 


[Code of Federal Regulations]
[Title 43, Volume 1, Parts 1 to 999]
[Revised as of October 1, 1996]
From the U.S. Government Printing Office via GPO Access
[CITE: 43CFR2]
[Page 6-36]
TITLE 43--PUBLIC LANDS: INTERIOR
PART 2--RECORDS AND TESTIMONY; FREEDOM OF INFORMATION ACT
Subpart A--Opinions in Adjudication of Cases, Administrative
Manuals
Sec.
2.1 Purpose and scope.
2.2 Opinions in adjudication of cases.
2.3 Administrative manuals.
Subpart B--Requests for Records
2.11 Purpose and scope.
2.12 Definitions.
2.13 Records available.
2.14 Requests for records.
2.15 Preliminary processing of requests.
2.16 Action on initial requests.
2.17 Time limits for processing initial requests.
[[Page 7]]
2.18 Appeals.
2.19 Action on appeals.
2.20 Fees.
2.21 Waiver of fees.
2.22 Special rules governing certain information concerning coal
obtained under the Mineral Leasing Act.
Subpart C--Declassification of Classified Documents
2.41 Declassification of classified documents.
Subpart D--Privacy Act
2.45 Purpose and scope.
2.46 Definitions.
2.47 Records subject to Privacy Act.
2.48 Standards for maintenance of records subject to the Act.
2.49 [Reserved]
2.50 Federal Register notices describing systems of records.
2.51 Assuring integrity of records.
2.52 Conduct of employees.
2.53 Government contracts.
2.54-- 2.55 [Reserved]
2.56 Disclosure of records.
2.57 Accounting for disclosures.
2.58-- 2.59 [Reserved]
2.60 Request for notification of existence of records: Submission.
2.61 Requests for notification of existence of records: Action on.
2.62 Requests for access to records.
2.63 Requests for access to records: Submission.
2.64 Requests for access to records: Initial decision.
2.65 Requests for notification of existence of records and for
access to records: Appeals.
2.66 Requests for access to records: Special situations.
2.67-- 2.69 [Reserved]
2.70 Amendment of records.
2.71 Petitions for amendment: Submission and form.
2.72 Petitions for amendment: Processing and initial decision.
2.73 Petitions for amendments: Time limits for processing.
2.74 Petitions for amendment: Appeals.
2.75 Petitions for amendment: Action on appeals.
2.76 [Reserved]
2.77 Statements of disagreement.
2.78 [Reserved]
2.79 Exemptions.
Subpart E--Compulsory Process and Testimony of Employees
2.80 Compulsory process.
2.82 Testimony of employees.
Appendix A to Part 2 --Fees
Appendix B to Part 2 --Bureaus and Offices of the Department of the
Interior
Authority: 5 U.S.C. 301, 552 and 552a; 31 U.S.C. 9701; and 43 U.S.C. 1460.
Source: 40 FR 7305, Feb. 19, 1975, unless otherwise noted.
Subpart A--Opinions in Adjudication of Cases, Administrative Manuals
Sec. 2.1 Purpose and scope.
This subpart contains the regulations of the Department of the
Interior concerning the availability to the public of opinions issued
in the adjudication of cases and of administrative manuals. Persons
interested in obtaining access to other records are directed to the
procedures for submission of Freedom of Information requests set out
in subpart B of this part.
Sec. 2.2 Opinions in adjudication of cases.
(a)(1) Copies of final decisions and orders issued on and after
July 1, 1970, in the following categories of cases are available for
inspection and copying in the Office of Hearings and Appeals,
Ballston Building No. 3, 4015 Wilson Boulevard, Arlington, Va. 22203:
(i) Contract appeals;
(ii) Appeals from decisions rendered by departmental officials
relating to the use and disposition of public lands and their
resources and the use and disposition of mineral resources in certain
acquired lands of the United States and in the submerged lands of the Outer
Continental Shelf;
(iii) Appeals from orders and decisions issued by departmental
officials and administrative law judges in proceedings relating to
mine health and safety; and
(iv) Appeals from orders and decisions of administrative law
judges in Indian probate matters other than those involving estates of
Indians of the Five Civilized Tribes and Osage Indians.
( 2 ) Copies of final opinions and orders issued in the following categories
of cases are available for inspection and copying in the
Docket and Records Section, Office of the Solicitor, Interior
Building, Washington, DC 20240:
[[Page 8]]
(i) Tort claims decided in the headquarters office of the Office
of the Solicitor, and appeals from decisions of Regional Solicitors or
Field Solicitors on tort claims;
(ii) Irrigation claims under Public Works Appropriation Acts
(e.g., 79 Stat., 1103) or 25 U.S.C. 388 decided in the headquarters office
of the Office of the Solicitor, and appeals from decisions of Regional
Solicitors on irrigation claims;
(iii) Appeals under Sec. 2.18 respecting availability of records;
(iv) Appeals from decisions of officials of the Bureau of Indian
Affairs, and Indian enrollment appeals; and
(v) Appeals from decisions of officers of the Bureau of Land
Management and of the Geological Survey in proceedings relating to
lands or interests in land, contract appeals, and appeals in Indian probate
proceedings, issued prior to July 1, 1970.
(3) An Index-Digest is issued by the Department. All decisions,
opinions and orders issued in the categories of cases described in
paragraphs (a)(1), (i), (ii), and (iii) of this section (that is,
contract appeals, land appeals, and mine health and safety appeals),
are covered in the Index-Digest; in addition, the Index-Digest covers the
more important decisions, opinions and orders in the remaining
categories of cases described in paragraphs (a)(1)(iv) and (a)( 2 ) (i)
through (iv) of this section, and the more important opinions of law issued
by the Office of the Solicitor. The Index-Digest is available for use by the
public in the Office of Hearings and Appeals, Ballston Building No. 3, 4015
Wilson Boulevard, Arlington, Va. 22203, in the Docket and Records Section,
Office of the Solicitor, Interior Building, Washington, DC 20240, and in the
offices of the Regional Solicitors and Field Solicitors. Selected decisions,
opinions, and orders are published in a series entitled ``Decisions of the
United States Department of the Interior'' (cited as I.D.), and copies may be obtained by
subscription from the Superintendent of Documents, U.S. Government Printing
Office, Washington, DC 20402.
(4) Copies of final opinions and orders issued by Regional
Solicitors on tort claims and irrigation claims, and copies of final
opinions and orders on appeals in Indian probate proceedings issued
by Regional Solicitors prior to July 1, 1970, are available for
inspection and copying in their respective offices. Copies of final
opinions and orders issued by Field Solicitors on tort claims are available for
inspection and copying in their respective offices.
(b)(1) Copies of final decisions and orders issued prior to July 1, 1970,
on appeals to the Director, Bureau of Land Management, and by
hearing examiners of the Bureau of Land Management, in proceedings
relating to lands and interests in land are available for inspection
and copying in the Office of Hearings and Appeals, Ballston Building No.
3, 4015 Wilson Boulevard, Arlington, Va. 22203, and in the offices of
the Departmental administrative law judges.
( 2 ) Copies of final decisions, opinions and orders issued on and
after July 1, 1970, by departmental administrative law judges in all
proceedings before them are available for inspection and copying in
their respective offices and in the Office of Hearings and Appeals,
Ballston Building No. 3, 4015 Wilson Boulevard, Arlington, VA 22203.
(3) Copies of final decisions, opinions and orders issued by
administrative law judges in Indian probate proceedings are available
for inspection and copying in their respective offices.
Sec. 2.3 Administrative manuals.
The Departmental Manual is available for inspection in the
Departmental Library, Interior Building, Washington, DC, and at each
of the regional offices of bureaus of the Department. The administrative
manuals of those bureaus which have issued such documents are
available for inspection at the headquarters officers and at the regional
offices of the bureaus.
Subpart B--Requests for Records
Source: 52 FR 45586, Nov. 30, 1987, unless otherwise noted.
Sec. 2.11 Purpose and scope.
(a) This subpart contains the procedures for submission to and
consideration by the Department of the Interior of requests for
records under the Freedom of Information Act.
[[Page 9]]
(b) Before invoking the formal procedures set out below, persons
seeking records from the Department may find it useful to consult
with the appropriate bureau FOIA officer. Bureau offices are listed in
Appendix B to this part .
(c) The procedures in this subpart do not apply to:
(1) Records published in the Federal Register, opinions in the
adjudication of cases, statements of policy and interpretations, and
administrative staff manuals that have been published or made
available under subpart A of this part .
(2) Records or information compiled for law enforcement purposes
and covered by the disclosure exemption described in Sec. 2.13(c)(7) if--
(i) The investigation or proceeding involves a possible violation
of criminal law; and
(ii) There is reason to believe that--
(A) The subject of the investigation or proceeding is not aware
of its pendency, and
(B) Disclosure of the existence of the records could reasonably
be expected to interfere with enforcement proceedings.
(3) Informant records maintained by a criminal law enforcement
component of the Department under an informant's name or personal
identifier, if requested by a third party according to the
informant's name or personal identifier, unless the informant's status as an
informant has been officially confirmed.
Sec. 2.12 Definitions.
(a) Act and FOIA mean the Freedom of Information Act, 5 U.S.C.
552.
(b) Bureau refers to all constituent bureaus of the Department of
the Interior, the Office of the Secretary, and the other Departmental
offices. A list of bureaus is contained in Appendix B to this part .
(c) Working day means a regular Federal workday. It does not
include Saturdays, Sundays or public legal holidays.
Sec. 2.13 Records available.
(a) Department policy. It is the policy of the Department of the
Interior to make the records of the Department available to the
public to the greatest extent possible, in keeping with the spirit of the
Freedom of Information Act.
(b) Statutory disclosure requirement. The Act requires that the
Department, on a request from a member of the public submitted in
accordance with the procedures in this subpart, make requested
records available for inspection and copying.
(c) Statutory exemptions. Exempted from the Act's statutory
disclosure requirement are matters that are:
(1)(i) Specifically authorized under criteria established by an
Executive order to be kept secret in the interest of national defense
or foreign policy and
(ii) Are in fact properly classified pursuant to such Executive
order;
(2) Related solely to the internal personnel rules and practices of an agency;
(3) Specifically exempted from disclosure by statute (other than
the Privacy Act), provided that such statute--
(i) Requires that the matters be withheld from the public in such
a manner as to leave no discretion on the issue, or
(ii) Establishes particular criteria for withholding or refers to
particular types of matters to be withheld;
(4) Trade secrets and commercial or financial information
obtained from a person and 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,
but only to the extent that the production of such law enforcement
records or information--
(i) Could reasonably be expected to interfere with enforcement
proceedings,
(ii) Would deprive a person of a right to a fair or an impartial
adjudication,
(iii) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy,
[[Page 10]]
(iv) Could reasonably be expected to disclose the identity of a
confidential source, including a State, local, or foreign agency or
authority or any private institution which furnished information on a
confidential basis, and, in the case of a record or information
compiled by a criminal law enforcement authority in the course of a criminal
investigation, or by an agency conducting a lawful national security
intelligence investigtion, information furnished by a confidential
source,
(v) Would disclose techniques and procedures for law enforcement
investigations or prosecutions or would disclose guidelines for law
enforcement investigations or prosecutions if such disclosure could
reasonably be expected to risk circumvention of the law, or
(vi) Could reasonably be expected to endanger the life or
physical safety of any individual;
(8) Contained in or related to examination, operating, or
condition reports prepared by, on behalf of, or for the use of an agency
responsible for the regulation or supervision of financial
institutions; or
(9) Geological and geophysical information and data, including
maps, concerning wells.
(d) Decisions on requests. It is the policy of the Department to
withhold information falling within an exemption only if--
(1) Disclosure is prohibited by statute or Executive order or
(2) Sound grounds exist for invocation of the exemption.
(e) Disclosure of reasonably segregable nonexempt material. If a
requested record contains material covered by an exemption and
material that is not exempt, and it is determined under the procedures in this
subpart to withhold the exempt material, any reasonably segregable
nonexempt material shall be separated from the exempt material and
released.
Sec. 2.14 Requests for records.
(a) Submission of requests. (1) A request to inspect or copy
records shall be made to the installation where the records are located. If
the records are located at more than one installation or if the specific
location of the records is not known to the requester, he or she may
direct a request to the head of the appropriate bureau or to the
bureau's FOIA officer. Addresses for bureau heads and FOIA officers
are contained in Appendix B to this part .
(2) Exceptions. (i) A request for records located in all
components
of the Office of the Secretary (other than the Office of Hearings and
Appeals) shall be submitted to: Director, Office of Administrative
Services, U.S. Department of the Interior, Washington, DC 20240. A
request for records located in the Office of Hearings and Appeals
shall be submitted to: Director, Office of Hearings and Appeals, 4015
Wilson Boulevard, Arlington, Virginia 22203.
(ii) A request for records of the Office of Inspector General
shall be submitted to: Inspector General, Office of the Inspector General,
U.S. Department of the Interior, Washington, DC 20240.
(iii) A request for records of the Office of the Solicitor shall
be submitted to: Solicitor, Office of the Solicitor, U.S. Department of
the Interior, Washington, DC 20240.
(b) Form of requests. (1) Requests under this subpart shall be in
writing and must specifically invoke the Act.
(2) A request must reasonably describe the records requested.
A request reasonably describes the records requested if it will enable
an employee of the Department familiar with the subject area of the
request to locate the record with a reasonable amount of effort. If such
information is available, the request should identify the subject
matter of the record, the date when it was made, the place where it was
made, the person or office that made it, the present custodian of the
record, and any other information that will assist in locating the requested
record. If the request involves a matter known by the requester to be
in litigation, the request should also state the case name and court
hearing the case.
(3)(i) A request shall--
(A) Specify the fee category (commercial use, news media,
educational institution, noncommercial scientific institution, or
other) in which the requester claims the request to fall and the basis of
this claim (see Sec. 2.20(b) through (e) for definitions) and
[[Page 11]]
(B) State the maximum amount of fees that the requester is
willing to pay or include a request for a fee waiver.
(ii) Requesters are advised that, under Sec. 2.20 (f) and (g),
the time for responding to requests may be delayed--
(A) If a requester has not sufficiently identified the fee
category applicable to the request,
(B) If a requester has not stated a willingness to pay fees as
high as anticipated by the Department or
(C) If a fee waiver request is denied and the requester has not
included an alternative statement of willingness to pay fees as high
as anticipated by the Department.
(4) A request seeking a fee waiver shall, to the extent possible,
address why the requester believes that the criteria for fee waivers
set out in Sec. 2.21 are met.
(5) To ensure expeditious handling, requests should be
prominently marked, both the envelope and on the face of the request,
with the legend ``FREEDOM OF INFORMATION REQUEST.''
(c) Creation of records. A request may seek only records that are
in existence at the time the request is received. A request may not seek
records that come into existence after the date on which it is
received and may not require that new records be created in response to the
request by, for example, combining or compiling selected items from
manual files, preparing a new computer program, or calculating
proportions, percentages, frequency distributions, trends or
comparisons. In those instances where the Department determines that
creating a new record will be less burdensome than disclosing large
volumes of unassembled material, the Department may, in its
discretion, agree to creation of a new record as an alternative to disclosing
existing records.
Sec. 2.15 Preliminary processing of requests.
(a) Scope of requests. (1) Unless a request clearly specifies
otherwise, requests to field installations of a bureau may be
presumed to seek only records at that installation and requests to a bureau
head or bureau FOIA officer may be presumed to seek only records of that
bureau.
(2) If a request to a field installation of a bureau specifies that it
seeks records located at other installations of the same bureau,
the installation shall refer the request to the other installation(s) or
the bureau FOIA officer for appropriate processing. The time limit
provided in Sec. 2.17(a) does not start until the request is received at
the installation having the records or by the bureau FOIA officer.
(3) If a request to a bureau specifies that it seeks records of
another bureau, the bureau may return the request (or the relevant
portion thereof) to the requester with instructions as to how the
request may be resubmitted to the other bureau.
(b) Intradepartmental consultation and referral. (1) If a bureau
(other than the Office of Inspector General) receives a request for
records in its possession that originated with or are of substantial
concern to another bureau, it shall consult with that bureau before
deciding whether to release or withhold the records.
(2) As an alternative to consultation, a bureau may refer the request
(or the relevant protion thereof) to the bureau that
originated or is substantially concerned with the records. Such referrals shall
be made expeditiously and the requester shall be notified in writing
that a referral has been made. A referral under this paragraph does not
restart the time limit provided in Sec. 2.17.
(c) Records of other departments and agencies. (1) If a requested
record in the possession of the Department of the Interior originated
with another Federal department or agency, the request shall be
referred to that agency unless--
(i) The record is of primary interest to the Department,
(ii) The Department is in a better position than the originating
agency to assess whether the record is exempt from disclosure, or
(iii) The originating agency is not subject to the Act.
The Department has primary interest in a record if it was developed
or prepared pursuant to Department regulations, directives or request.
[[Page 12]]
(2) In accordance with Execuctive Order 12356, a request for
documents that were classified by another agency shall be referred to
that agency.
(d) Consultation with submitters of commercial and financial
information. (1) If a request seeks a record containing trade secrets
or commercial or financial information submitted by a person outside of
the Federal government, the bureau processing the request shall provide
the submitter with notice of the request whenever--
(i) The submitter has made a good faith designation of the
information as commercially or financially sensitive, or
(ii) The bureau has reason to believe that disclosure of the
information may result in commercial or financial injury to the
submitter.
Where notification of a voluminous number of submitters is required,
such notification may be accomplished by posting or publishing the
notice in a place reasonably calculated to accomplish notification.
(2) The notice to the submitter shall afford the submitter a
reasonable period within which to provide a detailed statement of any
objection to disclosure. The submitter's statement shall explain the
basis on which the information is claimed to be exempt under the
FOIA, including a specification of any claim of competitive or other
business harm that would result from disclosure. The statement shall also
include a certification that the information is confidential, has not been
disclosed to the public by the submitter, and is not routinely
available to the public from other sources.
(3) If a submitter's statement cannot be obtained within the time
limit for processing the request under Sec. 2.17, the requester shall be
notified of the delay as provided in Sec. 2.17(f).
(4) Notification to a submitter is not required if:
(i) The bureau determines, prior to giving notice, that the
request for the record should be denied;
(ii) The information has previously been lawfully published or
officially made available to the public;
(iii) Disclosure is required by a statute (other than the FOIA)
or regulation (other than this subpart);
(iv) Disclosure is clearly prohibited by a statute, as described
in Sec. 2.13(c)(3);
(v) The information was not designated by the submitter as
confidential when it was submitted, or a reasonable time thereafter,
if the submitter was specifically afforded an opportunity to make such a
designation; however, a submitter will be notified of a request for
information that was not designated as confidential at the time of
submission, or a reasonable time thereafter, if there is substantial
reason to believe that disclosure of the information would result in
competitive harm.
(vi) The designation of confidentiality made by the submitter is
obviously frivolous; or
(vii) The information was submitted to the Department more than
10 years prior to the date of the request, unless the bureau has reason
to believe that it continues to be confidential.
(5) If a requester brings suit to compel disclosure of
information, the submitter of the information will be promptly notified.
Sec. 2.16 Action on initial requests.
(a) Authority. (1) Requests to field installations shall be
decided by the head of the installation or by such higher authority as the
head of the bureau may designate in writing.
( 2 ) Requests to the headquarters of a bureau shall be decided
only by the head of the bureau or an official whom the head of the bureau
has in writing designated.
(3) Requests to the Office of the Secretary may be decided by the
Director of Administrative Services, an Assistant Secretary or
Assistant Secretary's designee, and any official whom the Secretary has in
writing designated.
(4) A decision to withhold a requested record, to release a
record that is exempt from disclosure, or to deny a fee waiver shall be made
only after consultation with the office of the appropriate associate,
regional, or field solicitor.
(b) Form of grant. (1) When a requested record has been
determined to be available, the official processing the request shall notify the
requester as to when and where the record is available for inspection
or, as the case may be, [[Page 13]] when and how copies will be provided.
If fees are due, the official shall state the amount of fees due and
the procedures for payment, as described in Sec. 2.20.
(2) If a requested record (or portion thereof) is being made
available over the objections of a submitter made in accordance with
Sec. 2.15(d), both the requester and the submitter shall be notifiedof
the decision. The notice to the submitter (a copy of which shall be
made available to the requester) shall be forwarded a reasonable number of
days prior to the date on which disclosure is to be made and shall
include:
(i) A statement of the reasons why the submitter's objections
were
not sustained;
(ii) A specification of the portions of the record to be
disclosed,
if the submitter's objections were sustained in part ; and
(iii) A specified disclosure date.
(3) If a claim of confidentiality has been found frivolous in
accordance with Sec. 2.15(d)(4)(vi) and a determination is made
to release the information without consultation with the submitter, the
submitter of the information shall be notified of the decision and
the reasons therefor a reasonable number of days prior to the date on
which disclosure is to be made.
(c) Form of denial. (1) A decision withholding a requested record
shall be in writing and shall include:
(i) A reference to the specific exemption or exemptions
authorizing the withholding;
(ii) If neither a statute or an Executive order requires
withholding, the sound ground for withholding;
(iii) A listing of the names and titles or positions of each
person responsible for the denial; and
(iv) A statement that the denial may be appealed to the Assistant
Secretary--Policy, Budget and Administration and a description of the
procedures in Sec. 2.18 for appeal.
(2) A decision denying a request for failure to reasonably
describe requested records or for other procedural deficiency or because
requested records cannot be located shall be in writing and shall
include:
(i) A description of the basis of the decision;
(ii) A list of the names and titles or positions of each person
responsible; and
(iii) A statement that the matter may be appealed to the
Assistant Secretary--Policy, Budget and Administration and a description of the
procedures in Sec. 2.18 for appeal.
Sec. 2.17 Time limits for processing initial requests.
(a) Basic limit. Requests for records shall be processed
promptly. A determination whether to grant or deny a request shall be made within
no more than 10 working days after receipt of a request. This
determination shall be communicated immediately to the requester.
(b) Running of basic time limit. (1) The 10 working day time
limit begins to run when a request meeting the requirements of
Sec. 2.14(b) is received at a field installation or bureau headquarters designated in
Sec. 2.14(a) to receive the request.
(2) The running of the basic time limit may be delayed or tolled as explained in
Sec. 2.20 (f), (g) and (h) if a requester--
(i) Has not stated a willingnes to pay fees as high as are
anticipated and has not sought and been granted a full fee waiver, or
(ii) Has not made a required advance payment.
(c) Extensions of time. In the following unusual circumstances,
the time limit for acting on an initial request may be extended to the
extent reasonably necessary to the proper processing of the request,
but in no case may the time limit be extended for more than 10 working
days:
(1) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
installation processing the request;
(2) The need to search for, collect, and appropriately examine a voluminous
amount of separate and distinct records demanded in a
single request; or
(3) The need for consultation, which shall be conducted with all
practicable speed, with another agency having a substantial interest
in the determination of the request or among two or [[Page 14]]
more components of the Department having substantial subject-matter
interest therein.
(d) Notice of extension. A requester shall be notified in writing
of an extension under paragraph (c) of this section. The notice shall
state the reason for the extension and the date on which a determination on
the request is expected to be made.
(e) Treatment of delay as denial. If no determination has been
reached at the end of the 10 working day period for deciding an
initial request, or an extension thereof under paragraph (c) of this section,
the requester may deem the request denied and may exercise a right of
appeal in accordance with Sec. 2.18.
(f) Notice of delay. When a determination cannot be reached
within the time limit, or extension thereof, the requester shall be notified
of the reason for the delay, of the date on which a determination may be
expected, and of the right to treat the delay as a denial for
purposes of appeal to the Assistant Secretary--Policy, Budget and
Administration, including a description of the procedures for filing an appeal in
Sec. 2.18.
Sec. 2.18 Appeals.
(a) Right of appeal. A requester may appeal to the Assistant
Secretary--Policy, Budget and Administration when--
(1) Records have been withheld,
(2) A request has been denied for failure to describe requested records or
for other procedural deficiency or because requested
records cannot be located,
(3) A fee waiver has been denied, or
(4) A request has not been decided within the time limits
provided in Sec. 2.17.
(b) Time for appeal. An appeal must be received no later than 20
working days after the date of the initial denial, in the case of a
denial of an entire request, or 20 working days after records have been
made available, in the case of a partial denial.
(c) Form of appeal. (1) An appeal shall be initiated by filing a
written notice of appeal. The notice shall be accompanied by copies
of the original request and the initial denial and should, in order to
expedite the appellate process and give the requester an opportunity
to present his or her arguments, contain a brief statement of the
reasons why the requester believes the initial denial to have been in error.
(2) The appeal shall be addressed to the Freedom of Information Act Appeals Officer,
Office of the Assistant Secretary--Policy, Budget
and Administration, U.S. Department of the Interior, Washington, DC
20240.
(3) To expedite processing, both the envelope containing a notice
of appeal and the face of the notice should bear the legend ``FREEDOM OF INFORMATION APPEAL.''
Sec. 2.19 Action on appeals.
(a) Authority. Appeals shall be decided by the Assistant
Secretary--
Policy, Budget and Administration, or the Assistant Secretary's
designee, after consultation with the Solicitor, the Director of
Public Affairs and the appropriate program Assistant Secretary.
(b) Time limit. A final determination shall be made within 20
working days after receipt of an appeal meeting the requirements of
Sec. 2.18(c).
(c) Extensions of time. (1) If the time limit for responding to
the initial request for a record was not extended under the provisions of
Sec. 2.17(c) or was extended for fewer than 10 working days, the time for
processing of the appeal may be extended to the extent reasonably
necessary to the proper processing of the appeal, but in no event may
the extension, when taken together with any extension made during
processing of the initial request, result in an aggregate extension
with respect to any one request of more than 10 working days. The time for
processing of an appeal may be extended only if one or more of the
unusual circumstances listed in Sec. 2.17(c) requires an extension.
(2) The appellant shall be advised in writing of the reasons for the
extension and the date on which a final determination on the appeal
is expected to be dispatched.
(3) If no determination on the appeal has been reached at the end
of the 20 working day period, or the extension thereof, the requester is
deemed to have exhausted his administrative remedies, giving rise to
a right of review in a district court of the United States, as
specified in 5 U.S.C. 552(a)(4).
[[Page 15]] When no determination can be reached within the applicable time
limit, the appeal will nevertheless continue to be processed. On expiration of
the time limit, the requester shall be informed of the reason for the delay, of
the date on which a determination may be reached to be dispatched and of the
right to seek judicial review. (d) Form of decision. (1) The final determination
on an appeal shall be in writing and shall state the basis for the
determination. If the determination is to release the requested records or
portions thereof, the Assistant Secretary--Policy, Budget and Administration
shall immediately make the records available or instruct the appropriate bureau
to make them immediately available. If the determination upholds in whole or
part the initial denial of a request for records, the determination shall advise
the requester of the right to obtain judicial review in the U.S. District Court
for the district in which the withheld records are located, or in which the
requester resides or has his or her principal place of business or in the U.S.
District Court for the District of Columbia, and shall set forth the names and
titles or positions of each person responsible for the denial. ( 2 ) If a
requested record (or portion thereof) is being made available over the
objections of a submitter made in accordance with Sec. 2.15(d), the submitter
shall be provided notice as described in Sec. 2.16(b)( 2 ). Sec.
2.20 Fees. (a) Policy. (1) Unless waived pursuant to the provisions of Sec.
2.21, fees for responding to FOIA requests shall be charged in accordance with
the provisions of this section and the schedule of charges contained in Appendix
A to this part . (2) Fees shall not be charged if the total amount chargeable
does not exceed $15.00. (3) Where there is a reasonable basis to conclude that a
requester or group of requesters acting in concert has divided a request into a
series of requests on a single subject or related subjects to avoid assessment
of fees, the requests may be aggregated and fees charged accordingly. (b)
Commercial use requests. (1) A requester seeking records for commercial use
shall be charged fees for costs incurred in document search, duplication and
review. (2) A commercial use requester may not be charged fees for time spent
resolving legal and policy issues affecting access to requested records. (3) A
commercial use request is a request from or on behalf of a person who seeks
information for a use or purpose that further the commercial, trade or profit
interests of the requester or the person on whose behalf the request is made.
The intended use of records may be determined on the basis of information
submitted by a requester and from reasonable inferences based on the identity of
the requester and any other available information. (c) Educational and
noncommercial scientific institution requests. (1) A requester seeking records
under the auspices of an educational institution in furtherance of scholarly
research or a noncommercial scientific institution in furtherance of scientific
research shall be 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) shall be provided without charge. (2) Such requesters may not be
charged fees for costs incurred in-- (i) Searching for requested records, (ii)
Examining requested records to determine whether they are exempt from mandatory
disclosure, (iii) Deleting reasonably segregable exempt matter, (iv) Monitoring
the requesters' inspection of agency records, or (v) Resolving legal and policy
issues affecting access to requested records. (3) An ``educational institution''
is a preschool, a public or private elementary or secondary school, an
institution of graduate higher education, an institution of undergraduate higher
education, an institution of professional education, or an institution of
vocational education, which operates a program or programs of scholarly
research. (4) A ``noncommercial scientific institution'' is an institution that
is not operated for commerce, trade or profit [[Page 16]] 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. (d) News media
requests. (1) A representative of the new media shall be 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) shall be provided without
charge. (2) Representatives of the news media may not be charged fees for costs
incurred in-- (i) Searching for requested records, (ii) Examining requested
records to determine whether they are exempt from mandatory disclosure, (iii)
Deleting reasonably segregable exempt matter, (iv) Monitoring the requester's
inspection of agency records, or (v) Resolving legal and policy issues affecting
access to requested records. (3)(i) A ``representative of the news media'' is
any person actively gathering news for an entity that is organized and operated
to publish or broadcast news to the public. The term ``news'' means information
that is about current events or that is (or would be) of current interest to the
public. Examples of news media entities include, but are not limited to,
television or radio stations broadcasting to the public at large, and publishers
of periodicals (but only in those instances when they can qualify as
disseminators of ``news'') who make their products available for purchase or
subscription by the general public. As traditional methods of news delivery
evolve (e.g., electronic dissemination of newspapers through telecommunications
services), such alternative media would be included in this category. (ii)
Free-lance journalists may be considered ``representatives of the news media''
if they 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. (e)
Other requests. (1) A requester not covered by paragraphs (b), (c) or (d) of
this section shall be charged fees for document search and duplication, except
that the first two hours of search time and the first 100 pages of paper copies
(or the equivalent cost thereof if the records are in some other form) shall be
provided without charge. (2) Such requesters may not be charged for costs
incurred in-- (i) Examining requested records to determine whether they are
exempt from disclosure, (ii) Deleting reasonably segregable exempt matter, (iii)
Monitoring the requester's inspection of agency records, or (iv) Resolving legal
and policy issues affecting access to requested records. (f) Requests for
clarification. Where a request does not provide sufficient information to
determine whether it is covered by paragraph (b), (c), (d) or (e) of this
section, the requester should be asked to provide additional clarification. If
it is necessary to seek such clarification, the request may be deemed to have
not been received for purposes of the time limits established in Sec. 2.17 until
the clarification is received. Requests to requesters for clarification shall be
made promptly. (g) Notice of anticipated fees. Where a request does not state a
willingness to pay fees as high as anticipated by the Department, and the
requester has not sought and been granted a full waiver of fees under Sec. 2.21,
the request may be deemed to have not been received for purposes of the time
limits established in Sec. 2.17 until the requester has been notified of and
agrees to pay the anticipated fee. Advice to requesters with respect to
anticipated fees shall be provided promptly. (h) Advance payment. (1) Where it
is anticipated that allowable fees are likely to exceed $250.00 and the
requester does not have a history of prompt payment of FOIA fees, the requester
may be required to make an advance payment of the entire fee before processing
of his or her request. (2) Where a requester has previously failed to pay a fee
within 30 calendar days of the date of billing, processing of any new request
from that requester shall ordinarily be suspended until the [[Page 17]]
requester pays any amount still owed, including applicable interest, and makes
advance payment of allowable fees anticipated in connection with the new
request. (3) Advance payment of fees may not be required except as described in
paragraphs (h) (1) and ( 2 ) of this section. (4) Issuance of a notice requiring
payment of overdue fees or advance payment shall toll the time limit in Sec.
2.17 until receipt of payment. (i) Form of payment. Payment of fees should be
made by check or money order 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. (j) Billing procedures. A bill
for collection, Form DI-1040, shall be prepared for each request that requires
collection of fees. The requester shall be provided the first sheet of the
DI-1040. This Accounting Copy of the Form shall be transmitted to the agency's
finance office for entry into accounts receivable records. Upon receipt of
payment from the requester, the recipient shall forward the payment along with a
copy of the DI-1040 to the finance office. (k) Collection of fees. The bill for
collection or an accompanying letter to the requester shall include a statement
that interest will be charged in accordance with the Debt Collection Act of
1982, 31 U.S.C. 3717, and implementing regulations, 4 CFR 102.13, if the fees
are not paid within 30 calendar days of the date of the bill for collection is
mailed or hand-delivered to the requester. This requirement does not apply if
the requester is a unit of state or local government. Other authorities of the
Debt Collection Act of 1982 shall be used, as appropriate, to collect the fees
(see 4 CFR parts 101-105). Sec. 2.21 Waiver of fees. (a) Statutory fee
waiver. (1) Documents shall be furnished without charge or at a charge reduced
below the fees chargeable under Sec. 2.20 and appendix A to this part if
disclosure of the information is in the public interest because it-- (i) Is
likely to contribute significantly to public understanding of the operations or
activities of the government and (ii) Is not primarily in the commercial
interest of the requester. (2) Factors to be considered in determining whether
disclosure of information ``is likely to contribute significantly to public
understanding of the operations or activities of the government'' are the
following: (i) Does the record concern the operations or activities of the
government? Records concern the operations or activities of the government if
they relate to or will illuminate the manner in which the Department or a bureau
is carrying out identifiable operations or activities or the manner in which an
operation or activity affects the public. The connection between the records and
the operations and activities to which they are said to relate should be clear
and direct, not remote and attenuated. Records developed outside of the
government and submitted to or obtained by the Department may relate to the
operations and activities of the government if they are informative on how an
agency is carrying out its regulatory, enforcement, procurement or other
activities that involve private entities. (ii) If a record concerns the
operations or activities of the government, is its disclosure likely to
contribute to public understanding of these operations and activities? The
likelihood of a contribution to public understanding will depend on
consideration of the content of the record, the identity of the requester, and
the interrelationship between the two. Is there a logical connection between the
content of the requested record and the operations or activities in which the
requester is interested? Are the disclosable contents of the record meaningfully
informative on the operations or activities? Is the focus of the requester on
contribution to public understanding, rather than on the individual
understanding of the requester or a narrow segment of interested persons? Does
the requester have expertise in the subject area and the ability and intention
to disseminate [[Page 18]] the information to the general public or otherwise
use the information in a manner that will contribute to public understanding of
government operations or activities? Is the requested information sought by the
requester because it may be informative on government operations or activities
or because of the intrinsic value of the information independent of the light
that it may shed on government operations or activities? (iii) If there is
likely to be a contribution to public understanding, will that contribution be
significant? A contribution to public understanding will be significant if the
information disclosed is new, clearly supports public oversight of Department
operations, including the quality of Department activities and the effect of
policy and regulations on public health and safety, or otherwise confirms or
clarifies data on past or present operations of the Department. A contribution
will not be significant if disclosure will not have a positive impact on the
level of public understanding of the operations or activities involved that
existed prior to the disclosure. In particular, a significant contribution is
not likely to arise from disclosure of information already in the public domain
because it has, for example, previously been published or is routinely available
to the general public in a public reading room. (3) Factors to be considered in
determining whether disclosure ``is primarily in the commercial interest of the
requester'' are the following: (i) Does the requester have a commercial interest
that would be furthered by the requested disclosure? A commercial interest is a
commercial, trade or profit interest as these terms are commonly understood. An
entity's status is not determinative. Not only profit- making corporations, but
also individuals or other organizations, may have a commercial interest to be
served by disclosure, depending on the circumstances involved. (ii) If the
requester has a commercial interest, will disclosure be primarily in that
interest? The requester's commercial interest is the primary interest if the
magnitude of that interest is greater than the public interest to be served by
disclosure. Where a requester is a representative of a news media organization
seeking information as part of the news gathering process, it may be presumed
that the public interest outweighs the organization's commercial interest. (4)
Notice of denial. If a requested statutory fee waiver or reduction is denied,
the requester shall be notified in writing. The notice shall include: (i) A
statement of the basis on which the waiver or reduction has been denied. (ii) A
listing of the names and titles or positions of each person responsible for the
denial. (iii) A statement that the denial may be appealed to the Assistant
Secretary--Policy, Budget and Administration and a description of the procedures
in Sec. 2.18 for appeal. (b) Discretionary waivers. Fees otherwise chargeable
may be waived at the discretion of a bureau if a request involves: (1)
Furnishing unauthenticated copies of documents reproduced for gratuitous
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 non-profit organizations
having an official voluntary or cooperative relationship with the Department to
assist the individual or organization in its work with the Department; (6)
Furnishing records to state, local and foreign governments, public international
organizations, and Indian tribes, when to do so without charge is an appropriate
courtesy, or when the recipient is carrying on a function related to that of the
Department and to do so will help to accomplish the work of the Department; (7)
Furnishing a record when to do so saves costs and yields income equal to the
direct cost of providing the records [[Page 19]] (e.g., where the Department's
fee for the service would be included in a billing against the Department); (8)
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); (9) Furnishing one copy of a record
in order to assist the requester to obtain financial benefits to which he or she
is entitled (e.g., veterans or their dependents, employees with Government
employee compensation claims or persons insured by the Government). Sec. 2.22
Special rules governing certain information concerning coal obtained under the
Mineral Leasing Act. (a) Definitions. As used in the section: (1) Act means the
Mineral Leasing Act of February 25, 1920, as amended by the Act of August 4,
1976, Pub. L. 94-377, 90 Stat. 1083 (30 U.S.C. 181 et seq.), and the Mineral
Leasing Act for Acquired Lands, as amended (30 U.S.C. 351 et seq.) (2)
Exploration license means a license issued by the Secretary of the Interior to
conduct coal exploration operations on land subject to the Act pursuant to the
authority in section 2 (b) of the Act, as amended (30 U.S.C. 201(b)). (3)
Fair-market value of coal to be leased means the minimum amount of a bid the
Secretary has determined he is willing to accept in leasing coal within leasing
tracts offered in general lease sales or reserved and offered for lease to
public bodies, including Federal agencies, rural electric cooperatives, or
non-profit corporations, controlled by any of such entities pursuant to section
2 (a) of the Act (30 U.S.C. 201(a)(1)). (4) Information means data, statistics,
samples and other facts, whether analyzed or processed or not, pertaining to
Federal coal resources, which fit within an exemption to the Freedom of
Information Act, 5 U.S.C. 552(b). (b) Applicability. This section applies to the
following categories of information: (1) Category A. Information provided to or
obtained by a bureau under section 2 (b)(3) of the Act from the holder of an
exploration license; (2) Category B. Information acquired from commercial or
other sources under service contract with Geological Survey pursuant to section
8A(b) of the Act, and information developed by the Geological Survey under an
exploratory program authorized by section 8A of the Act; (3) Category C.
Information obtained from commercial sources which the commercial source
acquired while not under contract with the United States Government; (4)
Category D. Information provided to the Secretary by a federal department or
agency pursuant to section 8A(e) of the Act; 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 shall 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 shall not be withheld from the public; it
will be made available by means of and at the time of open filing or publication
by Geological Survey. (3) Category C--Information. Category C information shall
not be made available to the public until after the areas to which the
information pertains have been leased by the Department. (4) Category
D--Information. Category D information shall be made available to the public
under the terms and conditions to which, at the time he or she acquired it, the
head of the department or agency from whom the Secretary later obtained the
information agreed. (5) Category E--Information. Category E information shall
not be made public until the lands to which the information pertains have been
leased, or until the Secretary has determined that its [[Page 20]] release prior
to the issuance of a lease is in the public interest. Subpart
C--Declassification of Classified Documents Sec. 2.41 Declassification of
classified documents. (a) Request for classification review. (1) Requests for a
classification review of a document of the Department of the Interior pursuant
to section 5(c) of Executive Order 11652 (37 FR 5209, March 10, 1972) and
section III B of the National Security Council Directive Governing
Classification, Downgrading, Declassification and Safeguarding of National
Security Information (37 FR 10053, May 1972) shall be made in accordance with
the procedures established by this section. (2) Any person desiring a
classification review of a document of the Department of the Interior containing
information classified as National Security Information by reason of the
provisions of Executive Order 12065 (or any predecessor executive order) and
which is more than 10 years old, should address such request to the Chief,
Division of Enforcement and Security Management, Office of Administrative
Services, U.S. Department of the Interior, Washington, DC 20240. (3) Requests
need not be made on any special form, but shall, as specified in the executive
order, describe the document with sufficient particularity to enable
identification of the document requested with expenditure of no more than a
reasonable amount of effort. (4) Charges for locating and reproducing copies of
records will be made when deemed applicable in accordance with appendix A to
this part and the requester will be notified. (b) Action on requests for
classification review. (1) The Chief, Division of Enforcement and Security
Management, shall, unless the request is for a document over 30 years old,
assign the request to the bureau having custody of the requested records for
action. In the case of requests for declassification of records in the custody
of the Office of the Secretary and less than 30 years old, the request shall be
processed by the Chief, Division of Enforcement and Security Management.
Requests for declassification of documents over 30 years shall be referred
directly to the Archivist of the United States. The bureau which has been
assigned the request, or the Chief, Division of Enforcement and Security
Management, in the case of requests assigned to him, shall immediately
acknowledge the request in writing. Every effort will be made to complete action
on each request within thirty (30) days of its receipt. If action cannot be
completed within thirty (30) days, the requester shall be so advised. (2) If the
requester does not receive a decision on his request within sixty (60) days from
the date of receipt of his request, or from the date of his most recent response
to a request for more particulars, he may apply to the Department of the
Interior Oversight Committee for Security, U.S. Department of the Interior,
Washington, DC 20240, for a decision on his request. The Committee must render a
decision within thirty (30) days. (c) Form of decision and appeal to Oversight
Committee for Security. In the event that the bureau to which a request is
assigned or the Chief, Division of Enforcement and Security Management, in the
case of a request assigned to him, determines that the requested information
must remain classified by reason of the provisions of Executive Order 11652, the
requester shall be given prompt notification of that decision and, whenever
possible, shall be provided with a brief statement as to why the information or
material cannot be declassified. He shall also be advised that if he desires he
may appeal the determination to the Chairman, Department of the Interior
Oversight Committee for Security, U.S. Department of the Interior, Washington,
DC 20240. An appeal shall include a brief statement as to why the requester
disagrees with the decision which he is appealing. The Department Oversight
Committee for Security shall render its decision within thirty (30) days of
receipt of an appeal. The Departmental Committee shall be authorized to
over-rule previous determinations in whole or in part when, in its judgement,
continued protection is no longer required. (d) Appeal to Interagency
Classification Review Committee. Whenever the Department of the Interior
Oversight [[Page 21]] Committee for Security confirms a determination for
continued classification, it shall so notify the requester and advise him that
he is entitled to appeal the decision to the Interagency Classification Review
Committee established under section 8(A) of the Executive Order 11652. Such
appeals shall be addressed to the Interagency Classification Review Committee,
the Executive Office Building, Washington, DC 20500. (e) Suggestions and
complaints. Any person may also direct suggestions or complaints with respect to
the administration of the other provisions of Executive Order 11652 and the NSC
Directive by the Department of the Interior to the Department of the Interior
Oversight Committee for Security, U.S. Department of the Interior, Washington,
DC 20240. [40 FR 7305, Feb. 19, 1975, as amended at 47 FR 38327, Aug. 31, 1982]
Subpart D--Privacy Act Source: 40 FR 44505, Sept. 26, 1975, unless otherwise
noted. Sec. 2.45 Purpose and scope. This subpart contains the regulations of the
Department of the Interior implementing section 3 of the Privacy Act. Sections
2.47 through 2.57 describe the procedures and policies of the Department
concerning maintenance of records which are subject to the Act. Sections 2.60
through 2.66 describe the procedure under which individuals may determine
whether systems of records subject to the Act contain records relating to them
and the procedure under which they may seek access to existing records. Sections
2.70 through 2.77 describe the procedure under which individuals may petition
for amendment of records subject to the Act relating to them. Section 2.79 lists
records systems that have been exempted from certain requirements of the Act.
[48 FR 56583, Dec. 22, 1983] Sec. 2.46 Definitions. (a) Act. As used in this
subpart, ``Act'' means section 3 of the Privacy Act, 5 U.S.C. 552a. (b) Bureau.
For purposes of this subpart, a ``bureau'' is any constituent bureau or office
of the Department, including the Office of the Secretary and any other
Departmental office. (c) Individual. As used in this subpart, ``individual''
means a citizen of the United States or an alien lawfully admitted for permanent
residence. (d) Maintain. As used in this subpart, the term ``maintain'' includes
maintain, collect, use or disseminate. (e) Record. As used in this subpart,
``record'' means any item, collection, or grouping of information about an
individual that is maintained by the Department or a bureau thereof, including,
but not limited to, education, financial transactions, medical history, and
criminal or employment history and that contains the individual's name, or the
identifying number, symbol, or other identifying particular assigned to the
individual, such as a finger or voice print, or a photograph. (f) System of
records. As used in this subpart, ``System of records'' means a group of any
records under the control of the Department or a bureau thereof from which
information is retrieved by the name of the individual or by some identifying
number, symbol, or other identifying particular assigned to the individual. (g)
Medical records. As used in this subpart, ``medical records'' means records
which relate to the identification, prevention, cure or alleviation of any
disease, illness or injury including psychological disorders, alcoholism and
drug addiction. (h) Office of Personnel Management personnel records. As used in
the subpart, ``Office of Personnel Management personnel records'' means records
maintained for the Office of Personnel Management by the Department and used for
personnel management programs or processes such as staffing, employee
development, retirement, and grievances and appeals. (i) Statistical records. As
used in this subpart, ``statistical records'' means records in a system of
records maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an identifiable
individual. [[Page 22]] (j) Routine use. As used in this subpart, ``routine
use'' means a use of a record for a purpose which is compatible with the purpose
for which it was collected. (k) System notice. As used in this subpart, ``system
notice'' means the notice describing a system of records required by 5 U.S.C.
552a(e)(4) to be published in the Federal Register upon establishment or
revision of the system of records. (l) System manager. As used in this subpart,
``system manager'' means the official designated in a system notice as having
administrative responsibility for a system of records. (m) Departmental Privacy
Act Officer. As used in this subpart, ``Departmental Privacy Act Officer'' means
the official in the Office of the Assistant Secretary--Policy, Budget and
Administration charged with responsibility for assisting the Assistant
Secretary--Policy, Budget and Administration in carrying out the functions
assigned in this subpart and for coordinating the activities of the bureaus of
the Department in carrying out the functions which they are assigned in this
subpart. (n) Bureau Privacy Act Officer. As used in this subpart, ``Bureau
Privacy Act Officer'' means the official within each bureau assigned
responsibility for bureau implementation of the Act and the regulations of this
subpart. (o) Working day. As used in this subpart, ``working day'' means a
regular Federal work day. It does not include Saturdays, Sundays or public legal
holidays. [40 FR 44505, Sept. 26, 1975, as amended at 47 FR 38327, Aug. 31,
1982; 48 FR 56583, Dec. 22, 1983; 53 FR 3749, Feb. 9, 1988] Sec. 2.47 Records
subject to Privacy Act. The Privacy Act applies to all ``records,'' as that term
is defined in Sec. 2.46(e), which the Department maintains in a ``system of
records,'' as that term is defined in Sec. 2.46(f). Sec. 2.48 Standards for
maintenance of records subject to the Act. (a) Content of records. Records
subject to the Act shall contain only such information about an individual as is
relevant and necessary to accomplish a purpose of the agency required to be
accomplished by statute or Executive Order of the President. (b) Standards of
accuracy. Records subject to the Act which are used in making any determination
about any individual shall be maintained with such accuracy, relevance,
timeliness, and completeness as is reasonably necessary to assure fairness to
the individual in making the determination. (c) Collection of information. (1)
Information which may be used in making determinations about an individual's
rights, benefits, and privileges under Federal programs shall, to the greatest
extent practicable, be collected directly from that individual. (2) In deciding
whether collection of information from an individual, as opposed to a third
party source, is practicable, the following factors, among others, may be
considered: (i) Whether the nature of the information sought is such that it can
only be obtained from a third party; (ii) Whether the cost of collecting the
information from the individual is unreasonable when compared with the cost of
collecting it from a third party; (iii) Whether there is a risk that information
collected from third parties, if inaccurate, could result in an adverse
determination to the individual concerned; (iv) Whether the information, if
supplied by the individual, would have to be verified by a third party; or (v)
Whether provisions can be made for verification, by the individual, of
information collected from third parties. (d) Advice to individuals concerning
uses of information. (1) Each individual who is asked to supply information
about him or herself which will be added to a system of records shall be
informed of the basis for requesting the information, how it may be used, and
what the consequences, if any, are of not supplying the information. (2) At a
minimum, the notice to the individual must state: (i) The authority (whether
granted by statute or Executive Order of the President) which authorizes the
solicitation of the information and whether disclosure of such information is
mandatory or voluntary; [[Page 23]] (ii) The principal purpose or purposes for
which the information is intended to be used; (iii) The routine uses which may
be made of the information; and (iv) The effects on the individual, if any, of
not providing all or any part of the requested information. (3)(i) When
information is collected on a standard form, the notice to the individual shall
be provided on the form, on a tear-off sheet attached to the form, or on a
separate sheet, whichever is most practical. (ii) When information is collected
by an interviewer, the interviewer shall privide the individual with a written
notice which the individual may retain. If the interview is conducted by
telephone, however, the interviewer may summarize the notice for the individual
and need not provide a copy to the individual unless the individual requests a
copy. (iii) An individual may be asked to acknowledge, in writing, that the
notice required by this section has been provided. (e) Records concerning
activity protected by the First Amendment. No record may be maintained
describing how any individual exercises rights guaranteed by the First Amendment
to the Constitution unless the maintenance of the record is (1) expressly
authorized by statute or by the individual about whom the record is maintained
or ( 2 ) pertinent to and within the scope of an authorized law enforcement
activity. [40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56583, Dec. 22,
1983] Sec. 2.49 [Reserved] Sec. 2.50 Federal Register notices describing systems
of records. (a) The Privacy Act requires publication of a notice in the Federal
Register describing each system of records subject to the Act. Such notice will
be published prior to the establishment or a revision of the system of records.
5 U.S.C. 552a(e)(4). (b) Each bureau shall notify the Departmental Privacy Act
Officer promptly of any modifications or amendments which are required in the
then-current notice describing a system of records for which it is responsible.
(c) A bureau desiring to establish a new system of records or a new use for an
existing system of records shall notify the Departmental Privacy Act Officer, no
fewer than ninety (90) calendar days in advance. [48 FR 56583, Dec. 22, 1983]
Sec. 2.51 Assuring integrity of records. (a) Statutory requirement. The Privacy
Act requires that records subject to the Act be maintained with appropriate
administrative, technical and physical safeguards to insure the security and
confidentiality of records and to protect against any anticipated threats or
hazards to their security or integrity which could result in substantial harm,
embarassment, inconvenience, or unfairness to any individual on whom information
is maintained, 5 U.S.C. 552a(e)(10). (b) Records maintained in manual form. When
maintained in manual form, records subject to the Privacy Act shall be
maintained in a manner commensurate with the sensitivity of the information
contained in the system of records. The following minimum safeguards, or
safeguards affording comparable protection, are applicable to Privacy Act
systems of records containing sensitive information: (1) Areas in which the
records are maintained or regularly used shall be posted with an appropriate
warning stating that access to the records is limited to authorized persons. The
warning also shall summarize the requirements of Sec. 2.52 and state that the
Privacy Act contains a criminal penalty for the unauthorized disclosure of
records to which it applies. (2) During working hours, (i) the area in which the
records are maintained or regularly used shall be occupied by authorized
personnel or (ii) access to the records shall be restricted by their storage in
locked metal file cabinets or a locked room. (3) During non-working hours,
access to the records shall be restricted by their storage in locked metal file
cabinets or a locked room. (4) Where a locked room is the method of security
provided for a system, the bureau responsible for the system [[Page 24]] shall
supplement that security by (i) providing lockable file cabinets or containers
for the records or (ii) changing the lock or locks for the room so that they may
not be opened with a master key. For the purposes of this paragraph, a master
key is a key which may be used to open rooms other than the room containing
records subject to the Privacy Act, unless those rooms are utilized by officials
or employees authorized to have access to the records subject to the Privacy
Act. (c) Records maintained in computerized form. When maintained in
computerized form, records subject to the Privacy Act shall be maintained, at a
minimum, subject to safeguards based on those recommended in the National Bureau
of Standard's booklet ``Computer Security Guidelines for Implementing the
Privacy Act of 1974'' (May 30, 1975), and any supplements thereto, which are
adequate and appropriate to assuring the integrity of records in the system. (d)
Office of Personnel Management personnel records. A system of records made up of
Office of Personnel Management personnel records shall be maintained under the
security requirements set out in 5 CFR 293.106 and 293.107. (e) Bureau
responsibility. (1) The bureau responsible for a system of records shall be
responsible for assuring that specific procedures are developed to assure that
the records in the system are maintained with security meeting the requirements
of the Act and this section. (2) These procedures shall be in writing and shall
be posted or otherwise periodically brought to the attention of employees
working with the records contained in the system. [40 FR 44505, Sept. 26, 1975,
as amended at 48 FR 56583, Dec. 22, 1983] Sec. 2.52 Conduct of employees. (a)
Handling of records subject to the Act. Employees whose duties require handling
of records subject to the Privacy Act shall, at all times, take care to protect
the integrity, security and confidentiality of these records. (b) Disclosure of
records. No employee of the Department may disclose records subject to the
Privacy Act unless disclosure is permitted under Sec. 2.56 or is to the
individual to whom the record pertains. (c) Alteration of records. No employee
of the Department may alter or destroy a record subject to the Privacy Act
unless (1) such alteration or destruction is properly undertaken in the course
of the employee's regular duties or (2) such alteration or destruction is
required by a decision under Secs. 2.70 through 2.75 or the decision of a court
of competent jurisdiction. (d) Bureau responsibility. The bureau responsible for
a system of records shall be responsible for assuring that employees with access
to the system are made aware of the requirements of this section and of 5 U.S.C.
552a(i)(1), which imposes criminal penalties for knowingly and willfully
disclosing a record about an individual without the written request or consent
of that individual unless disclosure is permitted under one of the exceptions
listed in Sec. 2.56 (b) and (c). Sec. 2.53 Government contracts. (a) Required
contract provisions. When a contract provides for the operation by or on behalf
of the Department of a system of records to accomplish a Department function,
the contract shall, consistent with the Department's authority, cause the
requirements of 5 U.S.C. 552a and the regulations contained in this subpart to
be applied to such system. (b) System manager. The head of the bureau
responsible for the contract shall designate a regular employee of the bureau to
be the manager for a system of records operated by a contractor. Secs.
2.54--2.55 [Reserved] Sec. 2.56 Disclosure of records. (a) Prohibition of
disclosure. No record contained in a system of records may be disclosed by any
means of communication to any person, or to another agency, except pursuant to a
written request by, or with the prior written consent of, the individual to whom
the record pertains. (b) General exceptions. The prohibition contained in
paragraph (a) does not apply where disclosure of the record would be: [[Page
25]] (1) To those officers or employees of the Department who have a need for
the record in the performance of their duties; or (2) Required by the Freedom of
Information Act, 5 U.S.C. 552. (c) Specific exceptions. The prohibition
contained in paragraph (a) of this section does not apply where disclosure of
the record would be: (1) For a routine use as defined in Sec. 2.46(j) which has
been described in a system notice published in the Federal Register; (2) To the
Bureau of the Census for purposes of planning or carrying out a census or survey
or related activity pursuant to the provisions of Title 13, U.S. Code. (3) To a
recipient who has provided the system manager responsible for the system in
which the record is maintained with advance adequate written assurance that the
record will be used solely as a statistical research or reporting record, and
the record is to be transferred in a form that is not individually identifiable;
(4) To the National Archives and Records Administration as a record which has
sufficient historical or other value to warrant its continued preservation by
the U.S. Government, or for evaluation by the Archivist of the United States or
the designee of the Archivist to determine whether the record has such value;
(5) To another agency or to an instrumentality of any governmental jurisdiction
within or under the control of the United States for a civil or criminal law
enforcement activity if the activity is authorized by law, and if the head of
the agency or instrumentality has made a written request to the Department
specifying the particular portion desired and the law enforcement activity for
which the record is sought; (6) To a person pursuant to a showing of compelling
circumstances affecting the health or safety of an individual if upon such
disclosure notification is transmitted to the last known address of such
individual; (7) To either House of Congress, or, to the extent of matter within
its jurisdiction, any committee or subcommittee thereof, any joint committee of
Congress or subcommittee of any such joint committee; (8) To the Comptroller
General, or any of his authorized representatives, in the course of the
performance of the duties of the General Accounting Office; (9) Pursuant to the
order of a court of competent jurisdiction; or (10) To a consumer reporting
agency in accordance with section 3(d) of the Federal Claims Collection Act of
1966, as amended (31 U.S.C. 3711(f)). (d) Reviewing records prior to disclosure.
(1) Prior to any disclosure of a record about an individual, unless disclosure
is required by the Freedom of Information Act, reasonable efforts shall be made
to assure that the records are accurate, complete, timely and relevant for
agency purposes. (2) When a record is disclosed in connection with a Freedom of
Information request made under subpart B of this part and it is appropriate and
administratively feasible to do so, the requester shall be informed of any
information known to the Department indicating that the record may not be fully
accurate, complete, or timely. [40 FR 44505, Sept. 26, 1975, as amended at 48 FR
56584, Dec. 22, 1983; 50 FR 45114, Oct. 30, 1985] Sec. 2.57 Accounting for
disclosures. (a) Maintenance of an accounting. (1) Where a record is disclosed
to any person, or to another agency, under any of the specific exceptions
provided by Sec. 2.56 (c), an accounting shall be made. (2) The accounting shall
record (i) the date, nature, and purpose of each disclosure of a record to any
person or to another agency and (ii) the name and address of the person or
agency to whom the disclosure was made. (3) Accountings prepared under this
section shall be maintained for at least five years or the life of the record,
whichever is longer, after the disclosure for which the accounting is made. (b)
Access to accountings. (1) Except for accountings of disclosures made under Sec.
2.56(c)(5), accountings of all disclosures of a record shall be made available
to the individual to whom the record relates at the individual's request. [[Page
26]] (2) An individual desiring access to an accounting of disclosures of a
record pertaining to the individual shall submit a request by following the
procedures of Sec. 2.63. (c) Notification of disclosure. When a record is
disclosed pursuant to Sec. 2.56(c)(9) as the result of the order of a court of
competent jurisdiction, reasonable efforts shall be made to notify the
individual to whom the record pertains as soon as the order becomes a matter of
public record. [40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56584, Dec. 22,
1983] Secs.2.58--2.59 [Reserved] Sec. 2.60 Request for notification of existence
of records: Submission. (a) Submission of requests. (1)(i) Individuals desiring
to determine under the Privacy Act whether a system of records contains records
pertaining to them shall address inquiries to the system manager having
responsibility for the system unless the system notice describing the system
prescribes or permits submission to some other official or officials. (ii) If a
system notice describing a system requires individuals to contact more than two
officials concerning the existence of records in the system, individuals
desiring to determine whether the system contains records pertaining to them may
contact the system manager for assistance in determining which official is most
likely to be in possession of records pertaining to those individuals. (2)
Individuals desiring to determine whether records pertaining to them are
maintained in two or more systems shall make a separate inquiry concerning each
system. (b) Form of request. (1) An inquiry to determine whether a system of
records contains records pertaining to an individual shall be in writing. (2) To
insure expeditious handling, the request shall be prominently marked, both on
the envelope and on the face of the request, with the legend ``PRIVACY ACT
INQUIRY.'' (3) The request shall state that the individual is seeking
information concerning records pertaining to him or herself and shall supply
such additional identifying information, if any, as is called for in the system
notice describing the system. (4) Individuals who have reason to believe that
information pertaining to them may be filed under a name other than the name
they are currently using (e.g., maiden name), shall include such information in
the request. [40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56584, Dec. 22,
1983] Sec. 2.61 Requests for notification of existence of records: Action on.
(a) Decisions on request. (1) Individuals inquiring to determine whether a
system of records contains records pertaining to them shall be promptly advised
whether the system contains records pertaining to them unless (i) the records
were compiled in reasonable anticipation of a civil action or proceeding or (ii)
the system of records is one which has been excepted from the notification
provisions of the Privacy Act by rulemaking ( Sec. 2.79). (2) If the records
were compiled in reasonable anticipation of a civil action or proceeding or the
system of records is one which has been excepted from the notification
provisions of the Privacy Act by rulemaking, the individuals will be promptly
notified that they are not entitled to notification of whether the system
contains records pertaining to them. (b) Authority to deny requests. A decision
to deny a request for notification of the existence of records shall be made by
the system manager responsible for the system of records concerning which
inquiry has been made and shall be concurred in by the bureau Privacy Act
officer for the bureau which maintains the system, provided, however that the
head of a bureau may, in writing, require (1) that the decision be made by the
bureau Privacy Act officer and/or ( 2 ) that the bureau head's own concurrence
in the decision be obtained. (c) Form of decision. (1) No particular form is
required for a decision informing individuals whether a system of records
contains records pertaining to them. (2) A decision declining to inform an
individual whether or not a system of records contains records pertaining to
[[Page 27]] him or her shall be in writing and shall: (i) State the basis for
denial of the request. (ii) Advise the individual that an appeal of the
declination may be made to the Assistant Secretary--Policy, Budget and
Administration pursuant to Sec. 2.65 by writing to the Privacy Act Officer,
Office of the Assistant Secretary--Policy, Budget and Administration, U.S.
Department of the Interior, Washington, DC 20240. (iii) State that the appeal
must be received by the foregoing official within twenty (20) working days of
the date of the decision. (3) If the decision declining a request for
notification of the existence of records involves Department employee records
which fall under the jurisdiction of the Office of Personnel Management, the
individual shall be informed in a written response which shall: (i) State the
reasons for the denial. (ii) Include the name, position title, and address of
the official responsible for the denial. (iii) Advise the individual that an
appeal of the declination may be made only to the Assistant Director for
Workforce Information, Personnel Systems Oversight Group, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415. (4) Copies of decisions
declining a request for notification of the existence of records made pursuant
to paragraphs (c)(2) and (c)(3) of this section shall be provided to the
Departmental and Bureau Privacy Act Officers. [48 FR 56584, Dec. 22, 1983, as
amended at 53 FR 3749, Feb. 9, 1988] Sec. 2.62 Requests for access to records.
The Privacy Act permits individuals, upon request, to gain access to their
records or to any information pertaining to them which is contained in a system
and to review the records and have a copy made of all or any portion thereof in
a form comprehensive to them. 5 U.S.C. 552a(d)(1). A request for access shall be
submitted in accordance with the procedures in this subpart. [48 FR 56584, Dec.
22, 1983] Sec. 2.63 Requests for access to records: Submission. (a) Submission
of requests. (1)(i) Requests for access to records shall be submitted to the
system manager having responsibility for the system in which the records are
maintained unless the system notice describing the system prescribes or permits
submission to some other official or officials. (ii) If a system notice
describing a system requires individuals to contact more than two officials
concerning access to records in the system, individuals desiring to request
access to records pertaining to them may contact the system manager for
assistance in determining which official is most likely to be in custody of
records pertaining to that individual. (2) Individuals desiring access to
records maintained in two or more separate systems shall submit a separate
request for access to the records in each system. (b) Form of request. (1) A
request for access to records subject to the Privacy Act shall be in writing.
(2) To insure expeditious handling, the request shall be prominently marked,
both on the envelope and on the face of the request, with the legend ``PRIVACY
ACT REQUEST FOR ACCESS.'' (3) Requesters shall specify whether they seek all of
the records contained in the system which relate to them or only some portion
thereof. If only a portion of the records which relate to the individual are
sought, the request shall reasonably describe the specific record or records
sought. (4) If the requester seeks to have copies of the requested records made,
the request shall state the maximum amount of copying fees which the requester
is willing to pay. A request which does not state the amount of fees the
requester is willing to pay will be treated as a request to inspect the
requested records. Requesters are further notified that under Sec. 2.64(d) the
failure to state willingness to pay fees as high as are anticipated by the
Department will delay processing of a request. (5) The request shall supply such
identifying information, if any, as is [[Page 28]] called for in the system
notice describing the system. (6) Requests failing to meet the requirements of
this paragraph shall be returned to the requester with a written notice advising
the requester of the deficiency in the request. [40 FR 44505, Sept. 26, 1975, as
amended at 48 FR 56585, Dec. 22, 1983] Sec. 2.64 Requests for access to records:
Initial decision. (a) Decisions on requests. A request made under this subpart
for access to a record shall be granted promptly unless (1) the record was
compiled in reasonable anticipation of a civil action or proceeding or (2) the
record is contained in a system of records which has been excepted from the
access provisions of the Privacy Act by rulemaking (Sec. 2.79). (b) Authority to
deny requests. A decision to deny a request for access under this subpart shall
be made by the system manager responsible for the system of records in which the
requested record is located and shall be concurred in by the bureau Privacy Act
officer for the bureau which maintains the system, provided, however, that the
head of a bureau may, in writing, require (1) that the decision be made by the
bureau Privacy Act officer and/or (2) that the bureau head's own concurrence in
the decision be obtained. (c) Form of decision. (1) No particular form is
required for a decision granting access to a record. The decision shall,
however, advise the individual requesting the record as to where and when the
record is available for inspection or, as the case may be, where and when copies
will be available. If fees are due under Sec. 2.64(d), the individual requesting
the record shall also be notified of the amount of fees due or, if the exact
amount has not been determined, the approximate amount of fees due. (2) A
decision denying a request for access, in whole or part , shall be in writing
and shall: (i) State the basis for denial of the request. (ii) Contain a
statement that the denial may be appealed to the Assistant Secretary--Policy,
Budget and Administration pursuant to Sec. 2.65 by writing to the Privacy Act
Officer, Office of the Assistant Secretary--Policy, Budget and Administration,
U.S. Department of the Interior, Washington, DC 20240. (iii) State that the
appeal must be received by the foregoing official within twenty (20) working
days of the date of the decision. (3) If the decision denying a request for
access involves Department employee records which fall under the jurisdiction of
the Office of Personnel Management, the individual shall be informed in a
written response which shall: (i) State the reasons for the denial. (ii) Include
the name, position title, and address of the official responsible for the
denial. (iii) Advise the individual that an appeal of the denial may be made
only to the Assistant Director for Workforce Information, Personnel Systems and
Oversight Group, Office of Personnel Management, 1900 E Street NW., Washington,
DC 20415. (4) Copies of decisions denying requests for access made pursuant to
paragraphs (c)(2) and (c)(3) of this section will be provided to the
Departmental and Bureau Privacy Act Officers. (d) Fees. (1) No fees may be
charged for the cost of searching for or reviewing a record in response to a
request made under Sec. 2.63. (2) Fees for copying a record in response to a
request made under Sec. 2.63 shall be charged in accordance with the schedule of
charges contained in Appendix A to this part, unless the official responsible
for processing the request determines that reduction or waiver of fees is
appropriate. (3) Where it is anticipated that fees chargeable in connection with
a request will exceed the amount the person submitting the request has indicated
a willingness to pay, the official processing the request shall notify the
requester and shall not complete processing of the request until the requester
has agreed, in writing, to pay fees as high as are anticipated. [40 FR 44505,
Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22, 1983; 53 FR 3749, Feb. 9,
1988] [[Page 29]] Sec. 2.65 Requests for notification of existence of records
and for access to records: Appeals. (a) Right of appeal. Except for appeals
pertaining to Office of Personnel Management records, individuals who have been
notified that they are not entitled to notification of whether a system of
records contains records pertaining to them or have been denied access, in whole
or part, to a requested record may appeal to the Assistant Secretary--Policy,
Budget and Administration. (b) Time for appeal. (1) An appeal must be received
by the Privacy Act Officer no later than twenty (20) working days after the date
of the initial decision on a request. (2) The Assistant Secretary--Policy,
Budget and Administration may, for good cause shown, extend the time for
submission of an appeal if a written request for additional time is received
within twenty (20) working days of the date of the initial decision on the
request. (c) Form of appeal. (1) An appeal shall be in writing and shall attach
copies of the initial request and the decision on the request. (2) The appeal
shall contain a brief statement of the reasons why the appellant believes the
decision on the initial request to have been in error. (3) The appeal shall be
addressed to Privacy Act Officer, Office of the Assistant Secretary--Policy,
Budget and Administration, U.S. Department of the Interior, Washington, DC
20240. (d) Action on appeals. (1) Appeals from decisions on initial requests
made pursuant to Secs. 2.61 and 2.63 shall be decided for the Department by the
Assistant Secretary--Policy, Budget and Administration or an official designated
by the Assistant Secretary after consultation with the Solicitor. (2) The
decision on an appeal shall be in writing and shall state the basis for the
decision. [40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22,
1983; 53 FR 3749, Feb. 9, 1988] Sec. 2.66 Requests for access to records:
Special situations. (a) Medical records. (1) Medical records shall be disclosed
to the individual to whom they pertain unless it is determined, in consultation
with a medical doctor, that disclosure should be made to a medical doctor of the
individual's choosing. (2) If it is determined that disclosure of medical
records directly to the individual to whom they pertain could have an adverse
effect on that individual, the individual may designate a medical doctor to
receive the records and the records will be disclosed to that doctor. (b)
Inspection in presence of third party. (1) Individuals wishing to inspect
records pertaining to them which have been opened for their inspection may,
during the inspection, be accompanied by a person of their own choosing. (2)
When such a procedure is deemed appropriate, individuals to whom the records
pertain may be required to furnish a written statement authorizing discussion of
their records in the accompanying person's presence. [40 FR 44505, Sept. 26,
1975, as amended at 48 FR 56585, Dec. 22, 1983] Secs. 2.67-- 2.69 [Reserved]
Sec. 2.70 Amendment of records. The Privacy Act permits individuals to request
amendment of records pertaining to them if they believe the records are not
accurate, relevant, timely or complete. 5 U.S.C. 552a(d)( 2 ). A request for
amendment of a record shall be submitted in accordance with the procedures in
this subpart. [48 FR 56585, Dec. 22, 1983] Sec. 2.71 Petitions for amendment:
Submission and form. (a) Submission of petitions for amendment. (1) A request
for amendment of a record shall be submitted to the system manager for the
system of records containing the record unless the system notice describing the
system prescribes or permits submission to a different official or officials. If
an individual wishes to request amendment of records located in more than one
system, a separate petition must be submitted to each system manager. (2) A
petition for amendment of a record may be submitted only if the individual
submitting the petition has previously requested and been granted [[Page 30]]
access to the record and has inspected or been given a copy of the record. (b)
Form of petition. (1) A petition for amendment shall be in writing and shall
specifically identify the record for which amendment is sought. (2) The petition
shall state, in detail, the reasons why the petitioner believes the record, or
the objectionable portion thereof, is not accurate, relevant, timely or
complete. Copies of documents or evidence relied upon in support of these
reasons shall be submitted with the petition. (3) The petition shall state,
specifically and in detail, the changes sought in the record. If the changes
involve rewriting the record or portions thereof or involve adding new language
to the record, the petition shall propose specific language to implement the
changes. [48 FR 56585, Dec. 22, 1983] Sec. 2.72 Petitions for amendment:
Processing and initial decision. (a) Decisions on petitions. In reviewing a
record in response to a petition for amendment, the accuracy, relevance,
timeliness and completeness of the record shall be assessed against the criteria
set out in Sec. 2.48. In addition, personnel records shall be assessed against
the criteria for determining record quality published in the Federal Personnel
Manual and the Departmental Manual addition thereto. (b) Authority to decide. An
initial decision on a petition for amendment may be made only by the system
manager responsible for the system of records containing the challenged record.
If the system manager declines to amend the record as requested, the bureau
Privacy Act officer for the bureau which maintains the system must concur in the
decision, provided, however, that the head of a bureau may, in writing, require
(1) that the decision be made by the bureau Privacy Act officer and/or (2) that
the bureau head's own concurrence in the decision be obtained. (c)
Acknowledgement of receipt. Unless processing of a petition is completed within
ten (10) working days, the receipt of the petition for amendment shall be
acknowledged in writing by the system manager to whom it is directed. (d)
Inadequate petitions. (1) If a petition does not meet the requirements of Sec.
2.71, the petitioner shall be so advised and shall be told what additional
information must be submitted to meet the requirements of Sec. 2.71. (2) If the
petitioner fails to submit the additional information within a reasonable time,
the petition may be rejected. The rejection shall be in writing and shall meet
the requirements of paragraph (e) of this section. (e) Form of decision. (1) A
decision on a petition for amendment shall be in writing and shall state
concisely the basis for the decision. (2) If the petition for amendment is
rejected, in whole or part , thepetitioner shall be informed in a written
response which shall: (i) State concisely the basis for the decision. (ii)
Advise the petitioner that the rejection may be appealed to the Assistant
Secretary--Policy, Budget and Administration by writing to the Privacy Act
Officer, Office of the Assistant Secretary--Policy, Budget and Administration,
U.S. Department of the Interior, Washington, DC 20240. (iii) State that the
appeal must be received by the foregoing official within twenty (20) working
days of the decision. (3) If the petition for amendment involves Department
employee records which fall under the jurisdiction of the Office of Personnel
Management and is rejected, in whole or part , the petitioner shall be informed
in a written response which shall: (i) State concisely the basis for the
decision. (ii) Advise the petitioner that an appeal of the rejection may be made
pursuant to 5 CFR 297.306 only to the Assistant Director for Workforce
Information, Personnel Systems and Oversight Group, Office of Personnel
Management, 1900 E Street NW., Washington, DC 20415. (4) Copies of rejections of
petitions for amendment made pursuant to paragraphs (e)(2) and (e)(3) of this
section will be provided to the Departmental and Bureau Privacy Act Officers.
(f) Implementation of initial decision. If a petition for amendment is accepted,
[[Page 31]] in whole or part , the bureau maintaining the record shall: (1)
Correct the record accordingly and, (2) Where an accounting of disclosures has
been made pursuant to Sec. 2.57, advise all previous recipients of the record
that the correction was made and the substance of the correction. [40 FR 44505,
Sept. 26, 1975, as amended at 48 FR 56585, Dec. 22, 1983; 53 FR 3750, Feb. 9,
1988]] Sec. 2.73 Petitions for amendments: Time limits for processing. (a)
Acknowledgement of receipt. The acknowledgement of receipt of a petition
required by Sec. 2.72(c) shall be dispatched not later than ten (10) working
days after receipt of the petition by the system manager responsible for the
system containing the challenged record, unless a decision on the petition has
been previously dispatched. (b) Decision on petition. A petition for amendment
shall be processed promptly. A determination whether to accept or reject the
petition for amendment shall be made within thirty (30) working days after
receipt of the petition by the system manager responsible for the system
containing the challenged record. (c) Suspension of time limit. The thirty (30)
day time limit for a decision on a petition shall be suspended if it is
necessary to notify the petitioner, pursuant to Sec. 2.72(d), that additional
information in support of the petition is required. Running of the thirty (30)
day time limit shall resume on receipt of the additional information by the
system manager responsible for the system containing the challenged record. (d)
Extensions of time. (1) The thirty (30) day time limit for a decision on a
petition may be extended if the official responsible for making a decision on
the petition determines that an extension is necessary for one of the following
reasons: (i) A decision on the petition requires analysis of voluminous record
or records; (ii) Some or all of the challenged records must be collected from
facilities other than the facility at which the official responsible for making
the decision is located. (iii) Some or all of the challenged records are of
concern to another bureau of the Department or another agency of the Federal
Government whose assistance and views are being sought in processing the
request. (2) If the official responsible for making a decision on the petition
determines that an extension is necessary, the official shall promptly inform
the petitioner of the extension and the date on which a decision is expected to
be dispatched. [40 FR 44505, Sept. 26, 1975, as amended at 48 FR 56586, Dec. 22,
1983; 53 FR 3750, Feb. 9, 1988] Sec. 2.74 Petitions for amendment: Appeals. (a)
Right of appeal. Except for appeals pertaining to Office of Personnel Management
records, where a petition for amendment has been rejected in whole or in part ,
the individual submitting the petition may appeal the denial to the Assistant
Secretary--Policy, Budget and Administration. (b) Time for appeal. (1) An appeal
must be received no later than twenty (20) working days after the date of the
decision on a petition. (2) The Assistant Secretary--Policy, Budget and
Administration may, for good cause shown, extend the time for submission of an
appeal if a written request for additional time is received within twenty (20)
working days of the date of the decision on a petition. (c) Form of appeal. (1)
An appeal shall be in writing and shall attach copies of the initial petition
and the decision on that petition. (2) The appeal shall contain a brief
statement of the reasons why the appellant believes the decision on the petition
to have been in error. (3) The appeal shall be addressed to Privacy Act Officer,
Office of the Assistant Secretary--Policy, Budget and Administration, U.S.
Department of the Interior, Washington, DC 20240. [40 FR 44505, Sept. 26, 1975,
as amended at 47 FR 38328, Aug. 31, 1982; 53 FR 3750, Feb. 9, 1988] Sec. 2.75
Petitions for amendment: Action on appeals. (a) Authority. Appeals from
decisions on initial petitions for amendment [[Page 32]] shall be decided for
the Department by the Assistant Secretary--Policy, Budget and Administration or
an official designated by the Assistant Secretary, after consultation with the
Solicitor. (b) Time limit. (1) A final determination on any appeal shall be made
within thirty (30) working days after receipt of the appeal. (2) The thirty (30)
day period for decision on an appeal may be extended, for good cause shown, by
the Secretary of the Interior. If the thirty (30) day period is extended, the
individual submitting the appeal shall be notified of the extension and of the
date on which a determination on the appeal is expected to be dispatched. (c)
Form of decision. (1) The final determination on an appeal shall be in writing
and shall state the basis for the determination. (2) If the determination
upholds, in whole or part , the initial decision rejecting the petition for
amendment, the determination shall also advise the individual submitting the
appeal: (i) Of his or her right to file a concise statement of the reasons for
disagreeing with the decision of the agency; (ii) Of the procedure established
by Sec. 2.77 for the filing of the statement of disagreement; (iii) That the
statement which is filed will be made available to anyone to whom the record is
subsequently disclosed together with, at the discretion of the Department, a
brief statement by the Department summarizing its reasons for refusing to amend
the record; (iv) That prior recipients of the challenged record will be provided
a copy of any statement of dispute to the extent that an accounting of
disclosure was maintained; and (v) Of his or her right to seek judicial review
of the Department's refusal to amend the record. (3) If the determination
reverses, in whole or in part , the initial decision rejecting the petition for
amendment, the system manager responsible for the system containing the
challenged record shall be directed to: (i) Amend the challenged record
accordingly; and (ii) If an accounting of disclosures has been made, advise all
previous recipients of the record of the amendment and its substance. [40 FR
44505, Sept. 26, 1975, as amended at 48 FR 56586, Dec. 22, 1983; 53 FR 3750,
Feb. 9, 1988] Sec. 2.76 [Reserved] Sec. 2.77 Statements of disagreement. (a)
Filing of statement. If the determination of the Assistant Secretary--Policy,
Budget and Administration under Sec. 2.75 rejects in whole or part , a petition
for amendment, the individual submitting the petition may file with the system
manager for the system containing the challenged record a concise written
statement setting forth the reasons for disagreement with the determination of
the Department. (b) Disclosure of statements. In any disclosure of a record
containing information about which an individual has filed a statement of
disagreement under this section which occurs after the filing of the statement,
the disputed portion of the record will be clearly noted and the recipient shall
be provided copies of the statement of disagreement. If appropriate, a concise
statement of the reasons of the Department for not making the requested
amendments may also be provided to the recipient. (c) Maintenance of statements.
System managers shall develop procedures to assure that statements of
disagreement filed with them shall be maintained in such a way as to assure
dissemination of the statements to recipients of the records to which the
statements pertain. [48 FR 56586, Dec. 22, 1983] Sec. 2.78 [Reserved] Sec. 2.79
Exemptions. (a) Criminal law enforcement records exempt under 5 U.S.C.
552a(j)(2). Pursuant to 5 U.S.C 552a(j)( 2 ) the following systems of records
have been exempted from all of the provisions of 5 U.S.C. 552a and the
regulations in the subpart except paragraphs (b), (c) (1) and (2), (e)(4) (A)
through (F), (e) (6), (7), (9), (10), and (11), and (i) of 5 U.S.C. 552a and the
portions of the regulations in this subpart implementing these paragraphs:
[[Page 33]] (1) Investigative Case File System, Interior/FWS-20. (2) Law
Enforcement Services System, Interior/BIA-18. (3) Law Enforcement Statistical
Reporting System, Interior/NPS-19. (4) Investigative Records, Interior/Office of
Inspector General-- 2. (b) Law enforcement records exempt under 5 U.S.C.
552a(k)( 2 ). Pursuant to 5 U.S.C. 552a(k)( 2 ), the following systems of
records have been exempted from paragraphs (c)(3), (d), (e)(1), (e)(4) (G), (H),
and (I), and (f) of 5 U.S.C. 552a and the provisions of the regulations in this
subpart implementing these paragraphs: (1) Investigative Records,
Interior/Office of Inspector General-- 2. (2) Permits System, Interior/FWS-21.
(3) Criminal Case Investigation System, Interior/BLM-18. (4) Civil Trespass Case
Investigations, Interior/BLM-19. (5) Employee Conduct Investigations,
Interior/BLM-20. (6)-(7) [Reserved] (8) Employee Financial Irregularities,
Interior/NPS-17. (9) Trespass Cases, Interior/Reclamation-37. (10) Litigation,
Appeal and Case Files System, Interior/Office of the Solicitor-1 to the extent
that it consists of investigatory material compiled for law enforcement
purposes. (11) Endangered Species Licenses System, Interior/FWS-19. (12)
Investigative Case File, Interior/ FWS-20. (13) Timber Cutting and Trespass
Claims Files, Interior/BIA-24. (c) Investigatory records exempt under 5 U.S.C.
552a(k)(5), the following systems of records have been exempted from subsections
(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I) and (f) of 5 U.S.C. 552a and the
provisions of the regulations in this subpart implementing these subsections:
(1) [Reserved] (2) National Research Council Grants Program, Interior/GS-9 (3)
Committee Management Files, Interior/Office of the Secretary-- 68. (5 U.S.C.
301, 552a and 5 U.S.C. app. sections 9(a)(1)(D) and 9(b); 5 U.S.C. 301, 552, and
552a; 31 U.S.C. 483a; and 43 U.S.C. 1460) [40 FR 44505, Sept. 26, 1975, as
amended at 40 FR 54790, Nov. 26, 1975; 47 FR 38328, Aug. 31, 1982; 48 FR 37412,
Aug. 18, 1983; 48 FR 56586, Dec. 22, 1983; 49 FR 6907, Feb. 24, 1984] Subpart
E--Compulsory Process and Testimony of Employees Sec. 2.80 Compulsory process.
(a) If the production of any record of the Department is sought by compulsory
process and if it is determined in accordance with the provisions of Sec. 2.13
that the record should not be disclosed, the person making such determination
shall immediately report the matter to the Solicitor. The person to whom the
compulsory process is directed shall appear in answer to the process and
respectfully decline to produce the record on the ground that the disclosure,
pending the receipt of instructions from the Secretary of the Interior, is
prohibited by the regulations in this subpart. (b) The solicitor of the
Department of the Interior is authorized to exercise all of the authority of the
Secretary of the Interior under this section. Sec. 2.82 Testimony of employees.
(a) An officer or employee of the Department shall not testify in any judicial
or administrative proceeding concerning matters related to the business of the
Government without the permission of the head of the bureau, or his designee, or
of the Secretary of the Interior, or his designee. If the head of a bureau or
his designee, concludes that permission should be withheld, he shall report the
matter immediately to the Solicitor for a determination, and the officer or
employee shall appear in answer to process and respectfully decline to testify,
pending the receipt of instructions from the Secretary, on the ground that
testimony is prohibited by the regulations in this part . Pending instructions
from the Secretary or his designee, an officer or employee in the [[Page 34]]
Office of the Secretary shall follow the same procedure. (b) Any person
(including a public agency) wishing an officer or employee of the Department to
testify in a judicial or administrative proceeding concerning a matter related
to the business of the Government may be required to submit a statement setting
forth the interest of the litigant and the information with respect to which the
testimony of the officer or employee of the Department is desired, before
permission to testify will be granted under this section. (c) The Solicitor of
the Department of the Interior is authorized to exercise all of the authority of
the Secretary of the Interior under this section. Appendix A
to Part 2 --Fees The following uniform fee schedule is applicable to all
constituent units of the Department. It states the fees to be charged to members
of the public for services performed in searching for, reviewing and duplicating
requested records in connection with FOIA requests made under subpart B of this
part and to services performed in making documents available for inspection and
copying under subpart A of this part. The duplicating fees stated in the
schedule are also applicable to duplicating of records in response to requests
made under the Privacy Act. The schedule also states the fee to be charged for
certification of documents. (1) Copies, basic fee. For copies of documents
reproduced on a standard office copying machine in sizes to 8 1/2" x 14", the
charge will be $0.13 per page. Examples: For one copy of a three-page document,
the fee would be $0.39. For two copies of a three-page document, the fee would
be $0.78. For one copy of a 60-page document, the fee would be $7.80. (2)
Copies, documents requiring special handling. For copies of documents which
require special handling because of their age, size, etc., cost will be based on
direct costs of reproducing the materials. (3)-(4) [Reserved] (5) Searches. For
each quarter hour, or portion thereof, spent by clerical personnel in manual
searches to locate requested records: $ 2.30. For each quarter hour, or portion
thereof, spent by professional or managerial personnel in manual searches to
locate requested records because the search cannot be performed by clerical
personnel: $4.65. Search time for which fees may be charged includes all time
spent looking for material that is responsive to a request, including
line-by-line or page-by-page search to determine whether a record is responsive,
even if the search fails to locate records or the records located are determined
to be exempt from disclosure. Searches will be conducted in the most efficient
and least expensive manner, so as to minimize costs for both the agency and the
requester. Line-by-line or page-by-page identification should not be necessary
if it is clear on the face of a document that it is covered by a request. (6)
Review of records. For each quarter hour, or portion thereof, spent by clerical
personnel in reviewing records: $ 2.30. For each quarter hour, or portion
thereof, spent by professional or managerial personnel in reviewing records:
$4.65. Review is the examination of documents located in response to a
commercial use request to determine whether any portion of any document located
is permitted to be withheld and the subsequent processing of documents for
disclosure by excising exempt material or otherwise preparing them for release.
Review does not include time spent in resolving general legal or policy issues
regarding the application of exemptions. (7) [Reserved] (8) Certification. For
each certificate of verification attached to authenticated copies of records
furnished to the public the charge will be $0.25. (9) [Reserved] (10)
Computerized records. Charges for services in processing requests for records
maintained in computerized form will be calculated in accordance with the
following criteria: (a) Costs for processing a data request will be calculated
using the same standard direct costs charged to other users of the facility,
andor as specified in the user's manual or handbook published by the computer
center in which the work will be performed. (b) An itemized listing of
operations required to process the job will be prepared (i.e., time for central
processing unit, input/output, remote terminal, storage, plotters, printing,
tape/disc mounting, etc.) with related associated costs applicable to each
operation. (c) Material costs (i.e., paper, disks, tape, etc.) will be
calculated using the latest acquisition price paid by the facility. (d) ADP
facility managers must assure that all cost estimates are accurate, and if
challenged, be prepared to substantiate that the rates are not higher than those
charged to other users of the facility for similar work. Upon request, itemized
listings of operations and associated costs for processing the job may be
furnished to members of the public. (e) Requesters entitled to two hours of free
search time under 43 CFR 2.20(e) shall not be charged for that portion of a
computer search that equals two hours of the salary of the operator performing
the search. [[Page 35]] (11) Postage/mailing costs. Mailing charges may be added
for services (such as express mail) that exceed the cost of first class postage.
(12)-(13) [Reserved] (14) Other services. When a response to a request requires
services or materials other than those described in this schedule, the direct
cost of such services or materials to the Government may be charged, but only if
the requester has been notified of such cost before it is incurred. (15)
Effective date. This schedule applies to all requestes made under the Freedom of
Information Act and Privacy Act after December 30, 1987. [52 FR 45592, Nov. 30,
1987] Appendix B to Part 2 -Bureaus and Offices of the Department of the
Interior 1. Bureaus and Offices of the Department of the Interior. (The address
for all bureaus and offices, unless otherwise indicated, is U.S. Department of
the Interior, Washington, DC 20240.) Secretary of the Interior, Office of the
Secretary Office of Administrtative Services (for Office of the Secretary
components) Assistant Secretary, Territorial and International Affairs
Commissioner, Bureau of Indian Affairs Director, U.S. Fish and Wildlife Service
Director, National Park Service, P.O. Box 37127, Washington, DC, 20013-7127
Commissioner, Bureau of Reclamation Director, Bureau of Land Management
Director, Minerals Management Service Director, Bureau of Mines, Columbia Plaza,
2401 E Street NW., Washington, DC 20241 Director, Geological Survey, The
National Center, Reston, VA 22092 Director, Office of Surface Mining Reclamation
and Enforcement Director, Office of Hearings and Appeals, 4015 Wilson Blvd.,
Arlington, VA 22203 Inspector General, Office of Inspector General Solicitor,
Office of the Solicitor 2. Freedom of Information Officers of the Department of
the Interior. (The address for all Freedom of Information Officers, unless
otherwise indicated, is U.S. Department of the Interior, Washington, DC 20240.)
Director, Office of Administrative Services (for Office of the Secretary
components), U.S. Department of the Interior Director, Office of Administration,
Bureau of Indian Affairs Freedom of Information Act Officer, Bureau of Land
Management Assistant Director, Finance and Management, Bureau of Mines, Columbia
Plaza, 2401 E Street NW., Washington, DC 20241 Freedom of Information Act
Officer, Bureau of Reclamation Chief, Division of Media Information, National
Park Service Chief, Regulatory Development and Issues Management, Office of
Surface Mining Reclamation and Enforcement Chief, Directives Management Branch,
Policy and Directives Management, U.S. Fish and Wildlife Service, Chief,
Paperwork Management Unit, U.S. Geological Survey, The National Center, Reston,
VA 22092 Freedom of Information Act Officer, Minerals Management Service, 12203
Sunrise Valley Drive, Reston, VA 22091 Information Officer, Office of Inspector
General 3. Office of Hearings and Appeals--Field Offices: Administrative Law
Judge, 710 Locust St., Federal Building, Suite 116, Knoxville, TN 37902
Administrative Law Judges, 6432 Federal Bldg., Salt Lake City, UT 84138
Administrative Law Judge, 2901 N. Central Ave., Suite 955, Phoenix, AZ
85012-2739 Administrative Law Judge, 2020 Hurley Way, Suite 150, Sacramento, CA
95825 Administrative Law Judges, Bishop Henry Whipple Federal Building, 1
Federal Drive, rooms 674 and 688, Fort Snelling, MN 55111 Administrative Law
Judge, 1700 Louisiana N.E., Suite 220, Albuquerque, NM 87110 Administrative Law
Judge, 215 Dean A. McGee Ave., room 507, Oklahoma City, OK 73102 Administrative
Law Judge (Indian Probate), Federal Bldg. & Courthouse, 515 9th St., Suite 201,
Rapid City, SD 57701 Administrative Law Judge (Indian Probate), Federal Bldg. &
Courthouse, Rm. 3329, 316 N. 26th St., Billings, MT 59101 4. Office of the
Solicitor--Field Offices. Regional Solicitors Regional Solicitor, U.S.
Department of the Interior, 701 C Street, Anchorage, AK 99513 Regional
Solicitor, U.S. Department of the Interior, Room E-2753, 2800 Cottage Way,
Sacramento, CA 95825 Regional Solicitor, U.S. Department of the Interior, P.O.
Box 25007, Denver Federal Center, Denver, CO 80225 Regional Solicitor, U.S.
Department of the Interior, Richard B. Russell Federal Building, 75 Spring
Street, SW., Suite 1328, Atlanta, GA 30303 Regional Solicitor, U.S. Department
of the Interior, Suite 612, One Gateway Center, Newton Corner, MA 02158 Regional
Solicitor, U.S. Department of the Interior, Room 3068, Page Belcher Federal
Building, 333 West 4th Street, Tulsa, OK 74103 [[Page 36]] Regional Solicitor,
U.S. Department of the Interior, Lloyd 500 Building, Suite 607, 500 N.E.
Multnomah, Portland, OR 97232 Regional Solicitor, U.S. Department of the
Interior, Suite 6201, Federal Building, 125 South State Street, Salt Lake City,
UT 84138 Field Solicitors Field Solicitor, U.S. Department of the Interior,
Suite 150, 505 North Second St., Phoenix, AZ 85004 Field Solicitor, U.S.
Department of the Interior, P.O. Box M, Window Rock, AZ 86515 Field Solicitor,
U.S. Department of the Interior, Box 36064, 450 Golden Gate Avenue, Room 14126,
San Francisco, CA 94102 Field Solicitor, U.S. Department of the Interior, Box
020, Federal Building, U.S. Courthouse, 550 West Fort Street, Boise, ID 83724
Field Solicitor, U.S. Department of the Interior, 686 Federal Building, Twin
Cities, MN 55111 Field Solicitor, U.S. Department of the Interior, Room 5431,
Federal Building, 316 N. 26th Street, Billings, MT 59101 Field Solicitor, U.S.
Department of the Interior, P.O. Box 1042, Santa Fe, NM 87504 Field Solicitor,
U.S. Department of the Interior, Osage Agency, Grandview Avenue, Pawhuska, OK
74056 Field Solicitor, U.S. Department of the Interior, Suite 502J, U.S. Post
Office and Courthouse, Pittsburgh, PA 15219 Field Solicitor, U.S. Department of
the Interior, P.O. Box 15006, Knoxville, TN 37901 Field Solicitor, U.S.
Department of the Interior, 1100 South Fillmore, Amarillo, TX 79101 Field
Solicitor, U.S. Department of the Interior, 603 Morris Street, 2nd Floor,
Charleston, WV 25301. [52 FR 45593, Nov. 30, 1987, as amended at 53 FR 16128,
May 5, 1988; 58 FR 48973, Sept. 21, 1993]


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