (i) Created and maintained primarily for an individual's 
convenience;
    (ii) Not subject to agency creation or retention requirements; and
    (iii) Not distributed to other agency employees for their official 
use.
    (d) Bureau means any major component of the Department 
administering its own FOIA program. A list of these components is 
contained in Appendix A to this part.
    (e) Commercial-use request means a request from or on behalf of a 
person who seeks information for a use or purpose that furthers the 
commercial, trade or profit interests of the requester or the person on 
whose behalf the request is made. In determining whether a requester 
falls into this category, the bureau will consider the identity of the 
requester and intended use of the records in addition to any other 
available information about the requester.
    (f) Direct costs means those expenses that a bureau 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 and benefits of the employee 
performing the work and the cost of operating duplicating equipment. 
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.
    (g) Duplication means making a copy of a record, or the information 
contained in it, to respond to a FOIA request. Copies can take the form 
of paper, microform, photographs, audiovisual materials, or electronic 
records (for example, magnetic tape or disk), among others.
    (h) 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.
    (i) Expedited processing means giving a FOIA request priority and 
processing it ahead of other requests pending before the bureau because 
a requester has shown an exceptional need or urgency for the records 
(See Sec. 2.14).
    (j) FOIA request means a written request (this includes facsimile 
(fax) and electronic mail (e-mail)) made by any member of the public 
for Federal agency records.
    (k) Free-lance journalist means a representative of the news media 
who is able to demonstrate a solid basis for expecting publication 
through a news organization, even though not actually employed by it. A 
publication contract or past record of publication, or evidence of a 
specific free-lance assignment from a news organization may indicate a 
solid basis for expecting publication.
    (l) Multitrack processing means placing simple requests, requiring 
relatively minimal review, in one processing track and more voluminous 
and complex requests in one or more other tracks. Requests in each 
track are processed on a first-in/first-out basis.
    (m) Noncommercial scientific institution means an institution that 
is not operated for commerce, trade or profit, 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.
    (n) Privacy Act request means a written request (paper copy with an 
original signature) made by an individual for information about himself 
or herself that is contained in a Privacy Act system of records. The 
Privacy Act applies only to U.S. citizens and aliens lawfully admitted 
for permanent residence. Therefore, only those individuals may make 
Privacy Act requests.
    (o) Reading room materials mean records (paper or electronic) that 
are required to be made available to the public under 5 U.S.C. 
552(a)(2), as well as other records that a bureau, at its discretion, 
makes available to the public for inspection and copying without 
requiring the filing of a FOIA request.
    (p) Representative of the news media means 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 is (or would be) of current 
interest to the public. Examples of news media entities include, but 
are not limited to, television or radio stations broadcasting to the 
public at large, and publishers of periodicals (but only in those 
instances when they can qualify as disseminators of ``news'') who make 
their products available for purchase or subscription by the general 
public. To be in this category, a requester must not be seeking the 
requested records for a commercial use. Further, a bureau normally will 
not consider requests for records involving news dissemination to be 
commercial-use requests.
    (q) 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 the deletion of exempt material or 
other processing necessary to prepare the record(s) for disclosure, 
including routine consultation among bureau staff and attorneys 
regarding the applicability of exemptions.
    (r) Search means the process of looking for and retrieving agency 
records and information responsive to a

[[Page 36970]]

request (manually or by automated means).
    (s) Submitter means any person or entity outside the Federal 
Government from whom the Department directly or indirectly obtains 
commercial or financial information. The term includes, but is not 
limited to individuals, corporations, and state, local, tribal, and 
foreign governments.
    (t) Workday means a regular Federal workday. It does not include 
Saturdays, Sundays, or Federal legal public holidays.

Subpart B--Information Routinely Available to the Public without 
Filing a FOIA Request


Sec. 2.4  How do I obtain information routinely available to the 
public?

    A great deal of information is available to the public without 
filing a FOIA request. Examples are Departmental policies, procedures, 
and organizational descriptions. The following guidance will help you 
obtain this information. (Note: For copies of records that are not 
routinely available, you must submit a FOIA request to the DOI office 
where the records are located. Procedures for requesting records under 
the FOIA are provided in subpart C of this part.)
    (a) General. (1) General information about DOI or one of its 
bureaus may be obtained by visiting DOI's home page (see Appendix B to 
this part for a list of Internet addresses) or by contacting the Office 
of Public Affairs/Communications for the appropriate bureau (see 
Appendix A to this part for a list of DOI contacts). Many documents are 
made available to the public through DOI's reading rooms. Some 
documents also may be available in DOI's electronic reading rooms on 
the Internet.
    (2) Information on DOI's FOIA Program and a Reference Guide to 
assist you in obtaining various types of information are available in 
DOI's reading rooms, through the FOIA home page, or by contacting the 
Departmental FOIA Officer.
    (3) To obtain information about specific records in DOI, you also 
may refer to:
    (i) The index of documents frequently requested under the FOIA 
which is available in DOI's reading rooms, through the FOIA home page, 
or by contacting one of the bureau FOIA Officers; and
    (ii) The index and description of DOI's major information and 
record locator systems, which are available in DOI's reading rooms, 
through the FOIA home page, or by contacting one of the bureau FOIA 
Officers.
    (4) Another source of information is DOI's Library which contains 
over one million holdings dealing with a broad range of matters 
pertaining to the Department's mission. You may wish to visit the 
Library, which is located at the C Street entrance of the Main Interior 
Building, 1849 C Street, NW., Washington, DC. 20240 (see Appendix A to 
ths part). The Library is open to the public for on-site reference use 
from 7:45 a.m.-5:00 p.m., Monday-Friday (excluding holidays). 
Additional information regarding the Library's holdings and services 
may be obtained by visiting its home page (see Appendix B to this 
part).
    (b) Published information and rules. Under 5 U.S.C. 552(a)(1), 
bureaus are required to publish certain information in the Federal 
Register for the guidance of the public, such as descriptions of their 
central and field organizations, functions, procedures, substantive 
rules, and statements of general policy.
    (c) Reading room materials. (1) Under 5 U.S.C. 552(a)(2), each 
bureau is responsible for making the following information available 
for public inspection and copying unless the materials are promptly 
published and copies offered for sale. Bureaus must make any such 
records created on or after November 1, 1996, available by the Internet 
or by other computer telecommunication methods or electronic means as 
quickly as practicable.
    (i) Final opinions rendered in the adjudication of cases.
    (ii) Policy statements and interpretations which have been adopted 
by DOI and are not published in the Federal Register.
    (iii) Administrative staff manuals and instructions affecting the 
public.
    (iv) Copies of records frequently requested under the FOIA and an 
index of those documents.
    (v) A subject-matter index of its reading room records.
    (2) Bureaus may, at their discretion, make other records available 
for inspection and copying in reading rooms or via their home pages.
    (d) Inspection and copying. (1) Reading room materials are 
available for inspection and copying at the locations listed in 
Appendix A to this part and, in some cases, through the Internet; 
however, not all records may be available in all locations. If you need 
assistance in determining the location and availability of the records 
you are seeking, contact the appropriate reading room or FOIA Contact 
listed in Appendix A to this part.
    (2) A bureau may delete exempt information from some records before 
making them available for inspection and copying. (See Sec. 2.21(c)). 
If you would like access to the entire record, you must submit a FOIA 
request under the procedures in subpart C of this part. However, 
submission of a FOIA request does not guarantee that the entire record 
will be released.
    (3) There is no charge to inspect reading room materials. Copying 
services will be provided at the fees specified in Appendix C to this 
part. However, other fees may apply where a bureau has a statute that 
specifically requires the bureau to set fees for particular types of 
records.


Sec. 2.5  Does DOI maintain an index of its reading room materials?

    Each bureau will maintain and make available for public inspection 
and copying a current subject-matter index of its reading room 
materials (5 U.S.C. 552(a)(2)). The index will be available in the 
bureau's reading room(s) and in their electronic reading rooms on the 
Internet. Each index will be updated regularly.


Sec. 2.6  Will the Department accept written requests, including fax, 
e-mail, or telephone requests, for routinely available information?

    Yes. Although a request for this type of information is not a FOIA 
request, the bureau will send you the requested information and charge 
you for the copies, according to the fee schedule in Appendix C to this 
part. While the bureau will attempt to respond to oral requests (those 
made by telephone or otherwise) for routinely available information, 
you should submit complex requests in writing to avoid any risk of 
misunderstanding.

Subpart C--Requests for Records Under the FOIA


Sec. 2.7  What do I need to know before filing a FOIA request?

    (a) If the records you are seeking are not routinely available as 
described in Subpart B of this part, you must submit a FOIA request to 
the FOIA Contact at the bureau office where the records are maintained. 
FOIA requests must be submitted in writing--DOI does not accept oral 
FOIA requests. Before submitting a request, you may find it useful to 
contact the appropriate bureau FOIA Contact or the Departmental FOIA 
Officer for additional information concerning DOI's FOIA Program. You 
may find the Department's Reference Guide, which is available 
electronically through the FOIA home page and in paper form as well, 
helpful in making your request.

[[Page 36971]]

    (b) The FOIA requires that we release records unless they are 
protected by one of nine exemptions or one of three special law 
enforcement exclusions (see Appendix E to this part).
    (c) The Act does not require a bureau to answer questions that may 
be asked in a FOIA request.
    (d) An agency record must exist at the time a FOIA request is 
received in order to be considered subject to the FOIA. There is no 
obligation for the bureau to create or compile a record to satisfy a 
FOIA request (for example, by combining or compiling selected items 
from manual files, preparing a new computer program, calculating 
proportions, percentages, frequency distributions, trends and 
comparisons, or creating maps). Normally if a bureau is extracting 
information from an existing computer database, this would not 
constitute the creation of a new record. However, a bureau has the 
option of creating a new record if--
    (1) Doing so will provide a more useful response to the requester,
    (2) It is less burdensome than providing the existing records, and
    (3) The newly created record is fully responsive to the request.
    (e) The fee in this case will not be more than the fee for the 
individual records. Fees will be charged consistent with the schedule 
in Appendix C to this part.


Sec. 2.8  What information must I include in my request?

    (a) Description of records. (1) Describe the requested records in 
enough detail to enable an employee familiar with the subject area of 
the request to locate the record(s) with a reasonable amount of effort. 
Be as specific as possible in describing the records you are seeking. 
For example, whenever possible:
    (i) Identify the date, title or name, author, recipient, and the 
subject of the record; the office that created it, the present 
custodian of the record and the geographical location (e.g., 
headquarters or a regional/field office); the timeframe for which you 
are seeking records, and any other information that will assist the 
bureau in locating the material.
    (ii) If the request involves a matter in litigation, state the case 
name and docket number as well as the court in which the case was 
filed.
    (2) The bureau will not begin processing your request until any 
issues regarding the scope or nature of your request are resolved. When 
a request is overly broad, unclear, involves an extremely voluminous 
amount of records, or a burdensome search, the bureau will contact you 
to identify and clarify the records you are seeking. It will work with 
you to define the subject matter, clarify terms that are used, or 
narrow the scope of your request.
    (3) The time limit will not start until the bureau receives a 
request reasonably describing the records or clarifying the initial 
request. If the bureau asks you for additional clarification and does 
not hear from you within 20 workdays, it will assume that you are no 
longer interested in pursuing your request and will close the file on 
your request.
    (b) Fee information. (1) Unless you request a fee waiver (see 
paragraph (b)(2) of this section), you should state that you are 
willing to pay all fees associated with processing your request or that 
you are willing to pay up to a specified amount. The bureau will not 
begin processing your request until this written assurance has been 
received. If the bureau anticipates that the fees for processing your 
request exceed the amount you have indicated you are willing to pay, 
the bureau will notify you that it needs your assurance of payment of 
fees as high as are anticipated, or an advance payment (see 
Sec. 2.18(b) and (c)). If the bureau does not hear from you within 20 
workdays, it will assume that you are no longer interested in pursuing 
your request and will close the file on your request.
    (2) You may request a fee waiver. If you are seeking a fee waiver, 
you must provide sufficient justification to support your fee waiver 
request (see the criteria in Sec. 2.19 and in Appendix D to this part). 
Failure to provide adequate justification will result in a denial of 
your fee waiver request. Remember if you are requesting a fee waiver, 
the burden is on you to demonstrate in your request that you are 
entitled to it. The bureau will not begin processing your request until 
the fee issues are resolved. As an option, at the same time you request 
a fee waiver you may state your willingness to pay regardless of 
whether a fee waiver is granted. This will permit the bureau to process 
your request for records at the same time it is considering the fee 
waiver request. If you are required to pay a fee, and it is later 
determined on appeal that you are entitled to a full or partial fee 
waiver, an appropriate refund will be made.
    (3) You should indicate what fee category you are in, i.e., if you 
are a commercial use, news media, educational institution/noncommercial 
scientific institution, or other requester (See Secs. 2.3 and 2.17(a)). 
If you submit a FOIA request on behalf of another person or 
organization--for example, if you are an attorney submitting a request 
on behalf of a client--it is the underlying requester's identity and 
intended use that determines the fee category. If your fee category is 
unclear to the bureau, the 20-workday statutory time limit for 
processing your request will not begin to run (see Sec. 2.12(b)) until 
this matter has been resolved. If the bureau requests additional 
clarification and does not hear from you within 20 workdays, it will 
assume that you are no longer interested in pursuing the request and 
will close the file.
    (c) Mailing information. Your postal address is required for the 
bureau to mail any responsive documents to you.
    (d) The following information will assist the bureau in processing 
your request:
    (1) The words ``FOIA REQUEST'' (prominently displayed) on the 
request letter and the envelope, or subject line of a request sent via 
e-mail or fax, or ``PRIVACY ACT REQUEST'' when requesting records 
pertaining to yourself, as well as citing the appropriate act in your 
letter;
    (2) Your e-mail address (if applicable), telephone number (where 
you can be reached during normal business hours), and fax number, if 
available, in case the bureau needs additional information or 
clarification of your request. Your telephone number is especially 
important in case the bureau needs to contact you about your request.
    (3) A list of all the bureau FOIA Contacts to which you are sending 
your request. For the quickest possible handling, you should address a 
separate copy of your request to each bureau FOIA Contact where you 
believe the records are maintained.
    (4) When making a request for records about another individual that 
may be covered by the Privacy Act, a written authorization from that 
individual and any other information required by the Privacy Act system 
of records notice; or proof that the individual is deceased (for 
example, a copy of a death certificate or an obituary). The Privacy Act 
does not apply to a deceased individual.


Sec. 2.9  May I specify the form or format of disclosure?

    Generally, you may choose the form or format of disclosure for 
records that you request under the FOIA (5 U.S.C. 552(a)(3)(B)). 
Bureaus must provide the record in the requested form/format if the 
office responding to the request can readily reproduce the record in 
that form/format with reasonable efforts. However, if the process of 
providing the information in the requested format would damage or 
destroy an original document, it may not be possible to honor your 
format request. Bureaus must make reasonable efforts to maintain their 
records in forms or

[[Page 36972]]

formats that are reproducible. You may be charged the direct costs 
involved in converting information to the requested format if the 
bureau normally does not maintain the information in that format.


Sec. 2.10  Where do I send my request?

    (a) DOI does not have a central location where you may submit your 
FOIA request nor does it maintain a central index or database of 
documents in its possession. DOI's files are decentralized and are 
maintained by various bureau offices throughout the country.
    (b) Submit your request in writing to the FOIA Contact at the 
bureau office where you believe the records are maintained. If it is 
unclear where to send your request, contact the Departmental FOIA 
Officer. You may have to do a little research to find the proper office 
to handle your inquiry, but you will save time in the long run if you 
send your request directly to the FOIA Contact at the appropriate 
bureau office.
    (1) A request to a bureau headquarters office may be presumed to 
seek only records from the headquarters office, unless the request 
specifies otherwise.
    (2) A request to a regional/field office of a bureau may be 
presumed to seek only records at that office, unless the request 
specifies otherwise.
    (3) If a request to a bureau office specifies that it seeks records 
located at other offices of the same bureau, the appropriate FOIA 
Contact will refer the request to the other office(s).
    (4) If a request to a bureau specifies that it seeks records of 
another bureau, the bureau will refer the request to the appropriate 
bureau for response and notify the requester.


Sec. 2.11  Why is it important to send my request to the right office?

    Failure to send your request to the FOIA Contact at the appropriate 
bureau office may delay processing, because the time limit for the 
bureau to respond will not begin to run until a request complying with 
Secs. 2.8 and 2.10 is received by the bureau office where the records 
are maintained. The processing of your request may be delayed if you 
send it to the Secretary of the Interior (or other high-level 
officials), the Office of Public Affairs/Communications, the DOI FOIA 
Officer, or the Department/bureau's webmaster.


Sec. 2.12  When can I expect the response?

    (a) Basic time limit. Ordinarily, a bureau has 20 workdays from the 
date of receipt to determine whether to grant or deny your FOIA request 
(see paragraph (b) of this section). The bureau will notify you 
immediately upon reaching its decision. If you have not received a 
response within 20 workdays, or 30 workdays if an extension has been 
taken (see Sec. 2.13) (be sure to allow for mailing time), you may 
contact the bureau to ask about the delay (see Appendix A to this 
part). You also have the right to consider any nonresponse within these 
time limits as a denial of records and file a formal appeal (See 
Sec. 2.27(a)(5)) or lawsuit. These time limits do not apply to requests 
for expedited processing (See Sec. 2.14).
    (b) Running of basic time limit. The 20 workday time limit begins 
to run when a request complying with the procedures in Secs. 2.8 and 
2.10 is received by the FOIA contact at the bureau office that has the 
records you are seeking. This also applies to electronic requests (the 
receipt date is the date the e-mail message is opened by the FOIA 
Contact at the bureau office responsible for the information). This 
means that all issues regarding fees and the scope of your request must 
be resolved before the bureau will begin processing your request.


Sec. 2.13  When may the bureau take a time extension to respond to my 
request?

    (a) The bureau may extend the 20-workday time limit for 10 more 
workdays when it needs to:
    (1) Search for and collect the requested records from multiple 
offices; or
    (2) Search for, collect, and examine a voluminous amount of 
separate and distinct records sought in a single request; or
    (3) Consult with another agency having a substantial interest in 
the determination of the request or with one or more bureaus of the 
Department having substantial subject-matter interest in the request.
    (b) If the bureau intends to take an extension under this 
subsection, it will notify you in writing and provide the reason for 
the extension and the date it expects to make a determination on your 
request.
    (c) If an extension is necessary and the bureau is unable to 
respond to your request within 30 workdays, it will notify you in 
writing when you may expect a final response and advise you of your 
appeal rights. If an extension is taken and you have not received a 
response in 30 workdays, you may consider the request denied and file 
an appeal or lawsuit in accordance with Secs. 2.28(a)(5) and 2.32(c).
    (d) A bureau may not take an extension of time to decide whether to 
grant a request for a fee waiver.


Sec. 2.14  When can I get expedited processing?

    (a) When requested, a bureau will provide expedited processing if 
you demonstrate to the satisfaction of the bureau that the request 
involves:
    (1) Circumstances in which the lack of expedited treatment could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual;
    (2) 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, e.g., a representative 
of the news media. This refers to information which has particular 
value that will be lost if not disseminated quickly, and ordinarily 
refers to a breaking news story of general public interest. However, 
information of historical interest only, or information sought for 
litigation or commercial activities would not qualify, nor would a news 
media deadline unrelated to breaking news; or
    (3) The loss of substantial due process rights.
    (b) A request for expedited processing should be submitted with 
your FOIA request. For a prompt determination, you must submit a 
request complying with the requirements of Sec. 2.8 to the FOIA contact 
at the bureau office that maintains the records you are seeking.
    (c) If you are seeking expedited processing, you must submit a 
statement, certified to be true and correct to the best of your 
knowledge and belief, explaining in detail the basis for your request. 
For example, a requester within the category of paragraph (a)(2) of 
this section, if not a full time member of the news media, must 
establish that he or she is a person whose main professional activity 
or occupation is information dissemination, though it need not be his/
her sole occupation.
    (d) Within 10 calendar days after the date of the request, the 
bureau will notify you whether it will grant expedited processing. If 
expedited processing is granted, the bureau will give priority to that 
FOIA request and process the request as soon as practicable. If 
expedited processing is denied, the bureau will notify you of your 
right to appeal the decision on expedited processing. Appeals of 
denials of requests for expedited processing will be processed ahead of 
other appeals (see Sec. 2.31(a)).


Sec. 2.15  Will I be charged fees?

    Bureaus will charge fees consistent with the provisions in 
Secs. 2.16 and 2.17. The fee schedule in Appendix C to this

[[Page 36973]]

part applies to all bureaus of the Department.


Sec. 2.16  How are fees determined?

    (a) Authority. Bureaus are authorized to charge fees to recover the 
direct costs of searching for, reviewing (commercial-use requesters 
only) and duplicating documents to respond to a FOIA request. However, 
nothing in this subsection will supersede any statutory authority which 
requires the bureau to charge specific fees for certain types of 
records.
    (b) Policy. (1) Unless waived under the criteria in Sec. 2.19 or 
Sec. 2.20, bureaus will charge fees for responding to FOIA requests 
consistent with the provisions of this section and the fee schedule in 
Appendix C to this part.
    (2) A bureau normally will not charge a fee where the fee would be 
$15 or less. However, if the bureau has a reasonable basis to conclude 
that a requester or group of requesters has divided a request into a 
series of requests on a single subject or related subjects to avoid 
fees, the requests may be aggregated and fees charged accordingly. 
Bureaus may presume that multiple requests of this type that are made 
within a 30-day period have been made in order to avoid fees. Where 
requests are separated by a longer period, bureaus will aggregate them 
only where there exists a solid basis for determining that aggregation 
is warranted under all the circumstances involved. Multiple requests 
involving unrelated matters will not be aggregated.
    (3) Where a bureau responds to a request on behalf of more than one 
bureau, the fees that would be chargeable by all bureaus involved will 
be considered in determining whether the fee is $15 or less. If a 
bureau is responding on behalf of more than one bureau, and you fall 
under one of the fee categories in Sec. 2.17(a)(2) through (a)(4), you 
will be entitled to receive up to a total of 100 pages of duplication 
and two hours of search time free.
    (c) Searches. Searches will be conducted in the most efficient and 
least expensive manner, so as to minimize costs for both you and the 
bureau. Except where provided in Secs. 2.17(a)(2) and (a)(3), bureaus 
will charge for time spent in the following search activities:
    (1) Time spent in trying to locate records which come within the 
scope of the request, whether documents responsive to the request are 
located or not, or the records located are exempt from disclosure; and
    (2) Direct costs involving the use of computer time to locate 
requested records.
    (d) Reviews (Commercial-use requests only). (1) Bureaus will charge 
commercial-use requesters (see Sec. 2.17(a)(1)) for time spent by 
bureau staff and attorneys in reviewing requested records for 
releasability. (See Sec. 2.3(e).)
    (2) Review costs will be assessed even if a record ultimately is 
not disclosed.
    (e) Duplication. Bureaus will charge duplication fees according to 
the fee schedule in Appendix C to this part.
    (f) Categories of requesters. There are four categories of 
requesters for the purposes of determining fees--commercial-use, 
educational and noncommercial scientific institutions, news media, and 
all others. (See Secs. 2.3 and 2.17.)


Sec. 2.17  How will my requester category affect the fees that I am 
charged?

    (a) When you submit a FOIA request, you must specify your fee 
category. Based on the information you provide, the bureau office 
processing your request will decide your fee category and charge as 
follows:
    (1) Commercial-use requesters are charged for document search, 
review, and duplication. They are not entitled to any free search or 
duplication costs.
    (2) Educational/noncommercial scientific institutions are charged 
for document duplication, except that the first 100 pages of paper 
copies (or the equivalent cost thereof if the records are in some other 
form) will be provided without charge. The bureau will not charge such 
requesters for document search and review.
    (3) News media requesters are charged for document duplication, 
except that the first 100 pages of paper copies (or the equivalent cost 
thereof if the records are in some other form) will be provided without 
charge. The bureau will not charge such requesters for document search 
and review.
    (4) Requesters not covered by paragraphs (a)(1) through (a)(3) of 
this section--``other requesters'' will be charged fees for document 
search and duplication, except that they are entitled to the first two 
hours of search time and the first 100 pages of paper copies without 
charge (or the equivalent cost thereof if the records are in some other 
form). The bureau will not charge such requesters for document review.
    (b) Requests for clarification. If you do not provide sufficient 
information for the bureau to determine whether you are covered by 
paragraphs (a)(1) through (a)(4) of this section, the bureau may ask 
you to provide additional clarification to determine the fee category. 
This applies to all requesters. The bureau will notify you promptly 
when additional information is needed. In these circumstances, the 20-
workday statutory time limit for responding to your request will not 
begin to run until you provide sufficient information. If the bureau 
requests additional clarification and does not hear from you within 20 
workdays, it will assume that you are no longer interested in pursuing 
your request and will close the file.
    (c) The following table summarizes the chargeable fees for each 
category of requester.

----------------------------------------------------------------------------------------------------------------
             Category                    Search fees            Review fees              Duplicaiton fees
----------------------------------------------------------------------------------------------------------------
(1) Commercial Use................  Yes..................  Yes.................  Yes.
(2) Educational Institution.......  No...................  No..................  Yes (100 pages free).
(3) Non-Commercial Scientific       No...................  No..................  Yes (100 pages free).
 Institution.
(4) News Media....................  No...................  No..................  Yes (100 pages free).
(5) All Other.....................  Yes (2 hours free)...  No..................  Yes (100 pages free).
----------------------------------------------------------------------------------------------------------------
Note: A bureau will not charge any fee if the applicable fee would be $15 or less. (See Secs.  2.16(b)(2) and
  (2.18(a).)

Sec. 2.18  How are fees assessed and collected?

    (a) No charge. Except in those situations covered by 
Sec. 2.16(b)(2), the bureau will not charge you if the fee is $15 or 
less.
    (b) Notice of anticipated fees. Unless you have been granted a fee 
waiver or have previously agreed to pay the fees associated with your 
request, or the anticipated fee is $15 or less, the bureau will:
    (1) Promptly notify you of the estimated costs and ask you to 
provide written assurance of payment; and
    (2) Give you an opportunity to modify your request at that time to 
reduce the fee.

[[Page 36974]]

    (c) Advance payment. (1) The bureau will require advance payment 
when the estimated fee is over $250 and--
    (i) You have never made a FOIA request to DOI requiring fees; or
    (ii) You did not pay a previous FOIA fee promptly.
    (2) If you have previously failed to pay a fee within 30 calendar 
days of the date of billing, the bureau will require you to:
    (i) Pay the full amount owed plus any applicable interest penalties 
(see paragraph (g) of this section) and to make an advance payment of 
the full amount of the estimated fee of the new request; or
    (ii) Demonstrate that you have, in fact, paid the prior fee.
    (3) At the same time the bureau notifies you that an advance 
payment is due, it will give you an opportunity to modify your request 
to reduce the fee.
    (d) Resolving the fee issue. The bureau will not start processing 
your request until the fee issue has been resolved (see Secs. 2.8(b) 
and 2.12(b)). If the bureau does not hear from you within 20 workdays, 
it will assume that you are no longer interested in pursuing the 
request and will close the file.
    (e) Billing procedures. If you are required to pay a fee associated 
with your request, the bureau that processes your request will send you 
a bill for collection.
    (f) Form of payment. You should submit a check or money order made 
payable to the ``Department of the Interior'' or the bureau furnishing 
the information. The term United States or the initials ``U.S.'' should 
not be included on the check or money order. Where appropriate, the 
official responsible for handling a request may require that payment by 
check be made in the form of a certified check. Some bureaus accept 
payment by credit card. Contact the bureau to determine what forms of 
payment it accepts.
    (g) Failure to pay fees. The bill for collection or the response 
letter will include a statement that interest will be charged in 
accordance with the Debt Collection Act of 1982, as amended (31 U.S.C. 
3717) and implementing regulations, if the fees are not paid within 30 
calendar days of the date of the bill. This requirement does not apply 
if the requester is a state, local, or tribal government.


Sec. 2.19  When will bureaus waive fees?

    (a) Fees for processing your request may be waived if you meet the 
criteria listed in paragraph (b) of this section and Appendix D to this 
part. In certain circumstances, a partial fee waiver may be 
appropriate. The burden is on you to justify entitlement to a fee 
waiver. Requests for fee waivers are decided on a case-by-case basis. 
The fact that you have received a fee waiver in the past does not mean 
you are automatically entitled to a fee waiver for every request you 
may submit, because the essential element of any fee waiver 
determination is whether the release of the particular documents sought 
in the request will contribute significantly to public understanding. 
The bureau will rely on the fee waiver justification you have submitted 
in your request letter. If you do not submit sufficient justification, 
your fee waiver request will be denied. The bureau may, at its 
discretion, communicate with you to request additional information if 
necessary. However the bureau must make a determination on the fee 
waiver request within the statutory time limit, even if the agency has 
not received such additional information.
    (b) Bureaus will waive fees (in whole or part) if disclosure of all 
or part of the information is in the public interest because its 
release--
    (1) Is likely to contribute significantly to public understanding 
of the operations or activities of the Government; and
    (2) Is not primarily in the commercial interest of the requester.
    (c) If a bureau denies your request for a fee waiver, it will 
notify you, in writing, of the following:
    (1) The basis for the denial, including a full explanation of why 
your fee waiver request did not meet DOI's fee waiver criteria (see 
paragraph (b) of this section and Appendix D to this part);
    (2) The name(s) and title(s) or position(s) of each person 
responsible for the denial;
    (3) The name and title of the Office of the Solicitor attorney 
consulted; and
    (4) A statement that the denial may be appealed within 30 workdays 
after the date of the denial letter to the FOIA Appeals Officer (see 
Appendix A to this part) under the procedures in Sec. 2.29.


Sec. 2.20  When will bureaus grant discretionary fee waivers?

    (a) A bureau may waive fees at its discretion if a request 
involves:
    (1) Furnishing a copy of a document that the bureau has reproduced 
for free distribution;
    (2) Furnishing one copy of a personal document (e.g., a birth 
certificate) to a person who has been required to furnish it for 
retention by the Department;
    (3) Furnishing one copy of the transcript of a hearing before a 
hearing officer in a grievance or similar proceeding to the employee 
for whom the hearing was held;
    (4) Furnishing records to donors with respect to their gifts;
    (5) Furnishing records to individuals or private nonprofit 
organizations having an official voluntary or cooperative relationship 
with the Department to assist the individual or organization in its 
work with the Department;
    (6) Furnishing records to state, local, and foreign governments, 
public international organizations, and Indian tribes, when to do so 
without charge is an appropriate courtesy, or when the recipient is 
carrying on a function related to that of the Department and to do so 
will help to accomplish the work of the Department;
    (7) Furnishing records when to do so is in conformance with 
generally established business custom (e.g., furnishing personal 
reference data to prospective employers of former Department 
employees); or
    (8) Furnishing one copy of a single record in order to assist the 
requester in obtaining financial benefits to which he or she may be 
entitled (e.g., veterans or their dependents, employees with Government 
employee compensation claims).
    (b) You cannot appeal the denial of a discretionary fee waiver.


Sec. 2.21  How will the bureau respond to my request?

    (a) After all the criteria in Secs. 2.8 and 2.10 have been met, the 
bureau will make a reasonable effort to search for records responsive 
to your request. This will include searching for records in an 
electronic form/format, except where it would interfere significantly 
with the bureau's automated information systems.
    (b) In response to your request, the bureau will do one of two 
things:
    (1) Include the requested records with the response letter or 
notify you of how, when, and where the records will be made available; 
or
    (2) Deny part or all of your request. Your request will be denied 
or partially denied if one of the nine statutory exemptions or any of 
the law enforcement exclusions listed in Appendix E to this part 
applies to all or part of the records you have requested.
    (c) Where a document contains both exempt and nonexempt material, 
the bureau will generally separate and release the nonexempt 
information. When disclosing a record in part, the bureau will indicate 
on the released portion of the record how much information was deleted, 
unless doing so would harm an interest protected by the exemption used 
to withhold the information. Further, if technically

[[Page 36975]]

feasible, the amount of information deleted and the exemption used to 
withhold the information will be indicated where the deletion is made. 
If the nonexempt material is so intertwined with the exempt material 
that disclosure of it would leave only meaningless words and phrases, 
the entire portion may be withheld.
    (d) If a bureau denies your request for records in whole or in 
part, the bureau's response will include:
    (1) A reference to the specific exemption or exemptions authorizing 
the withholding;
    (2) A brief statement of the reason(s) for the denial;
    (3) An estimate of the volume of information being withheld. The 
bureau will make a reasonable effort to estimate the volume of any 
records denied, or portions of records (e.g., 100 pages, 4 Federal 
Record Center boxes, 1,000 kilobytes, etc.), unless such an estimate 
would harm an interest protected by the exemption used to withhold the 
information.
    (4) The name(s) and title(s) of the person(s) responsible for the 
denial;
    (5) The name and title of the Office of the Solicitor attorney 
consulted; and
    (6) A statement that the denial may be appealed within 30 workdays 
of the date of the denial letter or 30 workdays after the records have 
been released, to the FOIA Appeals Officer (see Appendix A to this 
part) under the procedures in Sec. 2.29.
    (e) If records do not exist within DOI, cannot be located, are not 
reasonably described, or if a procedural issue remains unresolved 
(e.g., a fee issue), the bureau will respond to you in writing, 
including the following information, as applicable:
    (1) An explanation of the basis of the decision;
    (2) The name(s) and title(s) of the person(s) responsible for the 
decision; and
    (3) A statement that the matter may be appealed within 30 workdays 
of the date of the response, to the FOIA Appeals Officer under the 
procedures in Sec. 2.29.
    (f) The bureau must consult with the Office of the Solicitor if it 
is considering withholding a requested record or denying a fee waiver.
    (g) If any fees are due, the bureau will notify you in writing of 
the amount.
    (h) All bureau responses will include the name and telephone number 
of a contact person in case you have questions concerning the response.
    (i) Requests for information concerning coal under the Mineral 
Leasing Act are subject to special rules (see Appendix F to this part).


Sec. 2.22  What happens if a bureau receives a request for records it 
does not have or did not create?

    (a) Consultations/referrals within DOI. (1) If a bureau receives a 
request for records not in its possession, but which are likely to be 
in the possession of another bureau within DOI, it will refer the 
request to that bureau(s) for response. It also will notify you of the 
referral in writing and provide the name of a contact in the other 
bureau(s) to which the referral was made. The time limit for responding 
to your request starts when the request reaches the bureau office that 
has the records.
    (2) If a bureau (other than the Office of Inspector General) 
receives a request for records in its possession that another bureau 
created or is substantially concerned with, it will consult with the 
other bureau before deciding whether to release or withhold the 
records. As an alternative, the bureau may refer the request along with 
the records to that bureau for direct response. Such a referral does 
not restart the statutory time limit.
    (b) Consultations/referrals with agencies outside DOI. (1) If a 
bureau receives a request for records not in its possession, but which 
the bureau believes may be in the possession of another Federal agency, 
the bureau will return your request and advise you to submit it 
directly to the other agency. If you still believe that the records 
exist within DOI, you should notify the bureau FOIA contact of any 
additional information which leads you to believe the records exist and 
where they might be found. Alternatively, you may treat such a response 
as a denial of records and file an appeal.
    (2) If, in response to a request, a bureau locates documents that 
originated with another Federal agency, it will either consult with the 
originating agency to determine if the requested documents are 
releasable, or refer the request, along with any responsive 
document(s), to that agency for a direct response to you unless--
    (i) The record is of primary interest to DOI (a record is of 
primary interest to DOI if it was developed or prepared according to 
DOI regulations, directives or request);
    (ii) DOI is in a better position than the originating agency to 
assess whether the record is exempt from disclosure; or
    (iii) the originating agency is not subject to the FOIA.
    (3) If a bureau receives a request for records which have been 
classified by another agency under Executive Order 12958, Classified 
National Security Information, or superseding Executive order, it must 
refer the request to that agency for response.


Sec. 2.23  How will a bureau handle a request for confidential 
commercial or financial information that it has obtained from a person 
or entity outside the Federal Government?

    (a) If a bureau receives a FOIA request for records containing 
confidential commercial or financial information submitted by a person 
or entity outside the Federal Government, under Executive Order 12600, 
Predisclosure Notification Procedures for Confidential Commercial 
Financial Information, or superseding Executive order, it must provide 
the submitter with prompt written notice of the request, except as 
provided in paragraph (i) of this section, whenever:
    (1) The submitter has designated the information as confidential 
commercial information, or
    (2) The bureau has reason to believe that the information may be 
protected under exemption (4).
    (b) The letter to the submitter will--
    (1) Include a copy of the FOIA request,
    (2) Describe the information requested or include copies of the 
pertinent records,
    (3) Advise the submitter of the procedures for objecting to the 
release of the requested material and specify the time limit for 
responding.
    (4) Give the submitter a reasonable time from receipt of the 
bureau's notice to object to the release and to explain the basis for 
the objection, if any. A reasonable time for a submitter to respond to 
such a request is normally 10 workdays.
    (c) Where a large number of submitters is involved, the bureau may 
publish or post a notice in a place reasonably accessible to the public 
(i.e., in a newspaper/newsletter or on a bulletin board).
    (d) Whenever a bureau notifies a submitter that it may be required 
to disclose information in response to a FOIA request, it also will 
notify you that it is giving the submitter an opportunity to review and 
comment on the material.
    (e) If the submitter has any objection to disclosure he/she must 
submit a detailed written statement including the following:
    (1) The justification for withholding any portion of the 
information under any exemption of the FOIA and, in the case of 
exemption (4), a specific and detailed explanation of how substantial 
competitive or other business harm would result from disclosure; and
    (2) A certification that the information is confidential, has not 
been disclosed

[[Page 36976]]

to the public by the submitter, and is not routinely available to the 
public from other sources.
    (f) The bureau will review and consider all objections to release 
that are received within the time specified in the notification letter. 
However, it is the bureau, rather than the submitter, that is 
responsible for deciding whether the information should be released or 
withheld. If a submitter fails to respond to the bureau within the time 
limits specified in the letter, the bureau will presume that the 
submitter has no objection to disclosure of the information. 
Information received after the time specified in the notification 
letter will not be considered.
    (g) Information provided by the submitter under paragraph (e) of 
this section also may be subject to disclosure under the FOIA.
    (h) If the bureau decides to release records over the submitter's 
objections, it will inform the submitter and you in writing. The letter 
to the submitter will include copies of the records proposed for 
release and the bureau's reasons for deciding to release them. The 
bureau also will inform the submitter that it intends to release the 
records 10 workdays after the date of this notice.
    (i) The bureau will not consult with the submitter if:
    (1) The bureau responsible for the decision determines that the 
information should not be disclosed;
    (2) The information has been lawfully published or otherwise made 
available to the public;
    (3) Disclosure of the information is required by statute (other 
than the FOIA) or regulation (other than this subpart);
    (4) Disclosure of the information is prohibited by statute; or
    (5) The designation of confidentiality made by the submitter 
appears obviously frivolous; however, the bureau will notify the 
submitter of any final decision to disclose the information a 
reasonable number of days (normally 10 workdays) prior to releasing it.
    (j) The bureau will inform the submitter promptly if you file a 
lawsuit for access to any of the withheld records. Similarly, the 
bureau will notify you promptly if the submitter files a lawsuit to 
prohibit the bureau from disclosing the records.
    (k) The procedures in this section will be followed when processing 
FOIA appeals as well.


Sec. 2.24  Is a submitter required to designate information that is 
commercially or financially sensitive?

    (a) No, however, a submitter should designate either at the time of 
submission or a reasonable time thereafter, any records (or portions 
thereof) that it considers to be protected from disclosure under 
exemption (4).
    (b) These designations will expire ten years after the date of the 
submission unless the submitter requests and provides justification for 
a longer period and the bureau grants the request.


Sec. 2.25  Does the bureau provide multitrack processing of FOIA 
requests?

    (a) A bureau may use two or more processing tracks to distinguish 
between simple and complex requests based on the amount of work and/or 
time needed to process the request.
    (b) If a bureau uses multitrack processing, a person making a 
request that does not qualify for processing on the fast track may be 
given an opportunity to limit the scope of his or her request in order 
to qualify for faster processing.


Sec. 2.26  What is the difference between a FOIA request and a Privacy 
Act request?

    (a) When you request records pertaining to yourself that are 
covered by the Privacy Act, the request will be processed under both 
the FOIA and the Privacy Act. If you request records about yourself, 
you must submit certain identifying information, usually an original 
signature (see the appropriate Privacy Act system notice and subpart G 
of this part) before the bureau will process your request. If you 
request records pertaining to yourself that are not covered by the 
Privacy Act, the request will be treated as a FOIA request.
    (b) Sometimes a request for Privacy Act records is submitted by an 
individual other than the person who is the subject of the Privacy Act 
records. If you request records about another individual, the material 
will not be disclosed without the prior written approval of the 
individual on whom the record is maintained unless the release is 
provided for under one of the Privacy Act conditions of disclosure (5 
U.S.C. 552a(b)), or if the individual is deceased. See Sec. 2.8(c)(4).
    (c) The Privacy Act never prohibits disclosure of material that the 
FOIA requires to be released. Both a Privacy Act and a FOIA exemption 
must apply to withhold information from the subject of the Privacy Act 
records.
    (d) In handling a request covered by paragraph (a) of this section, 
the fee provisions and time limits under the FOIA will apply, except 
that with regard to those records that are subject to the Privacy Act, 
the bureau will charge only for duplication and not for search and 
review time (see Appendix C to this part). There will be no charge if 
the fee for processing the request is $15 or less.
    (e) See DOI's Privacy Act regulations (subpart G of this part) for 
additional information.

Subpart D--FOIA Appeals


Sec. 2.27  Which FOIA decisions may I appeal?

    (a) You may file an appeal when:
    (1) Records or parts of records have been withheld;
    (2) A request has been denied for failure to adequately describe 
requested records, because the records do not exist, or because they 
cannot be located;
    (3) You believe there is a procedural deficiency (e.g., fees are 
improperly calculated);
    (4) A fee waiver has been denied;
    (5) A determination has not been made on your request within the 
time limits provided in Sec. 2.12; or
    (6) A request for expedited processing has been denied. (Special 
procedures apply to this type of appeal (see Secs. 2.14, 2.28(c), and 
2.31(a)). An appeal of this type relates only to the request for 
expedited processing and does not constitute an appeal of your 
underlying request for records.
    (b) Before filing an appeal, you may wish to communicate with the 
contact person listed in the FOIA response or the bureau's FOIA Officer 
to see if the issue can be resolved informally. Informal resolution of 
your concerns may be appropriate where the bureau has not responded to 
your request or where you believe the search conducted was not 
adequate. In this latter instance, you may be able to provide 
additional information that may assist the bureau in locating records. 
The receipt of poor copies or the miscalculation of a fee also would be 
appropriate for informal resolution. However, if you wish to file an 
appeal, it must be filed with the FOIA Appeals Officer within the time 
limits in Sec. 2.28.


Sec. 2.28  How long do I have to file an appeal?

    (a) Appeals covered by Secs. 2.27(a)(1) thru (4). Your appeal must 
be received by the FOIA Appeals Officer no later than 30 workdays after 
the date of the final response or 30 workdays after receipt of any 
records that are provided to you.
    (b) Appeals covered by Sec. 2.27(a)(5). You may file an appeal any 
time after the time limit for responding to your request has passed.
    (c) Appeals covered by Sec. 2.27(a)(6). You should file an appeal 
as soon as possible.

[[Page 36977]]

Sec. 2.29  How do I file an appeal?

    (a) You must submit your appeal in writing, i.e., by mail, fax or 
e-mail, to the FOIA Appeals Officer, U.S. Department of the Interior 
(see Appendix A to this part for the address). For appeals that are 
submitted electronically, the receipt date is the date the e-mail 
message is opened by the FOIA Appeals Officer. Your appeal must include 
the information specified in paragraph (b) of this section. Failure to 
send your appeal directly to the FOIA Appeals Officer may result in a 
delay in processing.
    (b) Your appeal must contain copies of all correspondence between 
the bureau and you, including your request and the bureau's response. 
DOI will not begin processing your appeal and the time limits for 
responding to your appeal will not begin to run until these documents 
are received.
    (c) You also should include any reason(s) why you believe the 
bureau's response was in error. Include your name and daytime telephone 
number (or the name and telephone number of an appropriate contact) in 
case DOI needs additional information or clarification of your appeal.
    (d) If you file an appeal concerning a fee waiver denial or a 
denial of expedited processing, you should, in addition to complying 
with paragraph (b) of this section, demonstrate fully how the criteria 
in Secs. 2.19(b) (see Appendix D to this part) and 2.14(a) are met. You 
also should state why you believe the initial decision was incorrect.
    (e) All communications concerning your appeal should be clearly 
marked with the words: ``FREEDOM OF INFORMATION APPEAL.''


Sec. 2.30  How will DOI respond to my appeal?

    (a) Appeals will be decided by the FOIA Appeals Officer. When 
necessary, the FOIA Appeals Officer will consult other appropriate 
offices, including the Office of the Solicitor (in the case of all 
denials of information and fee waivers, and other technical issues as 
necessary).
    (b) The final determination on an appeal will be in writing and 
will state the basis for the determination.
    (1) Decision to release or withhold records.
    (i) If the determination is to release the withheld records or 
portions thereof, the FOIA Appeals Officer will make the records 
available or instruct the appropriate bureau to make them available as 
soon as possible.
    (ii) If the determination upholds in whole or part the denial of a 
request for records, the FOIA Appeals Officer will advise you of your 
right to obtain judicial review, and will set forth the name(s) and 
title(s) or position(s) of each person responsible for the 
determination.
    (2) Fee waiver denials. If the determination is to grant your 
request for a fee waiver, the FOIA Appeals Officer will advise the 
appropriate bureau of the Department's determination and instruct the 
bureau to proceed with processing the request or to refund any monies 
you have paid. If the determination is to deny the fee waiver request, 
the Department will advise you of your right to seek judicial review. 
You also should contact the bureau office to make further arrangements 
to process your request if you still wish to obtain the records.
    (3) Non-possession of records. If the determination is that the 
requested records exist, the bureau that has the records will issue a 
response to you promptly and the FOIA Appeals Officer will close the 
file on your appeal. If the determination is that the requested records 
cannot be located or do not exist, the FOIA Appeals Officer will advise 
you of your right to treat the Department's response as a denial and 
seek judicial review.
    (4) Non-response to a FOIA request. If an appropriate response has 
not been issued to your FOIA request within the 20-workday statutory 
time limit, the FOIA Appeals Officer will direct the bureau to issue a 
response directly to you as soon as possible, and provide you with the 
name and telephone number of a contact person. The FOIA Appeals Officer 
will close your FOIA appeal and advise you that you may treat the lack 
of a response by the bureau as a denial of your appeal and seek 
judicial review.
    (c) If a requested record (or portion thereof) is being made 
available over the objections of a submitter, the FOIA Appeals Officer 
will notify the submitter following the same procedures described in 
Sec. 2.23, prior to releasing the records to you.
    (d) A determination to grant an appeal for expedited processing 
will instruct the bureau to process your request as soon as 
practicable. If your request for expedited processing is denied on 
appeal, you will be advised of your right to seek judicial review of 
the denial of expedited processing.


Sec. 2.31  How long does DOI have to respond to my appeal?

    (a) The statutory time limit for responding to an appeal is 20 
workdays after receipt of an appeal, meeting the requirements of 
Sec. 2.29. The Department will give an appeal involving the denial of a 
request for expedited processing priority and process it ahead of other 
appeals pending before the agency due to the fact that you have shown 
an exceptional need or urgency for the records (see Sec. 2.14).
    (b) If you have not received a determination on your appeal within 
20 workdays, you will be considered to have exhausted your 
administrative remedies (meaning you do not have to seek further 
resolution of your appeal from the Department). This gives you the 
right to seek review in a District Court of the United States (see 5 
U.S.C. 552(a)(4) and (6)). In the event that the Department is unable 
to reach a determination within the given time limits, the FOIA Appeals 
Officer will notify you of the reason for the delay, the date when you 
can expect to receive the determination, and the right to seek judicial 
review.

Subpart E--FOIA Annual Report


Sec. 2.32  Where can I get a copy of DOI's annual report?

    Under 5 U.S.C. 552(e), DOI is required to prepare an annual report 
regarding its FOIA activities. The report includes information about 
FOIA requests, appeals, and litigation against the Department. Copies 
of DOI's annual FOIA report may be obtained from the Departmental FOIA 
Officer or by contacting DOI's Library which is located at the C Street 
entrance of the Main Interior Building (MIB), 1849 C Street, NW., 
Washington, DC 20240 (see Appendix A to this part). You may access the 
annual reports electronically by visiting DOI's FOIA home page (see 
Appendix B to this part for the Internet address).
    4. Appendices A through F to part 2 are revised to read as follows:

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    Note: For more information on FOIA, including the most current 
listing of FOIA Contacts, visit DOI's FOIA home page at http://www.doi.gov/foia/.

Appendix B to Part 2--Internet Addresses

1. Department of the Interior (DOI) Home Page: http://www.doi.gov
2. DOI FOIA Home Page: http://www.doi.gov/foia/
3. DOI Reference Guide for Obtaining Information: http://www.doi.gov/foia/foitabl.htm
4. List of DOI Public Affairs Offices: http://www.doi.gov/foia/list.html
5. DOI FOIA Contacts: http://www.doi.gov/foia/contacts.html
6. DOI FOIA Regulations (43 CFR, part 2, subparts A and B): http://www.doi.gov/foia/policy.html
7. FOIA Policy and Guidance: http://www.doi.gov/foia/policy.html
8. Electronic Reading Room: http://www.doi.gov/foia/readroom.html
9. Index of Frequently Requested Documents: http://www.doi.gov/foia/frrindex.html
10. FOIA Annual Reports to Congress:
http://www.doi.gov/foia/frrindex.html
11. DOI's Library: http://library.doi.gov
12. General Record Schedule 14, Information Services Records: http://ardor.nara.gov/grs/grs14.html
13. DOI Records Management Program:
http://www.doi.gov/oirm/records/
14. DOI Privacy Act Program: http://www.doi.gov/oirm/privacy/
15. DOI Privacy Act Officers: http://www.doi.gov/oirm/privacyofficer.htm
16. DOI Privacy Act Regulations: http://www4.law.cornell.edu/uscode/5/552a.text.html
17. DOI Privacy Act Systems of Records Notices: http://www.doi.gov/foia/frrindex.html
18. FirstGov Portal: http://www.firstgov.gov.

Appendix C to Part 2--Fee Schedule

    If you submit a FOIA request, the bureau will charge you to 
search for, review, and duplicate the requested records depending on 
your fee category (see Secs. 2.16 and 2.17). In addition, the bureau 
will charge you for any special services performed in connection 
with processing your request and/or appeal under subparts C and D of 
this part. The following fees apply to all bureaus of the 
Department; these fees apply to services performed in making 
documents available for public inspection and copying under subpart 
B of this part as well. The duplicating fees also are applicable to 
records provided in response to requests made under the Privacy Act. 
Fees will not be charged under either the FOIA or the Privacy Act 
where the total amount of fees for processing the request is $15 or 
less (See Sec. 2.16(b)(2)), where the requester has met the 
requirements for a statutory fee waiver, or where the bureau has 
granted a discretionary fee waiver (See Secs. 2.19 and 2.20).
    (1) Search and review (review applies to commercial-use 
requesters only). Fees are based on: the average hourly salary (base 
salary plus DC locality payment), plus 16 percent for benefits, of 
employees in the following three categories. The average grade was 
established by surveying the bureaus to obtain the average grade of 
employees conducting FOIA searches and reviews. Fees will be 
increased annually consistent with Congressionally approved pay 
increases. Fees are charged in quarter hour increments.

(a) Clerical--Based on GS-7, Step 2, pay
(b) Professional--Based on GS-12, Step 2 pay
(c) Managerial--Based on GS-14, Step 2 pay

    Note: Fees for the current fiscal year are posted on DOI's FOIA 
home page (see appendix B to this part). If you do not have access 
to the Internet, please call the Departmental FOIA office (see 
appendix A to this part) for a copy of the fee schedule.


[[Page 36988]]



----------------------------------------------------------------------------------------------------------------
                                                                                     Fee
----------------------------------------------------------------------------------------------------------------
(2) Duplication:
    Pages no larger than 8.5 x 14 inches, when reproduced    $.13 per page ($ .26 for double-sided copying).
     by standard office copying machines.
    Color copies of pages no larger than 8.5 x 11 inches...  $.90 per page.
    Pages larger than 8.5 x 14 inches......................  Direct cost to DOI.
    Color copies of pages no larger than 11 x 17 inches....  $1.40 per page.
    Photographs and records requiring special handling       Direct cost to DOI.
     (e.g., because of age, size, or format)..
(3) Electronic records:
    Charges for services related to processing requests for  Direct cost to DOI.
     electronic records.
(4) Certification:
    Each certificate of verification attached to             $.25
     authenticate copies of records.
(5) Postage/Mailing:
    Charges that exceed the cost of first class postage.     Postage or Delivery charge.
     Examples of such charges are Express Mail or overnight
     delivery.
(6) Other Services:
    Cost of special services or materials, other than those  Direct cost to DOI.
     provided for by this fee schedule, when requester is
     notified of such costs in advance and agrees to pay
     them.
----------------------------------------------------------------------------------------------------------------

Appendix D to Part 2--Fee Waiver Criteria

    If you are seeking a fee waiver, it is your responsibility to 
provide detailed information to support your request. You must 
submit this information with your FOIA request. Each fee waiver 
request is judged on its own merit-we do not grant ``blanket'' fee 
waivers, i.e., obtaining a fee waiver once does not mean you will 
obtain a subsequent fee waiver. Please note that inability to pay is 
not sufficient to justify a fee waiver. The statutory requirement 
for granting a fee waiver is that release of the information must be 
in the public interest because it--
    (1) Is likely to contribute significantly to public 
understanding of the operations and activities of the Government; 
and
    (2) Is not primarily in your commercial interest.
    (b) In deciding whether you are entitled to a fee waiver, the 
bureau will consider the criteria in paragraphs (a)(1) through (4). 
Your request for a fee waiver must address each of these criteria.
    (1) How do the records concern the operations or activities of 
the Government?
    (2) If the records concern the operations or activities of the 
Government, how will disclosure likely contribute to public 
understanding of these operations and activities?
    (i) How are the contents of the records you are seeking 
meaningfully informative on the agency's operations and activities? 
Is there a logical connection between the content of the records and 
the operations or activities you are interested in?
    (ii) Other than enhancing your knowledge, how will disclosure of 
the requested records contribute to the understanding of the public 
at large or a reasonably broad audience of persons interested in the 
subject?
    (iii) Your identity, vocation, qualifications, and expertise 
regarding the requested information (whether you are affiliated with 
a newspaper, college or university, have previously published 
articles, books, etc.) may be relevant factors. However, merely 
stating that you are going to write a book, research a particular 
subject, or perform doctoral dissertation work, is insufficient, 
without demonstrating how you plan to disclose the information in a 
manner which will be informative to a reasonably broad audience of 
persons interested in the subject.
    (iv) Do you have the ability and intention to disseminate the 
information to the general public?
    (A) How and to whom do you intend to disseminate the 
information?
    (B) How do you plan to use the information to contribute to 
public understanding of the Government's operations or activities?
    (3) If there is likely to be a contribution to public 
understanding, will release of the requested records contribute 
significantly to public understanding?
    (i) Is the information being disclosed new or does it confirm or 
clarify data which has been released previously?
    (ii) How will disclosure increase the level of public 
understanding of the operations or activities of the Department or a 
bureau that existed prior to disclosure?
    (iii) Is the information already publicly available? If the 
information you are seeking has previously been published or is 
routinely available to the public in a library, reading room, 
through the Internet, or as part of the administrative record for a 
particular issue (e.g., the listing of the spotted owl as an 
endangered species), it is less likely that there will be a 
significant contribution from release.
    (4) Would disclosure be primarily in your commercial interest?
    (i) Do you have a commercial interest that would be furthered by 
disclosure? A commercial interest is a commercial, trade, or profit 
interest as these terms are commonly understood. Your status as 
``profitmaking'' or ``non-profitmaking'' is not the deciding factor. 
Not only profitmaking entities, but other organizations or 
individuals may have a commercial interest to be served by 
disclosure, depending on the circumstances involved.
    (ii) If you do have a commercial interest that would be 
furthered by disclosure, would disclosure be primarily in that 
interest? Would the public interest in disclosure be greater than 
any commercial interest you or your organization may have in the 
documents? If so, how would it be greater?
    (iii) Your identity, vocation, and the circumstances surrounding 
your request are all factors to be considered in determining whether 
disclosure would be primarily in your commercial interest. For 
example:
    (A) If you are a representative of a news media organization 
seeking information as part of the news gathering process, we will 
presume that the public interest outweighs your commercial interest.
    (B) If you represent a business/corporation/association or you 
are an attorney representing such an organization, we will presume 
that your commercial interest outweighs the public interest unless 
you demonstrate otherwise.
    (C) If the bureau cannot make a determination based on the 
information you have provided, it may ask you for additional 
justification regarding your request.

Appendix E to Part 2--FOIA Exemptions and Law Enforcement Exclusions

    Under the FOIA (5 U.S.C. 552(b)), there are nine exemptions 
which may be used to protect information from disclosure. The 
exemptions are summarized as follows:
    (1) National security information concerning national defense or 
foreign policy, provided that such information has been properly 
classified, in accordance with an Executive Order;
    (2) Information related solely to the internal personnel rules 
and practices of an agency;
    (3) Information specifically exempted from disclosure by statute 
(other than the Privacy Act or the Trade Secrets Act), provided that 
such statute:
    (A) Requires that the matters be withheld from the public in 
such a manner as to leave no discretion on the issue; or
    (B) Establishes particular criteria for withholding or refers to 
particular types of matters to be withheld;
    (4) Trade secrets and commercial or financial information which 
is obtained from a person and is privileged or confidential;
    (5) Inter-agency or intra-agency memoranda or letters, which 
would not be available by law to a party other than an agency in 
litigation with the agency;
    (6) Personnel and medical files and similar files, the 
disclosure of which would constitute a clearly unwarranted invasion 
of personal privacy;

[[Page 36989]]

    (7) Records or information compiled for law enforcement 
purposes, the release of which:
    (A) Could reasonably be expected to interfere with enforcement 
proceedings;
    (B) Would deprive a person of a right to a fair or an impartial 
adjudication;
    (C) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (D) Could reasonably be expected to disclose the identity of a 
confidential source;
    (E) Would disclose techniques, procedures, or guidelines for law 
enforcement investigations or prosecutions if such disclosure could 
reasonably be expected to risk circumvention of the law; or
    (F) Could reasonably be expected to endanger the life or 
physical safety of any individual.
    (8) Information contained in or related to examination, 
operating, or condition reports, prepared by, or on behalf of, or 
for the use of an agency responsible for regulating or supervising 
financial institutions; and
    (9) Geological and geophysical information and data, including 
maps, concerning wells.
    In addition to the nine exemptions, there are three law 
enforcement exclusions under the FOIA (5 U.S.C. 552(c)). The 
procedures in subparts C and D of this part do not apply to the 
following information which is covered by the law enforcement 
exclusions:
    (1) Records or information compiled for law enforcement purposes 
and covered by exemption (7)(A) of the FOIA, if--
    (A) The investigation or proceeding involves a possible 
violation of criminal law; and
    (B) There is reason to believe that--
    (i) The subject of the investigation or proceeding is not aware 
that it is pending, and
    (ii) Disclosure of the existence of the records could reasonably 
be expected to interfere with enforcement proceedings.
    (2) Informant records maintained by a criminal law enforcement 
agency under an informant's name or personal identifier if requested 
by a third party according to the informant's name or personal 
identifier, unless the informant's status as an informant has been 
officially confirmed.
    (3) Records maintained by the Federal Bureau of Investigation 
pertaining to foreign intelligence or counterintelligence, or 
international terrorism, and the existence of the records is 
classified information as provided in exemption (1) as long as the 
existence of the records remains classified information.

Appendix F to Part 2--Mineral Leasing Act--Special Rules

    (a) Definitions. As used in the section:
    (1) Exploration license means a license issued by the Secretary 
of the Interior to conduct coal exploration operations on land 
subject to the Mineral Leasing Act pursuant to the authority in 30 
U.S.C. 201(b).
    (2) Fair-market value of coal to be leased means the minimum 
amount of a bid the Secretary is willing to accept in leasing coal 
within leasing tracts offered in general lease sales or reserved and 
offered for lease to public bodies, including Federal agencies, 
rural electric cooperatives, or non-profit corporations, controlled 
by any of such entities pursuant to 30 U.S.C. 201(a)(1) .
    (3) Information means data, statistics, samples and other facts, 
whether analyzed or processed or not, pertaining to Federal coal 
resources.
    (b) Applicability. This section applies to the following 
categories of information:
    (1) Category A. Information provided to or obtained by a bureau 
under 30 U.S.C. 201(b)(3) from the holder of an exploration license;
    (2) Category B. Information acquired from commercial or other 
sources under service contract with United States Geological Survey 
(USGS) pursuant to 30 U.S.C. 208-1(b), and information developed by 
USGS under an exploratory program authorized by 30 U.S.C. 208-1;
    (3) Category C. Information obtained from commercial sources 
which the commercial source acquired while not under contract with 
the United States Government;
    (4) Category D. Information provided to the Secretary by a 
Federal department or agency pursuant to 30 U.S.C. 208-1(e); and
    (5) Category E. The fair-market value of coal to be leased and 
comments received by the Secretary with respect to such value.
    (c) Availability of information. Information obtained by the 
Department from various sources will be made available to the public 
as follows:
    (1) Category A--Information. Category A information must not be 
disclosed to the public until after the areas to which the 
information pertains have been leased by the Department, or until 
the Secretary determines that release of the information to the 
public would not damage the competitive position of the holder of 
the exploration license, whichever comes first.
    (2) Category B--Information. Category B information must not be 
withheld from the public; it will be made available by means of and 
at the time of open filing or publication by USGS.
    (3) Category C--Information. Category C information must not be 
made available to the public until after the areas to which the 
information pertains have been leased by the Department.
    (4) Category D--Information. Category D information must be made 
available to the public under the terms and conditions to which, at 
the time he or she acquired it, the head of the department or agency 
from whom the Secretary later obtained the information agreed.
    (5) Category E--Information. Category E information must not be 
made public until the lands to which the information pertains have 
been leased, or until the Secretary has determined that its release 
prior to the issuance of a lease is in the public interest.

[FR Doc. 01-17491 Filed 7-13-01; 8:45 am]
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