[Federal Register Volume 67, Number 203 (Monday, October 21, 2002)]
[Rules and Regulations]
[Pages 64527-64552]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-25970]


=======================================================================
-----------------------------------------------------------------------

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: Final rule.

-----------------------------------------------------------------------

SUMMARY: This document amends the Department of the Interior's (DOI or 
Agency) regulations implementing the Freedom of Information Act (FOIA). 
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.

EFFECTIVE DATE: November 20, 2002.

ADDRESSES: The complete file for this rule is available for public 
inspection, by appointment, during normal business hours at the U.S. 
Department of the Interior, 1849 C Street, NW, Room 5323, 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: 

Background

    On July 16, 2001, the Department of the Interior published a 
proposed rule that revised its existing regulations under the FOIA and 
added new provisions implementing the Electronic FOIA Amendments. See 
66 FR 36966, July 16, 2001. Interested persons were afforded an 
opportunity to participate in the rulemaking through submission of 
written comments on the proposed rule. The Department received three 
responses to its proposed rule. The Department has adopted several of 
the modifications suggested by the commenters and has made other 
revisions to its proposed rule for clarity as well.
    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 (Public Law 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.  2.26 (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.
    Section 2.3(t) has been revised to clarify that the term ``review'' 
includes the time spent by bureau staff and attorneys considering any 
formal objection to disclosure made by a submitter under Sec.  2.23(f).
    In light of the decision in Public Citizen v. Department of State, 
276 F.3d 634 (D.C. Cir. 2001), DOI has revised Sec. Sec.  2.7(d) and 
2.21(a) of the final rule. These sections now provide that in 
determining which records are responsive to a FOIA request, the bureau 
will consider any records in its

[[Page 64528]]

possession and control as of the date it begins its search.
    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.  2.29(a)).
    New sections have been added, such as: (1) Sec.  2.24 concerning 
submitter designations; (2) Sec.  2.25 regarding requests for 
Federally-funded research data; (3) Sec.  2.27 on handling a request 
for information contained in a Privacy Act system of records; and (4) 
Sec.  2.33 on providing notice to requesters and submitters concerning 
appeal decisions dealing with commercial or financial information.
    Revisions to the Department's fee schedule 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, plus 16 percent for benefits, of employees 
in the following three categories: Clerical, professional, and 
managerial. (The managerial category is new and designed to cover 
employees at the GS-13 level and above.) The average grade for the 
clerical and professional categories has been adjusted in the final 
rule to more accurately reflect the hourly labor costs for those 
categories and to clarify the employee grade levels that are covered by 
each category.
    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 new rule increases the dollar amount below which we will not 
bill a requester. Under the old regulations, we charged a fee only if 
it cost us more than $15 to process a FOIA request. Under the new 
regulations, we will charge a fee only if the cost is more than $30. 
The new fee provisions are located in Sec.  2.16(b)(2).
    Paragraphs (c)(3) and (c)(4) of Appendix F, Mineral Leasing Act and 
Mineral Leasing Act for Acquired Lands--Special Rules, have been 
revised to make them more consistent with the statutory provisions from 
which they are derived.
    Because we have rewritten the FOIA regulations extensively, 
Subparts C through E of the old regulations will be redesignated as 
Subparts F through H in the final rule. While the final rule 
redesignates these three subparts, it does not revise Subparts G or H. 
Subpart F is revised to clarify that this Subpart applies to 
information pertaining to Federal coal resources on acquired lands, as 
well as to Federal coal leases on lands that are governed by the 
Mineral Leasing Act. The Mineral Leasing Act for Acquired Lands applies 
to acquired Federal lands; the Mineral Leasing Act applies to other 
Federal lands. Both have similar provisions. In Appendix F, paragraph 
(a)(3), the clause ``which fit within an exemption to the FOIA'' has 
been removed. The Mineral Leasing Act, 30 U.S.C. 201(b)(3), applies to 
information collected pursuant to that provision, regardless of whether 
the information is subject to an exemption under the FOIA. Therefore, 
the clause ``which fit within an exemption to the FOIA'' is not 
necessary.
    The Department received three responses from commenters: the first, 
from a national trade association; the second, from a nonprofit 
consumer advocacy organization; and the third, from a statewide 
nonprofit public interest organization. Due consideration has been 
given to each of the comments received. A discussion of the comments 
follows.
    Issue 1: One commenter suggested adding an amendment to the 
Department's final rule incorporating the requirements of Public Law 
105-277 which directed OMB to amend Section--.36 of OMB Circular A-110. 
OMB's revised Circular A-110 articulates the procedures by which 
Federally-funded research data that were used by the Federal Government 
in developing an agency action may be made available to the public 
under the FOIA.
    Our Response: This comment has been adopted by the Department. A 
new section has been added to DOI's final rule (Sec.  2.25) which 
provides procedures for handling FOIA requests for Federally-funded 
research data in the possession of a private entity.
    Issue 2: One commenter indicated that the Department's regulations 
should retain the existing requirement to articulate a ``sound ground'' 
for a denial or partial denial of an information request. This 
commenter suggested that the bureau must not only cite legal authority 
for the denial but also must provide a brief explanation why, given the 
record(s) and exemption(s) at issue, it is appropriate for the bureau 
to invoke the exemption rather than exercise its discretion (except 
where prohibited by law) to waive the exemption and disclose the 
record(s) in accordance with guidance issued by the Attorney General in 
May 1997 and September 1999.
    Our Response: Although the Department declines to adopt this 
commenter's suggestion, it has modified the proposed rule. The 1997 and 
1999 guidance which this commenter references has been superseded by 
guidance issued by the Attorney General in October 2001. It is subject 
to further revision by this or subsequent administrations. There is 
nothing in the FOIA which requires the inclusion of the ``sound 
grounds'' language in the Department's FOIA regulations. In light of 
these considerations, the Department has changed the language to avoid 
conflicts with current and future Department of Justice (DOJ) guidance 
on this subject. DOI also has modified the language in Sec.  2.21(d)(2) 
to make clear that the bureau's response should include an explanation 
of the reasons for the denial of the request. Finally, Sec.  2.21(b)(2) 
of this rule has been revised to provide that a bureau may, consistent 
with Departmental policy, determine that a discretionary release is 
appropriate under the particular circumstances.
    Issue 3: One commenter indicated that the availability of immediate 
judicial relief, without filing an appeal, was not clearly stated in 
the proposed rule, and suggested that the requester's right to sue be 
stated more explicitly throughout the regulations.
    Our Response: DOI believes that it has given sufficient notice 
concerning a requester's right to file a lawsuit (see Sec.  2.12(a), 
Sec.  2.13(c), and Sec.  2.31(b)) and, accordingly, has declined to 
adopt this commenter's suggestion.
    Issue 4: DOI received several comments from one individual 
concerning the fee waiver criteria that are included in Appendix D of 
the proposed regulations. This commenter objected to the requirement 
that a requester submit detailed information to support a fee waiver 
request, claiming that the requester may not be able to provide 
``detailed information'' without having seen the information in the 
requested records. According to this commenter, the criteria in 
Appendix D could unreasonably restrict the availability of fee waivers 
by making it unreasonably difficult to show that disclosure of the 
information ``is likely to contribute significantly to public 
understanding of the operations or activities of the government.'' This 
commenter also discussed the potential value of previously released 
information, and the definition of ``public at large'' as it relates to 
fee waivers. Finally, this commenter pointed out an error in paragraph 
numbering in Appendix D.
    Our Response: The intent of the Department's regulations is not to 
demand ``detailed information'' about

[[Page 64529]]

the records being sought, but rather to clarify for the public the 
determinative factors that the Department considers when deciding 
whether to grant a fee waiver. Requesters then can adequately address 
these factors in their fee waiver requests. DOI has added the following 
language to the first paragraph of Appendix D in response to this 
commenter's concerns: ``You should explain the significance of the 
release of the information to the public's understanding of the 
Government's operations and activities based on your understanding of 
the type of information that your are requesting.''
    DOI agrees with the comment on the potential value of previously 
released information. Confirmation or clarification of previously 
released information can be as important to public understanding of 
Government activities as the initial disclosure of information when it 
was new information. The Department has amended the regulations at 
paragraph (b)(3)(ii) of Appendix D to clarify this.
    In response to another comment, DOI has added ``a reasonably broad 
audience of persons interested in the subject'' at the end of the 
initial question in paragraph (b)(2) (iv) of Appendix D. Finally, DOI 
has corrected the paragraph designation in Appendix D, Fee Waiver 
Criteria.
    Issue 5: Two comments concerned expedited processing of requests. 
One commenter asked the Department to adopt an additional provision 
expediting the processing of records that are subject to multiple 
pending requests. This commenter also urged DOI to expand the criteria 
covering who may make a request for expedited processing to include 
organizations whose business includes disseminating information, even 
if disseminating information is not their primary business, i.e., non-
news media requesters when those entities have an urgent need to report 
on a Government activity.
    Our Response: DOI has declined to adopt these comments. With regard 
to the first comment, while Congress did give agencies latitude to 
expand expedited processing to other categories, it also admonished 
agencies that being ``unduly generous'' in creating other categories 
for expedited processing ``would unfairly disadvantage other 
requesters.'' H.R. Rep. No. 104-795, at 26 (1996). Accordingly, the 
Department declines to create a fourth expedited processing category 
for records subject to multiple requests. In response to the second 
issue, the language in Sec.  2.14(a)(2) has been modified to allow 
entities other than representatives of the news media to be considered 
for expedited processing. However, consistent with the language in the 
statute, their main professional activity or occupation must be 
information dissemination.
    Issue 6: One commenter stated that while the bureaus should be 
allowed to develop their own standards for multitrack processing, these 
standards, once formulated, should be made available for public comment 
prior to implementation.
    Our response: Prior to implementing a multitrack processing system, 
the Department will provide guidance in the Federal Register and/or on 
its FOIA website so that requesters will know how to draft their 
requests to qualify for a faster processing track (see amended language 
at Sec.  2.26(b)).
    Issue 7: One commenter pointed out that Sec.  2.4(c)(iv) of the 
proposed rule contains an incomplete description of the records that 
should be in DOI's electronic reading rooms and thus does not comply 
fully with E-FOIA.
    Our Response: The Department has adopted this comment and has 
revised the language in Sec.  2.4(c)(1)(iv) of the final rule to read 
as follows: ``Copies of records that have been or are likely to become 
the subject of frequent requests under the FOIA and an index of those 
documents.'' DOI also has added a definition of ``frequently requested 
records'' under Sec.  2.3(l) for clarification purposes.
    Issue 8: One commenter recommended that the Department provide the 
same notice to requesters whose requests have been referred to other 
Federal agencies as those whose requests have been referred to other 
DOI bureaus.
    Our Response: DOI has amended the language in Sec.  2.22(b)(2) to 
provide for such notification in the event a bureau refers documents to 
another agency (the originating agency) for a release determination. 
However, if a bureau receives a request for records not in its 
possession, but which it believes may be in the possession of another 
Federal agency, it will return the request to the requester and advise 
him/her to submit it to the other agency directly.
    Issue 9: One commenter indicated that if DOI receives a FOIA 
request for a record in its possession that originated with another 
agency (or with which another agency is substantially concerned), it 
should make the release determination after consulting with the 
originating agency. This commenter suggested that DOI should not refer 
the record to the originating agency if that agency has a backlog or 
the agency's policy on processing referrals will delay the response to 
the requester.
    Our Response: The Department declines to adopt this comment. DOI 
must consider which agency is in a better position to make the proper 
release determination. Consideration of workload issues should not 
drive the determination of which agency is best suited to make the 
release determination. Use of workload considerations for this 
determination could result in improper releases.
    Issue 10: Another commenter suggested that DOI should have a 
central location where all FOIA requests can be sent if the requester 
is not certain which bureau has the records he/she is seeking.
    Our Response: DOI has not adopted this comment. The Department's 
FOIA regulations provide the public with sufficient notice on how 
requests will be processed. In response to another issue this commenter 
raised involving intra-bureau requests, Sec.  2.10(b)(3) has been 
revised. Under Sec.  2.10(b)(3), as revised, if the request states that 
it seeks records from unspecified offices within the same bureau, the 
FOIA Contact will send the request to the Bureau FOIA Officer, who will 
refer it to those offices which, to the best of his/her knowledge, have 
or are likely to have responsive records.
    Issue 11: One commenter stated that the standard for starting the 
statutory time limits should be the same for ``regular mail and e-
mailed'' requests/appeals, i.e., the time period for an electronic 
request/appeal should begin when the request is received, not when it 
is opened.
    Our Response: The Department has adopted this comment. Sections 
2.12(b), 2.30(b), and 2.32(a) of this rule have been changed to provide 
that the time limit for an electronic request/appeal begins when the 
request is received, not when it is opened.

Regulatory Planning and Review (E.O. 12866)

    DOI has determined that this 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:
    (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,

[[Page 64530]]

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.)

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 Sec. Sec.  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.

List of Subjects in 43 CFR Part 2

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

    Dated: October 2, 2002.
P. Lynn Scarlett,
Assistant Secretary--Policy, Management and Budget.

Regulation Promulgation

    For the reasons stated in the preamble, we amend Part 2 of Title 43 
of the Code of Federal Regulations, as follows:

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

    1. The authority citation for Part 2 is revised to read as follows:

    Authority: 5 U.S.C. 301, 552 and 552a; 31 U.S.C. 9701 and 43 
U.S.C. 1460-1461. Appendix F to Part 2 also is issued under 30 
U.S.C. 201-209; 30 U.S.C. 351-360.

Subparts C Through E [Redesignated as Subparts F Through H]

    2. Subparts C through E are redesignated as Subparts F through H.

    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 do 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 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 How will a bureau handle a request for Federally-funded 
research data in the possession of a private entity?
2.26 Does the bureau provide multitrack processing of FOIA requests?
2.27 How will a bureau handle a request for information that is 
contained in a Privacy Act system of records? (See DOI's Privacy Act 
regulations (Subpart G of this part) for additional information)
Subpart D--FOIA Appeals
2.28 When may I file an appeal?
2.29 How long do I have to file an appeal?
2.30 How do I file an appeal?
2.31 How will DOI respond to my appeal?
2.32 How long does DOI have to respond to my appeal?
2.33 How will the Department notify you and the submitter of 
commercial or financial information when it makes an appeal decision 
concerning such information?

[[Page 64531]]

Subpart E--FOIA Annual Report
2.34 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.
    (e) These regulations do not apply to records that fall under the 
law enforcement exclusions contained in 5 U.S.C. 552(c).


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 consistent with the spirit of the FOIA and the Privacy Act.


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. See Sec. Sec.  2.21 and 2.25.
    (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, or an institution of undergraduate 
higher education, an institution of graduate higher education, an 
institution of professional education, or an institution of vocational 
education, which 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 in 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) Frequently requested documents means documents that have been 
requested at least three times under the FOIA. It also includes 
documents the agency anticipates would likely be the subject of three 
or more requests.
    (m) 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.
    (n) 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.
    (o) 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.
    (p) Published research findings means research findings that are 
either:
    (1) Published in a peer-reviewed scientific or technical journal; 
or
    (2) Publicly and officially cited by a Federal agency in support of 
an agency action that has the force and effect of law.
    (q) Reading room materials means 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

[[Page 64532]]

for inspection and copying without requiring the filing of a FOIA 
request.
    (r) 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, newspapers, 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.
    (s) Research data means the recorded factual material commonly 
accepted in the scientific community as necessary to validate research 
findings, but not such things as trade secrets, commercial information, 
personnel and medical information and any similar information which is 
protected under law.
    (t) 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; and time spent considering 
any formal objection to disclosure made by a submitter under Sec.  
2.23(f).
    (u) Search means the process of looking for and retrieving agency 
records and information responsive to a request (manually or by 
automated means).
    (v) 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.
    (w) 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 
this 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 Federal legal public 
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 information listed in paragraphs (c)(1)(i) through (v) of this 
section 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 that have been or are likely to become the 
subject of frequent FOIA requests and an index of those documents.
    (v) A subject-matter index of its reading room records (see Sec.  
2.5).
    (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 of reading room materials.
    (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.
    (i) 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.
    (ii) If you file a FOIA request for reading room materials and the 
information you request is available on the Internet, the FOIA Contact 
should refer you to the appropriate Web site. If the reading room 
materials are not available electronically, the FOIA Contact may either 
send you the materials, or forward your request to the appropriate 
reading room and provide the name and telephone number of a

[[Page 64533]]

staff member you may contact. You may, nevertheless, ask the bureau to 
process your request as any other FOIA request.
    (2) A bureau may delete exempt information from some records before 
making them available for inspection and copying in a reading room. 
(See Sec.  2.21(c)). You may not appeal a bureau's decision to delete 
exempt information from a document it places in a public reading room. 
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, this 
does not guarantee that the entire record will be released. If you 
submit such a FOIA request and are not satisfied with the response, you 
may file an appeal as described in Sec.  2.28.
    (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.
    (4) If you submit a fee waiver request for information in a reading 
room, it will be processed under the procedures in Sec.  2.19.


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 you believe the records are 
maintained (see Appendix A to this part). FOIA requests must be 
submitted in writing (this includes fax and e-mail)--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.
    (b) The FOIA requires that we release records unless they are 
protected by one of nine exemptions (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)(1) In order for a record to be considered subject to your FOIA 
request, it must be in the bureau's possession and control at the time 
the bureau begins its search for responsive records. 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--
    (i) Doing so will provide a more useful response to the requester,
    (ii) It is less burdensome than providing the existing records, and
    (iii) The newly created record is fully responsive to the request.
    (2) 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 do I include in my request?

    (a) Description of records.
    (1) You must 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 for responding to your request 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 this matter 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 that 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

[[Page 64534]]

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 requester, news media, educational institution/
noncommercial scientific institution, or other requester (see 
Sec. Sec.  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 this matter and 
will close the file on your request.
    (c) Mailing address 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 that you believe are covered by the Privacy Act, 
as well as citing the appropriate act in your letter;
    (2) Your telephone number (where you can be reached during normal 
business hours), e-mail address and fax number, if available, in case 
the bureau, or the Department needs to communicate with you about your 
request. This information is very important.
    (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 personal records about another 
individual, 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) as the Privacy Act does not apply to a 
deceased individual. (Note: Information about a deceased individual may 
be subject to protection under exemption (6) of the FOIA if the release 
of the information could result in an invasion of the privacy of a 
living 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 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, seek assistance from the FOIA 
Contact of the bureau that manages the programs whose records you are 
requesting or 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. The bureau will 
process your request as follows:
    (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 states that it seeks records located 
at another specific office of the same bureau, the appropriate FOIA 
Contact will refer the request to the other office. If the request 
states that it seeks records from other unspecified offices within the 
same bureau, the FOIA Contact will send the request to the Bureau FOIA 
Officer who will refer it to those offices that, to the best of his/her 
knowledge, have or are likely to have responsive records.
    (4) If a request to a bureau states that it seeks records of 
another specified bureau, the bureau will refer the request to the 
appropriate bureau for response. If the request states that it seeks 
records from other unspecified bureaus, the FOIA Contact will send the 
request to the Bureau FOIA Officer who will ensure that the request is 
referred to those bureaus which, to the best of his/her knowledge, have 
or are likely to have responsive records. In either case, the Bureau 
FOIA Officer 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.


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

    The bureau and office FOIA Contacts listed in Appendix A to this 
part have primary responsibility for responding to FOIA requests. 
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 
Sec. Sec.  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.  
2.28(a)(3)) 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

[[Page 64535]]

procedures in Sec. Sec.  2.8 and 2.10 is received by the FOIA contact 
at the bureau office that has the records you are seeking. 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 under Sec.  2.28(a)(3) or file a lawsuit.
    (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. In most situations, a 
person primarily engaged in disseminating information will be a 
representative of the news media. The requested information must be the 
type of 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. Sec.  2.8 and 2.10 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 explaining in detail the basis for your request. You must 
certify in your letter that your need for expedited processing is true 
and correct to the best of your knowledge and belief. 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 of receipt of your 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.  2.32(b)). If the bureau has not responded to 
your request for expedited processing within 10 calendar days, you have 
a right to file an appeal for nonresponse (see Sec.  2.28(a)(7)).


Sec.  2.15  Will I be charged fees?

    Bureaus will charge fees consistent with the provisions in 
Sec. Sec.  2.16 and 2.17. The fee schedule in Appendix C to this 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. Sec.  2.19 
or 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.
    (2) A bureau normally will not charge a fee where the fee would be 
$30 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 total FOIA processing fee is 
$30 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) or (a)(3), you will be entitled to receive up to a total of 
100 pages of duplication without charge (there is no charge for 
searching for responsive records). If a bureau is responding on behalf 
of more than one bureau, and you fall under the fee category in Sec.  
2.17(a)(4), you will be entitled to receive up to a total of 100 pages 
of duplication and two hours of search time without charge.
    (4) If a bureau obtains research data solely in response to your 
FOIA request, it may charge you a reasonable fee equaling the full cost 
of obtaining the research data from the recipient.
    (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 Sec. Sec.  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 or not documents responsive to the 
request are located or the records located are exempt from disclosure; 
and

[[Page 64536]]

    (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 Sec. Sec.  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 fees for costs incurred 
in document search, review, and duplication.
    (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'' are 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) If you do not submit sufficient information in your FOIA 
request for the bureau to determine your fee category (see paragraphs 
(a)(1) through (a)(4) of this section), the bureau may ask you to 
provide additional clarification. 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 this matter and will close the file on your 
request.
    (c) The following table summarizes the chargeable fees for each 
category of requester.

----------------------------------------------------------------------------------------------------------------
            Category                     Search fees               Review fees             Duplication fees
----------------------------------------------------------------------------------------------------------------
Commercial Use..................  Yes.....................  Yes.....................  Yes
Educational Institution.........
Non-Commercial Scientific         No......................  No......................  Yes
 Institution.                                                                         (100 pages free)
News Media......................
All Other.......................  Yes.....................  No......................  Yes
                                  (2 hours free)..........                            (100 pages free)
----------------------------------------------------------------------------------------------------------------

Sec.  2.18  How are fees assessed and collected?

    (a) Threshold for charging fees. Except in those situations covered 
by Sec.  2.16(b)(2), the bureau will not charge you if the fee is $30 
or less.
    (b) Notice of anticipated fees. (1) Unless you have been granted a 
fee waiver or have previously agreed to pay all the fees associated 
with your request, or the anticipated fee is $30 or less, the bureau 
will:
    (i) Promptly notify you of the estimated costs and ask you to 
provide written assurance of payment of all fees or fees up to a 
designated amount; and
    (ii) Give you an opportunity to modify your request at that time to 
reduce the fee.
    (2) After the bureau begins processing your request, if it finds 
that the actual cost will exceed the amount you previously agreed to 
pay, the bureau will:
    (i) Stop processing your request;
    (ii) Promptly notify you of the higher amount and ask you to 
provide written assurance of payment; and
    (iii) Give you an opportunity to modify your request to reduce the 
fee.
    (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 you to pay 
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 Sec. Sec.  
2.8(b) and 2.12(b)). If the bureau seeks clarification from you about a 
fee issue and does not hear from you within 20 workdays, it will assume 
that you are no longer interested in this matter and will close the 
file on your request.
    (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

[[Page 64537]]

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. 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 likely contribute significantly to public understanding of 
the operations or activities of the Government. 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. In certain circumstances, a partial fee waiver may be 
appropriate, if some, but not all, of the requested records are likely 
to contribute significantly to public understanding of the operations 
and activities of the Government.
    (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.  2.30.


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 working 
with the Department;
    (6) Furnishing a reasonable number records to members of the U.S. 
Congress, 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 Sec. Sec.  2.8 and 2.10 have been 
met, the bureau will make a reasonable effort to search for records 
responsive to your request. In determining which records are responsive 
to your request, the bureau will include any records in its possession 
and control as of the date it begins its search. 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, except that the bureau may, 
consistent with Departmental policy, determine that a discretionary 
release is appropriate under the particular circumstances. Your request 
will be denied or partially denied only if one of the nine statutory 
exemptions 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 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) An explanation 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 to the FOIA Appeals 
Officer (see Appendix A to this part), within 30 workdays of the date 
of the denial letter or 30 workdays after the records have been 
released under the procedures in Sec.  2.30.

[[Page 64538]]

    (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.  2.30.
    (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 or the Mineral Leasing Act for Acquired Lands 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 it knows another 
bureau has or is likely to have, 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. It 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. Such a referral does not 
restart the statutory time limit for responding to your request.
    (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 refer the request, 
along with any responsive document(s), to that agency for a release 
determination and direct response. If the bureau refers the documents 
to another agency, it will notify you of the referral in writing and 
provide the name of a contact at the other agency. However, in the 
following situations, the bureau will make the release determination, 
after consulting with the originating agency:
    (i) When 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 or directives, or in response to a DOI request);
    (ii) If DOI is in a better position than the originating agency to 
assess whether the record is exempt from disclosure;
    (iii) If the originating agency is not subject to the FOIA; or
    (iv) When it is more efficient or practical depending on the 
circumstances.
    (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 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 
commercial or financial information submitted by a person or entity 
outside the Federal Government, under Executive Order 12600, 
Predisclosure Notification Procedures for Confidential Commercial 
Information, or superseding Executive order, the bureau must provide 
the submitter with prompt written notice of the request, except as 
provided in paragraph (h) of this section, whenever:
    (1) The submitter has designated the information as confidential 
commercial or financial information, or
    (2) The bureau has reason to believe that the information may be 
protected under exemption (4).
    (b) The notice 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 no less than 10 workdays, from receipt (or 
publication as set forth in paragraph (c) of this section) of the 
bureau's notice, to object to the release and to explain the basis for 
the objection, if any.
    (5) Advise the submitter that:
    (i) Information contained in his/her objections may be subject to 
disclosure under the FOIA if the bureau receives a FOIA request for it; 
and
    (ii) If the submitter's objections contain commercial or financial 
information and a requester asks for the objections under the FOIA, the 
notification procedures of this subsection will apply.
    (6) Advise the submitter that it is the bureau, rather than the 
submitter, that is responsible for deciding whether the information 
will be released or withheld.
    (7) If the submitter designated the material as confidential 
commercial or financial information 10 or more years before the 
request, request the submitter's views on whether he/she still 
considers the information to be confidential.
    (c) Where a large number of submitters is involved, the bureau may, 
rather than providing written notice to each submitter, publish a 
notice in a manner reasonably calculated to reach the attention of the 
submitters (e.g., in newspapers/newsletters, the bureau's Web site, or 
the Federal Register).
    (d) Whenever a bureau notifies a submitter that he/she 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. In the case of exemption 
(4), there must be a specific and detailed discussion of:
    (i) Whether the Government required the information in question to 
be submitted, and if so, how substantial

[[Page 64539]]

competitive or other business harm would likely result from release; or
    (ii) Whether the submitter provided the information voluntarily 
and, if so, how the information in question fits into a category of 
information that the submitter customarily does not release to the 
public.
    (2) A certification that the information is confidential, has not 
been disclosed to the public by the submitter, and is essentially non-
public because it is not routinely available to the public from other 
sources.
    (3) If not already provided, a telephone number (where the 
submitter can be reached during normal business hours, an e-mail 
address and a fax number (if available). This information is very 
important to help the bureau or Department communicate with the 
submitter.
    (f) The bureau will review and consider all objections to release 
that are received within the time specified in the notice to the 
submitter. 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 notice, the bureau will presume that the 
submitter has no objection to disclosure of the information.
    (g) If the bureau decides to release records over the submitter's 
objections, it will inform the submitter and you in writing. The notice 
to the submitter will be sent by certified mail, return receipt 
requested, to the submitter's last known address and will include 
copies of the records the bureau intends to release and the bureau's 
reasons for deciding to release them. The notice also will inform the 
submitter that it intends to release the records 10 workdays after 
receipt of the notice by the submitter.
    (h) The bureau will not consult with the submitter if:
    (1) The bureau responsible for the decision determines that the 
information is exempt from disclosure;
    (2) The information has been lawfully published or otherwise made 
available to the public, such as in response to an earlier FOIA request 
or if the submitter has made the information 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 15 workdays 
prior to releasing it.
    (i) The bureau will inform the submitter within 10 workdays of the 
Department's receipt of a court complaint if you file a lawsuit for 
access to any of the withheld records. Similarly, the bureau will 
notify you within 10 workdays of the Department's receipt of a court 
complaint if the submitter files a lawsuit to prohibit the bureau from 
disclosing the records.
    (j) If the bureau determines that the requested information is 
protected from release by exemption (4) of the FOIA, the bureau has no 
discretion to release the information as doing so would violate the 
Trade Secrets Act, a criminal provision found at 18 U.S.C. 1905.


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

    No. If in the course of responding to a FOIA request, a bureau 
cannot readily determine whether the information obtained from a person 
is commercially or financially sensitive information, the bureau will 
obtain and consider the views of the submitter of the information and 
provide the submitter an opportunity to object to any decision to 
disclose the information.


Sec.  2.25  How will a bureau handle a request for Federally-funded 
research data in the possession of a private entity?

    When published research findings are produced under a grant or 
other Federal assistance, and the findings are used by a bureau in 
developing an agency action, e.g., a policy or regulation, research 
data related to such findings are considered agency records even if 
they are in the possession of the recipient of the Federal financial 
assistance (recipient).
    (a) If you submit a FOIA request for such research data, the bureau 
will require the recipient to provide the information to it within a 
reasonable amount of time, so the bureau can consider the data for 
release to the public under the FOIA.
    (b) The bureau will notify you that it may charge you for any 
additional fees incurred as a result of obtaining the research data 
from the recipient. This fee is in addition to any fees the bureau may 
charge to process your request under the FOIA.
    (c) The bureau will forward a copy of the request to the recipient, 
who is responsible for searching for and reviewing the requested 
information in accordance with DOI's FOIA regulations (43 CFR part 2). 
The recipient will forward a copy of any responsive records that are 
located, along with his/her recommendations concerning the 
releasability of the data, and the total cost incurred in searching 
for, reviewing, and providing the data to the appropriate bureau FOIA 
contact.
    (d) The bureau will review and consider the recommendations of the 
recipient regarding the releasability of the requested data. However, 
it is the bureau, rather than the recipient, that is responsible for 
deciding whether the information will be released or withheld.


Sec.  2.26  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, including the number of pages 
involved.
    (b) If a bureau uses multitrack processing, it will advise 
requesters in its slower track(s) of the criteria of its faster 
track(s). For example, a bureau using multitrack processing may provide 
requesters in its slower track(s) with an opportunity to limit the 
scope of their requests in order to qualify for faster processing 
within the specified limits of the bureau's faster track(s). A bureau 
doing so will contact the requester by telephone or in writing, 
whichever is more efficient in each case.


Sec.  2.27  How will a bureau handle a request for information that is 
contained in a Privacy Act system of records? (See DOI's Privacy Act 
regulations (Subpart G of this part) for additional information.)

    (a) When you request information pertaining to yourself that is 
contained in a Privacy Act system of records applicable to you (i.e., 
the information contained in the system of records is retrieved by the 
bureau using your name or other personal identifier), the request will 
be processed under both the FOIA and the Privacy Act. If you request 
information 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. (Note: If you request information about yourself 
that is not covered by the Privacy Act, e.g., the information may be 
filed under another subject, such as an organization, activity, event, 
or an investigation not retrievable by a name or personal identifier, 
the request will be treated only as a FOIA request.)
    (b) 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 you if the information you seek 
is contained in a

[[Page 64540]]

Privacy Act system of records applicable to you.
    (c) Sometimes a request for Privacy Act information is submitted by 
a ``third party'' (an individual other than the person who is the 
subject of the Privacy Act record). If you request Privacy Act 
information about another individual, the material will not be 
disclosed without prior written approval by that individual unless--
    (1) The release is provided for under one of the Privacy Act 
conditions of disclosure (5 U.S.C. 552a(b)), one of which is that 
Privacy Act information is releasable if it is required to be released 
under the FOIA, or
    (2) In most circumstances, if the individual is deceased. See Sec.  
2.8(d)(4).
    (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 information that is 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 $30 or less.

Subpart D--FOIA Appeals


Sec.  2.28  When may I file an appeal?

    (a) You may file an appeal when:
    (1) Records or parts of records have been withheld;
    (2) The bureau informs you that you have not adequately described 
the records you are seeking, or that it does not possess responsive 
records and you have reason to believe it does or you question the 
adequacy of the bureau's search for responsive records;
    (3) A decision has not been made on your request within the time 
limits provided in Sec.  2.12;
    (4) The bureau did not address all aspects of your request for 
records;
    (5) You believe there is a procedural deficiency (e.g., fees are 
improperly calculated);
    (6) A fee waiver has been denied; or
    (7) A request for expedited processing has been denied or not 
responded to on time. (Special procedures apply to this type of appeal 
(see Sec. Sec.  2.14, 2.29(c), and 2.32(b)). 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. 
However, if you wish to file an appeal, it must be received by the FOIA 
Appeals Officer within the time limits in Sec.  2.29.


Sec.  2.29  How long do I have to file an appeal?

    (a) Appeals covered by Sec. Sec.  2.28(a)(1), (2), and (4) thru 
(6). 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.  2.28(a)(3). You may file an appeal any 
time after the time limit for responding to your request has passed.
    (c) Appeals covered by Sec.  2.28(a)(7). You should file an appeal 
as soon as possible.


Sec.  2.30  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 for the address). 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 
you and the bureau, including your request and the bureau's response 
(if there is one). 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 in as much detail as possible any 
reason(s) why you believe the bureau's response was in error.
    (d) Include your name and daytime telephone number (or the name and 
telephone number of an appropriate contact), e-mail address and fax 
number (if available), in case DOI needs additional information or 
clarification of your appeal.
    (e) 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 Sec.  2.19(b) (see Appendix D) or Sec.  2.14(a) are met. You also 
should state in as much detail as possible why you believe the initial 
decision was incorrect.
    (f) All communications concerning your appeal should be clearly 
marked with the words: ``FREEDOM OF INFORMATION APPEAL.''


Sec.  2.31  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 decision on an appeal will be in writing and will 
state the basis for DOI's decision as follows:
    (1) Decision to release or withhold records.
    (i) If the FOIA Appeals Officer decides to release the withheld 
records or portions thereof, he/she will make the records available or 
instruct the appropriate bureau to make them available as soon as 
possible.
    (ii) If the FOIA Appeals Officer decides to uphold in whole or part 
the denial of a request for records, he/she will advise you of your 
right to obtain judicial review.
    (2) Non-possession of records. If the FOIA Appeals Officer decides 
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 FOIA Appeals Officer decides that 
the requested records cannot be located or do not exist, he/she will 
advise you of your right to treat the decision as a denial and seek 
judicial review.
    (3) Non-response to a FOIA request. If a bureau has not issued an 
appropriate response 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. If the bureau 
responds to your request within 20-workdays after receipt of the 
appeal, the FOIA Appeals Officer will close the file on your appeal. 
Otherwise, the FOIA Appeals Officer will advise you that you may treat 
the lack of a response by the bureau as a denial of your appeal and 
seek judicial review.
    (4) Incomplete response to a FOIA request. If a bureau has not 
issued a complete response to your FOIA request, the FOIA Appeals 
Officer will direct the bureau to issue a complete 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 incomplete response 
by the bureau as a denial of your appeal and seek judicial review.

[[Page 64541]]

    (5) Procedural deficiencies. If the FOIA Appeals Officer decides 
that the bureau was in error, he/she will instruct the bureau to 
correct the error and advise you accordingly. If the FOIA Appeals 
Officer decides that the bureau acted properly, he/she will deny your 
appeal and advise you of your right to seek judicial review.
    (6) Fee waiver denials. If the decision is to grant your request 
for a fee waiver, the FOIA Appeals Officer will advise the appropriate 
bureau of the Department's decision and instruct the bureau to proceed 
with processing the request or to refund any monies you have paid. If 
the decision 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.
    (7) Denial of expedited processing. If the FOIA Appeals Officer 
decides to grant expedited processing, he/she will direct the bureau to 
process your request as soon as practicable. If your request for 
expedited processing is denied on appeal, the FOIA Appeals Officer will 
advise you of your right to seek judicial review of the denial of 
expedited processing.


Sec.  2.32  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.  
2.30.
    (b) If you request expedited processing of your appeal, you must 
demonstrate to the Department's satisfaction that the appeal meets one 
of the criteria under Sec.  2.14(a). The FOIA Appeals Officer will 
advise you whether the Department will grant expedited processing 
within 10 calendar days of its receipt of your appeal. If the FOIA 
Appeals Officer decides to grant expedited processing, he/she will give 
your appeal priority and process it ahead of other pending appeals.
    (c) If you have not received a decision on your appeal within 20 
workdays, you have 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 decision within the given time limits, 
the FOIA Appeals Officer will notify you of the reason for the delay 
and the right to seek judicial review.


Sec.  2.33  How will the Department notify you and the submitter of 
commercial or financial information when it makes an appeal decision 
concerning such information?

    (a) Notice of appeal decision. If the Department decides on appeal 
to release records over the objections of a submitter who has advised 
DOI that the information is protected from release by exemption (4), 
the Department will advise you and the submitter that it intends to 
release the records 10 workdays after the notice to the submitter 
regarding the appeal decision.
    (b) Notice of litigation.
    (1) The Department will notify the submitter within 10 workdays of 
receipt of the court complaint if you file a lawsuit seeking access to 
any records found on appeal to be protected from release by exemption 
(4).
    (2) The Department will notify you within 10 workdays of receipt of 
the court complaint if the submitter files a lawsuit requesting the 
court to prohibit the Department from releasing information it alleges 
qualifies for protection under exemption (4).

Subpart E--FOIA Annual Report


Sec.  2.34  Where can I get a copy of DOI's FOIA 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 and B to part 2 are revised and Appendices C 
through F to part 2 are aldded to read as follows:
BILLING CODE 4310-RK-P

[[Page 64542]]

Appendix A To Part 2--Department of the Interior FOIA/Public Affairs 
Contacts and Reading Rooms
[GRAPHIC] [TIFF OMITTED] TR21OC02.020


[[Page 64543]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.021


[[Page 64544]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.022


[[Page 64545]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.023


[[Page 64546]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.024


[[Page 64547]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.025


[[Page 64548]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.026


[[Page 64549]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.027


[[Page 64550]]


[GRAPHIC] [TIFF OMITTED] TR21OC02.028

BILLING CODE 4310-RK-C

    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/foiaregs.html
    7. DOI 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/freq.html
    10. DOI's Frequently Requested Documents: http://www.doi.gov/foia/frrindex.html
    11. FOIA Annual Reports to Congress: http://www.doi.gov/foia/report.html
    12. DOI's Library: http://library.doi.gov
    13. General Records Schedule 14, Information Services Records: 
http://ardor.nara.gov/grs/grs14.html
    14. DOI Records Management Program: http://www.doi.gov/ocio/records/

[[Page 64551]]

    15. DOI Privacy Act Program: http://www.doi.gov/ocio/privacy/
    16. DOI Privacy Act Officers: http://www.doi.gov/ocio/privacy/doi_privacy_act_officers.htm
    17. DOI Privacy Act Regulations: http://www.doi.gov/foia/43cfrsub.html
    18. DOI Privacy Act Systems of Records Notices: http://www.access.gpo.gov/su_docs/aces/1999_pa.html
    19. FirstGov Portal: http://www.firstgov.gov

    Note: See DOI's FOIA home page at http://www.doi.gov/foia/ for 
the most current listing of FOIA-related website addresses.

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 according to 
your fee category (see Sec. Sec.  2.16 and 2.17) and the following 
fee schedule. In addition, the bureau will charge you for any 
special handling or services performed in connection with processing 
your request and/or appeal under Subparts C and D of this part. The 
following fees will be used by 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 $30 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 Sec. Sec.  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-6, Step 5, pay (all employees at GS-7 
and below)
    (b) Professional--Based on GS-11, Step 7, pay (all employees at 
GS-8 through GS-12)
    (c) Managerial--Based on GS-14, Step 2, pay (all employees at 
GS-13 and above)

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


------------------------------------------------------------------------
                                                         Fee
------------------------------------------------------------------------
(2) Duplication:
Pages no larger than 8.5 x 14 inches, when  $.13 per page ($.26 for
 reproduced by standard office copying       double-sided copying)
 machines.
Color copies of pages no larger than 8.5 x  $.90 per page
 11 inches.
Pages larger than 8.5 x 14 inches.........  Direct cost to DOI
Color copies of pages no larger than 11 x   $1.50 per page
 17 inches.
Photographs and records requiring special   Direct cost to DOI
 handling (e.g., because of age, size, or
 format).
(3) Electronic records:
Charges for services related to processing  Direct cost to DOI
 requests for electronic records.
(4) Certification.........................  Fee
Each certificate of verification attached   $.25
 to authenticate copies of records.
(5) Postage/Mailing:
Charges that exceed the cost of first       Postage or Delivery charge
 class postage. Examples of such charges
 are express mail or overnight delivery.
(6) Other Services:
Cost of special services or materials,      Direct cost to DOI
 other than those 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. You should explain 
the significance of the release of the information to the public's 
understanding of the Government's operations and activities based on 
your understanding of the type of information that you are 
requesting. 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.
    (a) 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 (1) through (4), 
below. 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 Department's or a bureau'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 or a reasonably broad audience of 
persons interested in the subject?
    (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?
    (ii) Does the information being disclosed confirm or clarify 
data which has been released previously?
    (iii) 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?
    (iv) Is the information already publicly available? If the 
Government previously has published the information you are seeking 
or it is routinely available to the public in a library, reading 
room, through the Internet, or as part of the administrative record 
for a

[[Page 64552]]

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

    Under the FOIA (5 U.S.C. 552(b)), there are nine exemptions 
which may be used to protect information from disclosure. The 
Department has paraphrased the exemptions, below, for your 
information. The paraphrases are not intended to be interpretations 
of the exemptions.
    (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 memorandums 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;
    (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 trial 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.

Appendix F to Part 2--Mineral Leasing Act and Mineral Leasing Act for 
Acquired Lands--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, under 30 U.S.C. 201(b), or 
subject to the Mineral Leasing Act for Acquired Lands, under 30 
U.S.C. 351-360.
    (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, under 30 U.S.C. 201(a)(1) or 30 U.S.C. 351-
360.
    (3) Information means data, statistics, samples and other facts, 
whether analyzed or processed or not, pertaining to Federal coal 
resources.
    (b) Applicability. This Appendix 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) (and corresponding information under 30 
U.S.C. 351-360) 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) under 30 U.S.C. 208-1(b) (and corresponding information under 
30 U.S.C. 351-360), and information developed by USGS under an 
exploratory program authorized by 30 U.S.C. 208-1 (and corresponding 
information under 30 U.S.C. 351-360);
    (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 under 30 U.S.C. 208-1(e) (and 
corresponding information under 30 U.S.C. 351-360); 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. To the extent Category C 
information is proprietary, such 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. To the extent Category D 
information is proprietary, the Department will withhold the 
information from the public for the length of time the department or 
agency providing the information agreed to when it obtained the 
information.
    (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. 02-25970 Filed 10-18-02; 8:45 am]
BILLING CODE 4310-RK-P