97-26065. Information and Requests  

  • [Federal Register Volume 62, Number 191 (Thursday, October 2, 1997)]
    [Proposed Rules]
    [Pages 51610-51614]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 97-26065]
    
    
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    Proposed Rules
                                                    Federal Register
    ________________________________________________________________________
    
    This section of the FEDERAL REGISTER contains notices to the public of 
    the proposed issuance of rules and regulations. The purpose of these 
    notices is to give interested persons an opportunity to participate in 
    the rule making prior to the adoption of the final rules.
    
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    Federal Register / Vol. 62, No. 191 / Thursday, October 2, 1997 / 
    Proposed Rules
    
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    DEPARTMENT OF ENERGY
    
    Federal Energy Regulatory Commission
    
    18 CFR Part 388
    
    [Docket No. RM97-8-000]
    
    
    Information and Requests
    
    September 25, 1997.
    AGENCY: Federal Energy Regulatory Commission, DOE.
    
    ACTION: Notice of proposed rulemaking.
    
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    SUMMARY: The Federal Energy Regulatory Commission (Commission) proposes 
    to amend its regulations governing information and requests to reflect 
    the requirements and specifications of the Electronic Freedom of 
    Information Act Amendments of 1996. The Commission also proposes to 
    correct minor editorial inconsistencies in its regulations.
    
    DATES: Written comments must be received by the Commission by November 
    3, 1997.
    
    ADDRESSES: Office of the Secretary, Federal Energy Regulatory 
    Commission, 888 First Street, N.E., Washington, DC 20426.
    
    FOR FURTHER INFORMATION CONTACT: Charles A. Beamon, Office of the 
    General Counsel, Federal Energy Regulatory Commission, 888 First 
    Street, N.E., Washington, DC 20426, (202) 208-0780.
    
    SUPPLEMENTARY INFORMATION: In addition to publishing the full text of 
    this document in the Federal Register, the Commission also provides all 
    interested persons an opportunity to inspect or copy the contents of 
    this document during normal business hours in the Public Reference Room 
    at 888 First Street, N.E., Washington, D.C. 20426.
        The Commission Issuance Posting System (CIPS), an electronic 
    bulletin board service, provides access to the texts of formal 
    documents issued by the Commission. CIPS is available at no charge to 
    the user and may be accessed using a personal computer with a modem by 
    dialing 202-208-1397 if dialing locally or 1-800-856-3920 if dialing 
    long distance. To access CIPS, set your communications software to 
    19200, 14400, 12000, 9600, 7200, 4800, 2400, or 1200 bps, full duplex, 
    no parity, 8 data bits and 1 stop bit. The full text of this order will 
    be available on CIPS in ASCII and WordPerfect 6.1 format. CIPS user 
    assistance is available at 202-208-2474.
        CIPS is also available on the Internet. Telnet software is 
    required. To access CIPS via the Internet, point your browser to the 
    URL address: http://www.ferc.fed.us and select the Bulletin Board 
    System. Read instructions on the next page, select FedWorld Dialup/
    Telnet. A screen will appear presenting you with several options, 
    select option 1. There will be a welcome message from FedWorld and a 
    log on prompt. Enter your user ID and password (if you already have an 
    account). To establish an account, type the word NEW and answer the 
    questions which follow. Upon establishing an account, the FedWorld Main 
    Menu will appear. From the Main Menu, type /go ferc.
        Finally, the complete text on diskette in WordPerfect format may be 
    purchased from the Commission's copy contractor, La Dorn Systems 
    Corporation. La Dorn Systems Corporation is located in the Public 
    Reference Room at 888 First Street, N.E., Washington, D.C. 20426.
    
    I. Introduction
    
        This proposed rule amends 18 CFR part 388 to implement the 
    provisions of the Electronic Freedom of Information Act Amendments of 
    1996 (the Act).1 The Act amended the Freedom of Information 
    Act (FOIA) 2 by imposing a number of new requirements 
    governing the public availability of information, including electronic 
    information. The proposed rule also clarifies minor discrepancies in 
    part 388.
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        \1\ Pub. L. No. 104-231, 110 Stat. 3048 (1996).
        \2\ 5 U.S.C. 552.
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    II. Background
    
        The underlying goal of the Act is to encourage the electronic 
    distribution of information.3 The Act expands FOIA's 
    definition of a record to include information maintained in electronic 
    format; requires agencies to accommodate requesters' reasonable format 
    preferences; and to conduct reasonable agency searches for electronic 
    records. It also provides for the electronic availability of all 
    ``public reading room'' materials created as of November 1, 
    1996.4
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        \3\ H.R. Rep. No. 104-795, at 11 (1996).
        \4\ Pub. L. No. 104-231, Secs. 3, 4 and 5, 110 Stat. 3048, 3049-
    50, 5 U.S.C. 552 (a)(2), (a)(3)(B), (a)(3)(C) and (f)(2), as 
    amended.
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        In addition, the Act requires an agency to place in its public 
    reading room certain documents that are subject to repeated requests. 
    Agencies must maintain a public index of such documents.5 
    The Act grants agencies 20 working days to process FOIA requests 
    instead of the current 10 days, allows extensions beyond the former 10-
    day deadline in limited circumstances, and expressly gives requesters 
    the opportunity to avoid extensions by limiting the scope of their 
    requests.6
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        \5\ Pub. L. No. 104-231, Sec. 4, 110 Stat. 3048, 3049, 5 U.S.C. 
    552(a)(2)(D) and (E), as amended.
        \6\ Pub. L. No. 104-231, Secs. 7 and 8, 110 Stat. 3048, 3050-52, 
    5 U.S.C. 552(a)(6)(A)(1) and (6)(B), as amended, effective October 
    2, 1997.
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        Moreover, the Act allows multitrack processing of FOIA requests. 
    Multitrack processing creates a fast track for requests capable of 
    resolution with a limited amount of time and effort, and slower tracks 
    for requests that demand a more intensive effort.7 In 
    addition to optional multitrack processing, the Act mandates expedited 
    treatment for requesters who (1) demonstrate an imminent threat to life 
    or safety, or (2) are engaged in disseminating information, and 
    demonstrate an urgency to inform the public concerning Federal 
    Government activity.8
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        \7\ Pub. L. No. 104-231, Sec. 7, 110 Stat. 3048, 3050-51, 5 
    U.S.C. 552(a)(6)(D), as amended, effective October 2, 1997.
        \8\ See Pub. L. No. 104-231, Sec. 8, 110 Stat. 3048, 3051-52, 5 
    U.S.C. 552(a)(6)(E), as amended, effective October 2, 1997; and H.R. 
    Rep., supra note 3, at 26.
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        The Act requires agencies to promulgate regulations to implement 
    expedited processing. This proposed rule responds to the Act's mandate 
    regarding expedited processing, and other changes wrought by the Act. 
    It also makes several minor grammatical and technical changes for the 
    sake of clarity.
    
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    III. Discussion
    
    Part 388--Information and Requests
    
    Authority
        The proposed rule revises the Authority for Part 388 to reflect 
    that the FOIA, 5 U.S.C. 552, should be cited ``as amended.''
    
    Sections 388.101-388.105
    
        No changes.
    
    Section 388.106
    
        This section is revised to expand the categories of information 
    that are available in the Commission's Public Reference Room, and to 
    inform the public of the electronic availability of information created 
    after November 1, 1996 (proposed para. (a)(2), and (b)). In addition to 
    making electronic records available, information will, of course, 
    continue to remain available through ``in person'' visits or written 
    requests.
        The new categories of information to be available are copies of 
    records released under FOIA that are likely to be requested again, an 
    index of such records, and reference materials and guides to further 
    enhance the public's access to Commission information. The proposed 
    definition of the term ``Commission correspondence'' is amended to 
    include information in electronic format, consistent with Commission 
    practice (proposed para. (c)(1)).
        The section is also revised to explicitly include statements of 
    policy and interpretations which have been adopted by the Commission 
    and are not published in the Federal Register; and administrative staff 
    manuals and instructions to staff that affect a member of the public 
    (proposed paras. (b)(19) and (b)(20)). These information categories 
    were required to be made available under FOIA even before the 1996 
    amendments.
    
    Section 388.107
    
        The proposed language corrects a typographical error. The term 
    ``natural defense'' in paragraph (a)(1) is changed to ``national 
    defense.''
    
    Section 388.108
    
        The proposed revisions to this section implement multitrack 
    processing, as allowed by the Act, and expedited processing, as 
    required by the Act. Multitrack processing establishes a fast track for 
    requests requiring a limited amount of time and effort, and slower 
    tracks for requests requiring a more intensive effort. The Commission 
    proposes to adopt a three part multitracking system that should 
    increase efficiency (proposed para. (b)(1)). Under the proposed 
    approach, the Director, Office of External Affairs, will place a newly 
    received request into one of three tracks for processing: track one--
    records that are readily identifiable and were previously cleared for 
    release (including those capable of multiple requests and placed in the 
    Public Reference Room); track two--records that are readily 
    identifiable, or are not voluminous, and require limited review; and 
    track three--complex and/or voluminous records requiring a significant 
    search and/or review.
        Although the Commission has sometimes employed multitracking in the 
    past, its regular use should be advantageous to the public and the 
    Commission as simple requests are sometimes backlogged because of 
    earlier-filed complex requests. The proposed rule specifies that each 
    track will be processed on a first in, first out basis. Requesters are 
    permitted to modify their requests to obtain processing on a faster 
    track.
        Pursuant to the Act, the proposed rule changes the time for 
    processing requests from 10 to 20 working days (proposed para. (c)(1)); 
    9 and clarifies the Commission's obligation to specify the 
    information that is denied under a request, including the volume of 
    withheld materials and the extent and location of redactions in 
    partially released materials (proposed para. (c)(3)).
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        \9\ This time limit does not apply to requests for expedited 
    processing, which are explained below.
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        The proposed rule makes expedited processing available where the 
    requester demonstrates a compelling need: (1) Due to an imminent threat 
    to an individual's life or physical safety, or (2) in the case of 
    requesters who are primarily engaged in disseminating information, 
    where the requester demonstrates an urgency to inform the public 
    concerning Federal Government activity (proposed para. (d)(1)). The 
    proposed rule emphasizes that a request for expedited processing must 
    be supported with credible documentation and a statement certified to 
    be true and correct (proposed para. (d)(2)). The proposed rule states 
    that only the compelling circumstances indicated will qualify a 
    requester for expedited processing. A denial of expedited processing 
    will be subject to appeal. Accordingly, the appeal procedure for denial 
    of records is amended to include denial of expedited treatment 
    (proposed para. (e)).
        For purposes of this proposed rule, a ``requester primarily engaged 
    in the dissemination of information'' does not include an individual or 
    organization engaged only incidentally in the dissemination of 
    information.10 The requester's main business must be the 
    dissemination of information.11 Thus, a bona fide member of 
    the news media would likely qualify. An organization that periodically 
    distributes information to its members would not likely qualify.
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        \10\ H.R. Rep., supra note 3, at 26.
        \11\ Id.
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        In addition to meeting the dissemination requirement, the requester 
    must credibly demonstrate that expedited processing is needed to avoid 
    a likely, significant adverse consequence to a recognized 
    interest.12 The public's right to know, standing alone, is 
    not sufficient to satisfy this standard.13
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        \12\ Id.
        \13\ Id.
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        Under the proposed rule, the Director, Office of External Affairs, 
    will rule on a request for expedited processing within 10 calendar days 
    from the date the request is received (proposed para. (d)(3)). A denial 
    of expedited processing will be explained, and the requester will be 
    provided notice of administrative appeal rights.
        Other proposed revisions to the section include a formal 
    codification of the Commission's practice of not processing a request 
    until after fee issues have been resolved, unless the requester has 
    provided a written statement agreeing to pay some or all applicable 
    fees pending the resolution of fee issues (proposed para. (a)(5)). The 
    purpose of this rule is to avoid an expenditure of Commission resources 
    to process a request before the requester has agreed to pay all 
    applicable processing fees. The proposed rule also makes minor 
    revisions in terminology in the interest of clarity.
    
    Section 388.109
    
        Paragraph (b)(2)(iii), as currently drafted, charges some non-
    commercial requesters for review time. The proposed revision to this 
    section deletes charges for review time from non-commercial requesters, 
    consistent with 5 U.S.C. Sec. 552(a)(4), the applicable Office of 
    Management and Budget's (OMB) Guidelines and Fee Schedule for FOIA, and 
    actual Commission practice. Similarly, proposed revisions to paragraph 
    (b)(2)(iv) remove ordinary postage fees, consistent with OMB guidelines 
    and Commission practice. Requesters remain responsible for special 
    delivery fees such as express mail provided in accordance with their 
    specifications.
        Paragraph (b)(2)(vii), as currently drafted, authorizes the 
    Commission to
    
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    aggregate multiple requests on related topics that are subdivided to 
    avoid an assessment of fees. As allowed by the Act, proposed paragraph 
    (b)(2)(vii) expands the instances where the Commission may aggregate 
    one or more requests for joint processing. The proposed language allows 
    aggregation anytime the Commission reasonably believes that such 
    multiple requests constitute a single request, and notes that 
    aggregated requests may qualify for an extension of time under 
    Sec. 388.110(b). The proposed revisions further clarify that the 
    Commission has no obligation to process a request under Sec. 388.108 
    where there is no assurance or agreement of payment.
    
    Section 388.110
    
        Pursuant to the Act, the proposed rule makes the administrative 
    appeal rights in paragraph (a)(1) applicable to a denial of expedited 
    processing. Proposed paragraph (a)(2) provides that such appeals will 
    be considered as expeditiously as possible within the 20 working day 
    period specified for appeals, and that a requester denied expedited 
    processing in an appeal will be notified of judicial review provisions.
        Proposed paragraph (b)(2) allows an extension of time not to exceed 
    10 working days beyond the standard deadlines for processing initial 
    requests and appeals, as permitted by the Act. As also provided by the 
    Act, the proposed rule specifies that an extension in excess of 10 
    working days may be available but only where the requester is given the 
    opportunity to limit the scope of the request to allow processing 
    within 20 working days, or to arrange an alternative time frame.
        Proposed paragraph (b)(3) specifies that requests aggregated under 
    Sec. 388.109(b)(2)(vii) qualify for an extension of time when they 
    satisfy the unusual circumstances specified in this section.
    
    Section 388.111
    
        No changes.
    
    Section 388.112
    
        The proposed language merely reflects a correction of typographical 
    errors. Paragraph (c)(1)'s references to paragraphs (b)(2) and (b)(3) 
    are corrected to (b)(1)(ii) and (b)(1)(iii), respectively.
    
    IV. Regulatory Flexibility Act Certification
    
        The Regulatory Flexibility Act of 1980 (RFA) 14 
    generally requires a description and analysis of rules that will have 
    significant economic impact on a substantial number of small entities. 
    Pursuant to section 605(b) of the RFA, the Commission hereby certifies 
    that this rule will not have a significant impact on a substantial 
    number of small entities. The proposed changes improve the public's 
    access to information, and impose additional obligations on the 
    Commission to ensure the availability of such information. By 
    comparison, the public's obligations would not significantly increase.
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        \14\ 5 U.S.C. 601-602.
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    V. Environmental Statement
    
        Issuance of this proposed rule would not represent a major federal 
    action having a significant adverse effect on the human environment 
    under the Commission regulations implementing the National 
    Environmental Policy Act.15 This proposed rule falls within 
    the regulatory exemption which specifies that information gathering, 
    analysis, and dissemination are not major federal actions that have a 
    significant effect on the human environment.16 Thus, neither 
    an environmental impact statement nor an environmental assessment is 
    required.
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        \15\ Order No. 486, 52 FR 47897 (Dec. 17, 1987); FERC Stats. & 
    Regs. Regs. (Preambles 1986-90) para. 30,783 (Dec. 10, 1987) 
    (codified at 18 CFR part 380).
        \16\ 18 CFR 380.4(a)(5).
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    VI. Information Collection Statement
    
        OMB regulations require that OMB approve certain information 
    collection requirements imposed by agency rule.17 This 
    proposed rule contains no information reporting requirements, and is 
    not subject to OMB approval.
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        \17\ 5 CFR part 1320.
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    VII. Written Comment Procedure
    
        The Commission invites interested persons to submit written 
    comments or other information concerning this proposed rulemaking. All 
    comments in response to this notice should be submitted to the Office 
    of the Secretary, Federal Energy Regulatory Commission, 888 First 
    Street, N.E., Washington, D.C. 20426, and should refer to Docket No. 
    RM97-8-000. An original and fourteen (14) copies of such comments 
    should be filed with the Commission on or before November 3, 1997.
    
    Lists of Subjects in 18 CFR Part 388
    
        Freedom of Information; Public Reference Materials.
    
        By direction of the Commission.
    Lois D. Cashell,
    Secretary.
    
        In consideration of the foregoing, the Commission proposes to amend 
    Part 388, Chapter I, Title 18, Code of Federal Regulations, as set 
    forth below.
    
    PART 388--INFORMATION AND REQUESTS
    
        1. The authority citation for Part 388 is revised to read as 
    follows:
    
        Authority: 5 U.S.C. 301-305, 551, 552 (as amended), 553-557; 42 
    U.S.C. 7101-7352.
    
        2. In Sec. 388.106, paragraph (a) is redesignated as (a)(1); 
    paragraph (a)(2) is added; paragraph (b) introductory text is revised; 
    paragraph (b)(19) is redesignated as (b)(23); new paragraphs (b)(19) 
    through (b)(22) are added; and paragraph (c)(1) is revised to read as 
    follows:
    
    
    Sec. 388.106  Requests for Commission records available in the Public 
    Reference Room.
    
        (a)(1) * * *
        (2) Documents created on or after November 1, 1996, or earlier in 
    some instances, also are electronically available on the Commission's 
    World Wide Web site, www.ferc.fed.us; the Commission Issuance Posting 
    System (CIPS) (an electronic bulletin board); or the Records 
    Information Management Systems (RIMS). These may be accessed in person 
    using a personal computer in the Public Reference Room, or by using a 
    personal computer with a modem at a remote location.
        (b) The public records of the Commission that are available for 
    inspection and copying upon request in the Public Reference Room, or 
    are otherwise available under paragraph (a)(2) of this section, 
    include:
    * * * * *
        (19) Statements of policy and interpretations which have been 
    adopted by the Commission and are not published in the Federal 
    Register;
        (20) Administrative staff manuals and instructions to staff that 
    affect a member of the public;
        (21)(i) Copies of all records released under Sec. 388.108, which, 
    because of their nature and subject, the Director of the Office of 
    External Affairs has determined are likely to be requested again, and
        (ii) An index of the records so designated;
        (22) Reference materials and guides for requesting Commission 
    records as required by 5 U.S.C. 552(g), as amended; and
        (23) Commission correspondence relating to the foregoing.
        (c) * * *
        (1) Commission correspondence includes written communications and 
    enclosures, in hard copy or electronic format, received from others 
    outside the
    
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    staff and intended for the Commission or sent to others outside the 
    staff and signed by the Chairman, a Commissioner, the Secretary, the 
    Executive Director, or other authorized official, except those which 
    are personal.
    * * * * *
    
    
    Sec. 388.107  [Amended]
    
        3. In Sec. 388.107(a)(1), remove the word ``natural'' and add, in 
    its place, the word ``national.''
        4. In Sec. 388.108, paragraphs (a)(1) introductory text, 
    (a)(1)(iii) and (a)(2) through (a)(4) are revised; new paragraph (a)(5) 
    is added; paragraphs (b) and (c) are redesignated as (c) and (e) 
    respectively and revised, and new paragraphs (b) and (d) are added, to 
    read as follows:
    
    
    Sec. 388.108  Requests for Commission records not available through the 
    Public Reference Room (FOIA requests).
    
        (a)(1) Except as provided in paragraph (a)(2), of this section, a 
    person may request access to Commission records, including records 
    maintained in electronic format, that are not available through the 
    Public Reference Room, by using the following procedures:
    * * * * *
        (iii) The request must identify the fee category of the request, 
    consistent with the provisions of Sec. 388.109(b)(1) and (2).
        (2) A request that fails to provide the identification required in 
    paragraph (a)(1)(iii) of this section will not be processed until the 
    Director, Office of External Affairs, can ascertain the requester's fee 
    category.
        (3) A request for records received by the Commission not addressed 
    and marked as indicated in paragraph (a)(1)(i) of this section will be 
    so addressed and marked by Commission personnel as soon as it is 
    properly identified, and forwarded immediately to the Director, Office 
    of External Affairs.
        (4) Requests made pursuant to this section will be considered to be 
    received upon actual receipt by the Director, Office of External 
    Affairs, unless otherwise indicated in paragraph (a)(5) of this 
    section.
        (5) Except for the purpose of making a determination regarding 
    expedited processing under paragraph (d)(3) of this section, no request 
    will be deemed received while there is an unresolved fee waiver issue 
    under Sec. 388.109(b)(6), unless the requester has provided a written 
    statement agreeing to pay some or all fees pending the outcome of the 
    waiver question.
        (b)(1) Multitrack processing. Upon receipt of a request, the 
    Director, Office of External Affairs, will place the request in one of 
    three tracks for processing:
        (i) Track One--records that are readily identifiable and were 
    previously cleared for release (including those subject to multiple 
    requests and placed in the Public Reference Room);
        (ii) Track Two--records that are readily identifiable, and require 
    limited review; and
        (iii) Track Three--complex and/or voluminous records requiring a 
    significant search and/or review.
        (2) Each track specified in paragraph (b)(1) of this section will 
    be processed on a first in, first out basis, where practicable. A 
    requester may modify a request to obtain processing on a faster track.
        (c) (1) Timing of response. Except as provided in paragraphs (c)(4) 
    and (d)(3) of this section, within 20 working days after receipt of the 
    request for agency records, the Director, Office of External Affairs, 
    will comply with the request or deny the request in whole or in part, 
    and will notify the requester of the determination, of the reasons for 
    a decision to withhold any part of a requested document, and of the 
    right of the requester to appeal any adverse determination in writing 
    to the General Counsel or General Counsel's designee.
        (2) The Director, Office of External Affairs, will attempt to 
    provide records in the form or format requested, where feasible, but 
    will not provide more than one copy of any record to a requester.
        (3) Any determination by the Director, Office of External Affairs, 
    to withhold information will, where feasible, indicate the approximate 
    volume of information withheld, and will indicate, for partially-
    released materials, where redactions have been made, unless to do so 
    would harm an interest protected by a FOIA exemption.
        (4) The time limit for the initial determination required by 
    paragraph (c)(1) of this section may be extended as set forth in 
    Sec. 388.110(b).
        (d)(1) Expedited processing. A requester may seek expedited 
    processing on the basis of a compelling need. Expedited processing will 
    be granted if the requester demonstrates that:
        (i) Failure to obtain the records on an expedited basis can 
    reasonably be expected to pose an imminent threat to the life or 
    physical safety of an individual, or
        (ii) In the case of a requester primarily engaged in the 
    dissemination of information, there is an urgency to inform the public 
    concerning Federal Government activity.
        (2) A request for expedited processing under this section must be 
    supported with detailed credible documentation, including a statement 
    certified to be true and correct to the requester's best knowledge and 
    belief.
        (3) The Director, Office of External Affairs, will decide within 10 
    calendar days of receipt of the request whether it is eligible for 
    expedited processing. The Director will notify the requester of the 
    reasons for denial of expedited processing and of the right of the 
    requester to appeal to the General Counsel or General Counsel's 
    designee.
        (e) The procedure for appeal of denial of a request for Commission 
    records, or denial of a request for expedited processing, is set forth 
    in Sec. 388.110.
        5. In Sec. 388.109, the first sentence of paragraph (b)(2)(iii), 
    and paragraphs(b)(2)(iv), (b)(2)(vii), and (b)(5)(ii) are revised; 
    paragraph (b)(5)(iii) is removed; paragraph (b)(6) is redesignated as 
    paragraph (c) and revised, and paragraphs (b)(7) and (b)(8)(i) and (ii) 
    are redesignated as (d) and (e)(1) and (2) respectively, to read as 
    follows:
    
    
    Sec. 388.109  Fees for records requests.
    
    * * * * *
        (b) * * *
        (2) * * *
        (iii) For a request not described in paragraphs (b)(2)(i) or (ii) 
    of this section the Commission will charge the employee's hourly pay 
    rate plus 16 percent for benefits for document search time and 15 cents 
    per page for duplication. * * *
        (iv) The Director, Office of External Affairs, will normally 
    provide documents by regular mail, with postage prepaid by the 
    Commission. However, the requester may authorize special delivery, such 
    as express mail, at the requester's own expense.
    * * * * *
        (vii) Requesters may not file multiple requests at the same time, 
    each seeking portions of a document or documents, solely in order to 
    avoid payment of fees. When the Commission reasonably believes that a 
    requester, or a group of requesters acting in concert, is attempting to 
    break a request down into a series of requests for the purpose of 
    evading assessment of fees, or otherwise reasonably believes that two 
    or more requests constitute a single request, the Commission may 
    aggregate any such requests and charge the requester accordingly. The 
    Commission will not aggregate multiple requests on unrelated subjects 
    from a requester. Aggregated requests may qualify for an extension of 
    time under Sec. 388.110(b).
    * * * * *
    
    [[Page 51614]]
    
        (5) * * *
        (ii) A requester has previously failed to pay a fee charged in a 
    timely fashion. The Commission will require the requester to pay the 
    full amount owed plus any applicable interest, and to make an advance 
    payment of the full amount of the estimated fee before the Commission 
    will begin to process a new request or a pending request from that 
    requester. When the Commission requires advance payment or an agreement 
    to pay under this paragraph, or under Sec. 388.108(a)(5), the 
    administrative time limits prescribed in this part will begin only 
    after the Commission has received the required payments, or agreements.
        (c) Fee reduction or waiver. (1) Any fee described in this section 
    may be reduced or waived if the requester demonstrates that disclosure 
    of the information sought is:
        (i) In the public interest because it is likely to contribute 
    significantly to public understanding of the operations or activities 
    of the government, and
        (ii) Not primarily in the commercial interest of the requester.
        (2) The Commission will consider the following criteria to 
    determine the public interest standard:
        (i) Whether the subject of the requested records concerns the 
    operations or activities of the government;
        (ii) Whether the disclosure is likely to contribute to an 
    understanding of government operations or activities;
        (iii) Whether disclosure of the requested information will 
    contribute to public understanding; and
        (iv) Whether the disclosure is likely to contribute significantly 
    to public understanding of government operations or facilities.
        (3) The Commission will consider the following criteria to 
    determine the commercial interest of the requester:
        (i) Whether the requester has a commercial interest that would be 
    furthered by the requested disclosure; and, if so
        (ii) Whether the magnitude of the identified commercial interest of 
    the requester is sufficiently large, in comparison with the public 
    interest in disclosure, that disclosure is primarily in the commercial 
    interest of the requester.
        (4) This request for fee reduction or waiver must accompany the 
    initial request for records and will be decided under the same 
    procedures used for record requests.
    * * * * *
        6. In section 388.110 the section heading, the first sentence of 
    paragraph (a)(1), paragraph (a)(2), and paragraph (b) are revised to 
    read as follows:
    
    
    Sec. 388.110  Procedure for appeal of denial of requests for Commission 
    records not publicly available or not available through the Public 
    Reference Room, denial of requests for fee waiver or reduction, and 
    denial of requests for expedited processing.
    
        (a) (1) A person whose request for records, request for fee waiver 
    or reduction, or request for expedited processing is denied in whole or 
    part may appeal that determination to the General Counsel or General 
    Counsel's designee within 45 days of the determination. * * *
        (2) The General Counsel or the General Counsel's designee will make 
    a determination with respect to any appeal within 20 working days after 
    the receipt of such appeal. An appeal of the denial of expedited 
    processing will be considered as expeditiously as possible within the 
    20 working day period. If, on appeal, the denial of the request for 
    records, fee reduction, or expedited processing is upheld in whole or 
    in part, the General Counsel or the General Counsel's designee will 
    notify the person making the appeal of the provisions for judicial 
    review of that determination.
        (b)(1) Extension of time. In unusual circumstances, the time limits 
    prescribed for making the initial determination pursuant to 
    Sec. 388.108 and for deciding an appeal pursuant to this section may be 
    extended by up to 10 working days, by the Secretary, who will send 
    written notice to the requester setting forth the reasons for such 
    extension and the date on which a determination or appeal is expected 
    to be dispatched.
        (2) The extension permitted by paragraph (b)(1) of this section may 
    be made longer than 10 working days when the Commission notifies the 
    requester within the initial response time that the request cannot be 
    processed in the specified time, and the requester is provided an 
    opportunity to limit the scope of the request to allow processing 
    within 20 working days; or to arrange with the Commission an 
    alternative time frame.
        (3) Two or more requests aggregated into a single request under 
    Sec. 388.109(b)(2)(vii) may qualify for an extension of time if the 
    requests, as aggregated, otherwise satisfy the unusual circumstances 
    specified in this section.
        (4) Unusual circumstances means:
        (i) The need to search for and collect the requested records from 
    field facilities or other establishments that are separate from the 
    office processing the requests;
        (ii) The need to search for, collect, and appropriately examine a 
    voluminous amount of separate and distinct records which are demanded 
    in a single request; or
        (iii) The need for consultation, which will be conducted with all 
    practicable speed, with another agency having a substantial interest in 
    the determination of the request or among two or more components of the 
    agency having substantial subject-matter interest therein.
        7. In Sec. 388.112, paragraph(c)(1)(i)'s reference to ``paragraph 
    (b)(2)'' is revised to read ``paragraph (b)(1)(ii),'' and paragraph 
    (c)(1)(ii)'s reference to ``paragraph (b)(3)'' is revised to read 
    ``paragraph (b)(1)(iii).''
    
    [FR Doc. 97-26065 Filed 10-1-97; 8:45 am]
    BILLING CODE 6717-01-P
    
    
    

Document Information

Published:
10/02/1997
Department:
Federal Energy Regulatory Commission
Entry Type:
Proposed Rule
Action:
Notice of proposed rulemaking.
Document Number:
97-26065
Dates:
Written comments must be received by the Commission by November 3, 1997.
Pages:
51610-51614 (5 pages)
Docket Numbers:
Docket No. RM97-8-000
PDF File:
97-26065.pdf
CFR: (7)
18 CFR 388.110(b)
18 CFR 388.109(b)(2)(vii)
18 CFR 388.106
18 CFR 388.107
18 CFR 388.108
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