96-3801. Public Information, Freedom of Information and Privacy

[Federal Register Volume 61, Number 35 (Wednesday, February 21, 1996)]
[Proposed Rules]
[Pages 6585-6587]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-3801]



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DEPARTMENT OF COMMERCE

Office of the Secretary

15 CFR Parts 4, 4a, and 4b

[Docket No. 950929241-5241-01]
RIN 0605-XX02


Public Information, Freedom of Information and Privacy

AGENCY: Department of Commerce.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Department of Commerce proposes to amend its Freedom of 
Information Act and Privacy Act regulations to update and clarify them, 
and to make certain technical changes. The intent is to make them more 
helpful to the public.

DATES: Written comments must be received on or before March 22, 1996.

ADDRESSES: Address written comments to Andrew W. McCready, Attorney-
Advisor, Office of the Assistant General Counsel for Administration, 
Rm. H5876, 14th Street & Pennsylvania Avenue, NW, Washington, DC 20230.

FOR FURTHER INFORMATION CONTACT:
Andrew W. McCready, Telephone: [phone].

SUPPLEMENTARY INFORMATION: On March 4, 1995, as part of the President's 
Regulatory Reform Initiative, the President directed agencies to 
conduct a page-by-page review of all regulations and eliminate or 
revise those that are outdated or otherwise in need of reform. After 
conducting a review of the Department's Public Information, Freedom of 
Information and Privacy Act regulations, it was determined that the 
following amendments were necessary.
    The proposed amendment to 15 CFR part 4 changes the duplication fee 
for processing Freedom of Information Act (FOIA) requests to reflect 
increased costs to the Department, makes technical corrections, makes 
clear that records responsive to FOIA requests include electronic 
records, updates telephone numbers and addresses, replaces a list of 
officials authorized to make initial denials of FOIA requests with a 
statement that heads of offices are authorized to grant or deny initial 
FOIA requests, and makes clarifying changes.
    The proposed amendment to 15 CFR part 4a eliminates the requirement 
that the Department's Office of Security coordinate with the Office of 
the Assistant General Counsel for Administration with respect to 
declassification and FOIA matters, and changes the official responsible 
for adjudicating administrative appeals of denials of requests for 
classified information.
    The proposed amendment to 15 CFR part 4b expands the list of 
Privacy Act Officers, and changes the official responsible for 
adjudicating Privacy Act appeals of requests for access, correction, 
and amendment.
    It has been determined that this rule is not a significant rule 
under Executive Order 12866.
    This rule does not contain a ``collection of information'' as 
defined by the Paperwork Reduction Act.
    The Assistant General Counsel for Legislation and Regulation 
certified to the Chief Counsel for Advocacy of the Small Business 
Administration that this rule will not have a significant economic 
impact on a substantial number of small entities because the 
regulations are being updated and clarified, and certain technical 
changes are being made. The duplication fee is being changed to reflect 
increased costs to the Department. The overall intent is to make the 
regulations more helpful to the public.
    This rule does not contain policies with Federalism implications 
sufficient to warrant preparation of a Federalism assessment under 
Executive Order 12612.

List of Subjects

15 CFR Part 4

    Freedom of Information, Public information, Privacy.

15 CFR Part 4a

    Classified information, Freedom of information, Privacy.

15 CFR Part 4b

    Privacy.

    For the reasons set forth in the preamble, it is proposed that 15 
CFR parts 4, 4a, and 4b be amended as follows:

PART 4--PUBLIC INFORMATION

    1. The authority citation for part 4 continues to read as follows:

    Authority: 5 U.S.C. 301, 5 U.S.C. 552, 5 U.S.C. 553, 
Reorganization Plan No. 5 of 1950; 31 U.S.C. 3717.


Sec. 4.4  [Amended]

    2. In the first sentence of Sec. 4.4(c), remove ``H6628'' and add, 
in its place, ``H6020''; and in the last sentence of Sec. 4.4(c), 
remove ``[phone]'' and add, in its place, ``[phone]''.
    3. In the last line of Sec. 4.4(e), remove the word ``the'' and 
add, in its place, the word ``this''.


Sec. 4.6  [Amended]

    4. In the third sentence of Sec. 4.6(a)(4), remove the word 
``orginating'', and add, in its place, the word ``originating''.
    5. In the second sentence of Sec. 4.6(b)(3), remove the word 
``dilligence'' and add, in its place, the word ``diligence''.
    6. Section 4.6 is further amended by revising paragraphs (a)(3), 
(a)(6), (b)(5), introductory text, and (b)(5)(iv) and removing (b)(6) 
to read as follows:


Sec. 4.6  Initial determinations of availability of records.

    (a) * * *
    (3) Whether the records no longer exist, or are not in the unit's 
possession. The unit should, if it knows which unit of the Department 
may have the records, forward the request to it.
* * * * *
    (6) In determining records responsive to a request, a unit 
ordinarily shall include only those records, including electronic 
records, within a unit's possession and control as of the date of its 
receipt of the request.
* * * * *
    (b) * * *
    (5) The head of any bureau, office, or division, or his or her 
superiors, are authorized to grant or deny any request for a record of 
that bureau, office, or division.
* * * * *
    (iv) A brief statement of the right of the requester to appeal the 
determination to the Assistant General Counsel for Administration, or 
the General Counsel if the Assistant General Counsel for Administration 
is responsible for the determination, and the address to which the 
appeal should 

[[Page 6586]]
be sent, in accordance with Sec. 4.8 (a) and (b).
    7. Section 4.7(d)(1) is removed and paragraphs (d) (2) and (3) are 
redesignated as (d) (1) and (2) respectively, and the introductory text 
of newly redesignated (d)(1) is revised to read as follows:


Sec. 4.7  Predisclosure notification procedures for confidential 
commercial information.

* * * * *
    (d) * * *
    (1) The unit shall provide a submitter with notice of a request 
whenever:
* * * * *
    8. In Sec. 4.8, in paragraph (a) add a sentence after the first 
sentence, and in paragraph (b) remove ``5882'' and add in its place, 
``H5876'', to read as follows:


Sec. 4.8  Appeals from initial determinations or untimely delays.

    (a) * * * For purposes of this section, an appeal will be 
considered submitted as of the date of the postmark or proof of receipt 
by a private carrier or, if not mailed or entrusted to a private 
carrier, the date of actual receipt by the Office of General Counsel. * 
* *


Sec. 4.9  [Amended]

    9. In Sec. 4.9(b)(2)(iii)(A) remove ``$.07'' and add, in its place, 
``$.15''.
    10. Section 4.9 is further amended by removing the introductory 
paragraph of (d)(2), redesignating (d)(2)(i), (d)(2)(ii), and (d)(3) 
through (d)(7) as (d)(2) through (d)(8) respectively, and revising the 
newly designated (d)(2) and (d)(4), to read as follows:


Sec. 4.9  Fees.

* * * * *
    (d) * * *
    (2) When the estimated charges for processing a request under this 
part exceed $250, the Department may require the requester to make an 
advance payment of an amount up to the entire estimated charges before 
beginning to process the request, except when it receives a 
satisfactory assurance of full payment from a requester with a history 
of timely payment of FOIA fees (i.e., payment within 30 days of the 
date of the billing).
* * * * *
    (4) Whenever the Department acts pursuant to paragraphs (d)(2) or 
(d)(3) of this section, the administrative time limits prescribed in 5 
U.S.C. 552(a)(6) will begin only after the agency has received payment 
of the required fee.

Appendix A of Part 4--[Amended]

    11. Appendix A of Part 4 is amended by removing the final sentence 
of Sec. 5.04b of DAO 205-12, (``In addition, the Director of the Office 
of Public Affairs or his or her designee shall be informed before any 
decision on an appeal from an initial denial is issued.'')
    12. Appendix B of part 4 is revised to read:

Appendix B--Freedom of Information; Public Facilities and Addresses 
for Requests for Records

    The public reference facilities listed below have been 
established within the Department of Commerce for (a) Public 
inspection and copying of materials from various units within the 
Department under 5 U.S.C. 552(a)(2), or determined to be available 
for response to requests made under 5 U.S.C. 552(a)(3); (b) 
furnishing information and otherwise assisting the public concerning 
Department operations under the Freedom of Information Act; and (c) 
receipt and processing of requests for records under 5 U.S.C. 
552(a)(3).
    Unless otherwise noted, each address listed below is the 
respective unit's public inspection facility and mailing address for 
receipt and processing of requests for records under 5 U.S.C. 
552(a)(3), as described in the preceding paragraph. Requests should 
be addressed to the unit which the requester knows or has reason to 
believe has possession, control, or primary concern with the records 
sought. Otherwise, requests should be addressed to the Central 
Reference and Records Inspection Facility.
    (1) Department of Commerce Freedom of Information Central 
Reference and Records Inspection Facility, U.S. Department of 
Commerce, room H6020, 14th Street and Constitution Avenue, NW, 
Washington, DC 20230. Phone [phone]. This facility serves the 
Office of the Secretary, all other units of the Department not 
identified below, and those units identified below which do not have 
separate public inspection facilities, in accordance with 15 CFR 
4.4(c).
    (2) Bureau of the Census, Program and Policy Development Office, 
U.S. Department of Commerce, room 2430, Federal Building 3, 
Washington, DC 20233. Phone [phone]. This agency maintains a 
separate public inspection facility in room 2455, Federal Building 
3, Suitland, Maryland.
    (3) Bureau of Economic Analysis/Economics and Statistics 
Administration, Public Reference Facility, U.S. Department of 
Commerce, room H4836, 14th Street and Constitution Avenue, NW, 
Washington, DC 20230. Phone [phone]. This unit does not 
maintain a separate public inspection facility.
    (4) Economic Development Administration, Freedom of Information 
Records Inspection Facility, U.S. Department of Commerce, room 
H7001, 14th Street and Constitution Avenue, NW, Washington, DC 
20230. Phone [phone]. Mailing addresses of Regional EDA 
offices:
    (i) Philadelphia Regional Office, EDA, U.S. Department of 
Commerce, Freedom of Information Request Control Desk, Curtis 
Center, Suite 140 South, Independence Square West, Philadelphia, 
Pennsylvania 19106.
    (ii) Atlanta Regional Office, EDA, U.S. Department of Commerce, 
Freedom of Information Request Control Desk, 401 West Peachtree 
Street, NW, Suite 1820, Atlanta, GA 30308.
    (iii) Denver Regional Office, EDA, U.S. Department of Commerce, 
Freedom of Information Request Control Desk, room 670, 1244 Speer 
Boulevard, Denver, Colorado 80204.
    (iv) Chicago Regional Office, EDA, U.S. Department of Commerce, 
Freedom of Information Request Control Desk, 111 North Canal Street, 
Suite 855, Chicago, IL 60606.
    (v) Seattle Regional Office, EDA, U.S. Department of Commerce, 
Freedom of Information Request Control Desk, Jackson Federal 
Building, room 1856, 915 Second Avenue, Seattle WA 98174.
    (vi) Austin Regional Office, EDA, U.S. Department of Commerce, 
Freedom of Information Request Control Desk, Grant, Building, Suite 
201, 611 East 6th Street, Austin, Texas 78701.
    (5) Bureau of Export Administration, Freedom of Information 
Records Inspection Facility, U.S. Department of Commerce, room 
H4525, 14th Street and Constitution Avenue, NW, Washington, DC 
20230. Phone [phone].
    (6) International Trade Administration, Freedom of Information 
Records Inspection Facility, U.S. Department of Commerce, room 
H4001, 14th Street and Constitution Avenue, NW., Washington, DC 
20230. Phone [phone].
    (7) Minority Business Development Agency, Freedom of Information 
Office, U.S. Department of Commerce, room H5706, 14th Street and 
Constitution Avenue, NW, Washington, DC 20230. Phone [phone]. 
This unit does not maintain a separate public inspection facility.
    (8) National Institute of Standards and Technology, Freedom of 
Information Request Control Desk, Administration Building, room A-
1105, Gaithersburg, Maryland 20899. Phone [phone]. This 
agency maintains a separate public inspection facility in room E-
106, Administration Building, Gaithersburg, Maryland.
    (9) National Oceanic and Atmospheric Administration, Public 
Reference Facility, room 714 WSC-5, 6010 Executive Boulevard, 
Rockville, Maryland 20852. Phone [phone].
    (10) National Technical Information Service, Freedom of 
Information room 203, Forbes Building, 5285 Port Royal Road, 
Springfield, Virginia 22161. Phone [phone]. This unit does 
not maintain a separate public inspection facility.
    (11) National Telecommunications and Information Administration, 
Freedom of Information Request Control Desk, U.S. Department of 
Commerce, room H4713, 14th Street and Constitution Avenue, NW, 
Washington, DC 20230. Phone [phone]. This unit maintains a 
separate public inspection facility in room H1609.
    (12) Patent and Trademark Office, Freedom of Information Request 
Control Desk, Box 8, Washington, DC 20231. Phone [phone]. 
This agency maintains a separate public inspection facility in the 
Public Search Room, room 1A01, Crystal Plaza 3, 

[[Page 6587]]
2021 Jefferson Davis Highway, Arlington, Virginia.
    (13) United States Travel and Tourism Administration, Freedom of 
Information Request Control Desk, U.S. Department of Commerce, room 
H1520, 14th Street and Constitution Avenue, NW, Washington, DC 
20230. Phone [phone].''

Appendix C to Part 4--[Removed]

    13. Appendix C is removed.

PART 4a--CLASSIFICATION, DECLASSIFICATION, AND PUBLIC AVAILABILITY 
OF NATIONAL SECURITY INFORMATION

    14. The authority citation for part 4a continues to read as 
follows:

    Authority: Sec. 5.3(b), E.O. 12356; 47 FR 14874, April 6, 1982; 
47 FR 15557, April 12, 1982.


Sec. 4a.8  [Amended]

    15. In Sec. 4a.8(b)(4), remove the words, ``All denials of 
information under the Freedom of Information Act must be approved by 
the Office of the Assistant General Counsel for Administration.''
    16. In Sec. 4a.9 remove paragraphs (e)(2) and (e)(3), redesignate 
paragraph (e)(4) as (e)(2), and revise paragraph (f) to read as 
follows:


Sec. 4a.9  Request under the Privacy Act and the Freedom of Information 
Act involving classified records.

* * * * *
    (f) Receipt of an appeal for reconsideration of denial of a 
classified record under PA/FOIA: Appeals under this section shall be 
addressed to the Assistant General Counsel for Administration, or the 
General Counsel if the Assistant General Counsel for Administration is 
responsible for the denial. The Assistant General Counsel for 
Administration or the General Counsel shall refer the record(s) to the 
Director, Office of Security, for a declassification review. The 
Director may overrule previous determinations in whole or in part when, 
in his or her judgment, continued protection in the interest of 
national security is no longer required. If the information under 
review no longer requires classification, it shall be declassified. The 
Director shall inform the official by whom the referral was made of his 
or her decision.

PART 4b--PRIVACY ACT

    17. The authority citation for part 4b continues to read as 
follows:

    Authority: 5 U.S.C. 552a; 5 U.S.C. 553; 5 U.S.C. 552; 5 U.S.C. 
301; 44 U.S.C. 3101; Reorganization Plan No. 5 of 1950.

    18. Section 4b.1 is amended by revising paragraphs (d)(1) and (e) 
to read as follows:


Sec. 4b.1  Purpose and scope.

* * * * *
    (d) * * *
    (1) Requests for records which do not pertain to the individual 
making the request, or the individual about whom the request is made if 
the requester is the parent or guardian of the individual;
* * * * *
    (e) Any request for records which pertains to the individual making 
the request, or to the individual about whom the request is made if the 
requester is the parent or guardian of the individual, shall be 
processed under the Act and this part and under the Freedom of 
Information Act and the Department's implementing regulations (part 4 
of this chapter), regardless of whether the Act or the Freedom of 
Information Act are mentioned in the request.
    19. Section 4b.2(b)(6) is revised to read as follows:


Sec. 4b.2  Definitions.

* * * * *
    (b) * * *
    (6) The term Privacy Officer means the head of any bureau, office, 
or division, or his or her superiors. Each Privacy Officer is 
authorized to receive and act upon any inquiry, request for access, or 
request for correction or amendment pertaining to a record of his or 
her bureau, office, or division.
* * * * *


Sec. 4b.3  [Amended]

    20. In Sec. 4b.3(f)(2), remove the words, ``General Counsel,'' and 
add, in their place, ``Assistant General Counsel for Administration''.


Sec. 4b.5  [Amended]

    21. In Sec. 4b.5(a)(2), remove the words, ``responsible General 
Counsel,'' and add, in their place, ``Assistant General Counsel for 
Administration, or the General Counsel if the Assistant General Counsel 
for Administration is responsible for sending an acknowledgment''.
    22. In Sec. 4b.5(g)(3)(ii), remove the words, ``General Counsel'' 
and add, in their place, ``Assistant General Counsel for 
Administration, or the General Counsel if the Assistant General Counsel 
for Administration is responsible for the denial''.
    23. In Sec. 4b.9, paragraph (b) is revised, in paragraphs (c), (e), 
(h), and (i) remove the words ``General Counsel'' and add, in their 
place, ``Assistant General Counsel for Administration or the General 
Counsel'' and paragraph (g)(1) is amended by revising the third, fourth 
and fifth sentences to read as follows:


Sec. 4b.9  Appeal of initial adverse agency determination on correction 
or amendment.

* * * * *
    (b) An appeal shall be addressed to the Assistant General Counsel 
for Administration (or the General Counsel if the Assistant General 
Counsel for Administration is responsible for the denial), Department 
of Commerce, Room 5876, Washington, DC 20230. The processing of appeals 
will be facilitated if the words ``PRIVACY APPEAL'' appear in capital 
letters on both the envelope and the top of the appeal papers. An 
appeal not addressed and marked as provided herein will be so marked by 
Department personnel when it is so identified, and will be forwarded 
immediately to the Assistant General Counsel for Administration or 
General Counsel, as appropriate. An appeal which is not properly 
addressed by the individual will not be deemed to have been 
``received'' for purposes of measuring the time periods in this section 
until actual receipt by the Assistant General Counsel for 
Administration or the General Counsel. In each instance when an appeal 
so forwarded is received, the Assistant General Counsel for 
Administration or the General Counsel, as appropriate, shall notify the 
individual that his or her appeal was improperly addressed and the date 
when the appeal was received at the proper address.
* * * * *
    (g) * * *
    (1) * * * Such a statement shall be filed with the Assistant 
General Counsel for Administration, or the General Counsel if the 
Assistant General Counsel for Administration is responsible for the 
final determination. It should provide the Department control number 
assigned to the request, indicate the date of the final determination 
and be signed by the individual. The Assistant General Counsel for 
Administration or the General Counsel shall acknowledge receipt of such 
statement and inform the individual of the date on which it was 
received;
* * * * *


Sec. 4b.11  [Amended]

    24. In Sec. 4b.11(c), remove the words, ``U.S. Department of 
Commerce'' and add, in their place ``Treasury of the United States''.
Sonya Stewart,
Director for Executive Budgeting and Assistance Management.
[FR Doc. 96-3801 Filed 2-20-96; 8:45 am]
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