99-16841. Availability of Official Information  

  • [Federal Register Volume 64, Number 127 (Friday, July 2, 1999)]
    [Proposed Rules]
    [Pages 35952-35957]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 99-16841]
    
    
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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. 64, No. 127 / Friday, July 2, 1999 / Proposed 
    Rules
    
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    MERIT SYSTEM PROTECTION BOARD
    
    5 CFR Part 1204
    
    
    Availability of Official Information
    
    AGENCY: Merit System Protection Board.
    
    ACTION: Proposed rule; request for comments.
    
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    SUMMARY: The Merit System Protection Board proposes to amend its rules 
    regarding the availability of official information to comply with the 
    Electronic Freedom of Information Act Amendments of 1996, to update the 
    fee schedule, and to add a time limit to ask for review by the Board's 
    Chairman of an action or a failure to act under this part. Certain 
    other changes are proposed to update the rules on the availability of 
    official information for the benefit of the Board's customers, for 
    consistency, and to comply with the President's Memorandum on Plain 
    Language in Government Writing.
    
    DATES: Comments must be received by August 31, 1999.
    
    ADDRESSES: Send comments to Shannon McCarthy, Deputy Clerk of the 
    Board, Merit System Protection Board, 1120 Vermont Avenue, NW, 
    Washington, DC 20419. Comments may be sent via e-mail to mspb@mspb.gov 
    or faxed to (202) 653-7130..
    
    FOR FURTHER INFORMATION CONTACT: Robert E. Taylor, Clerk of the Board, 
    (202) 653-7200.
    
    SUPPLEMENTARY INFORMATION: The Electronic Freedom of Information Act 
    Amendments of 1996 (Pub. L. 104-231, 110 Stat. 3048) were enacted to 
    ensure public access to agency records and information, improve public 
    access to agency records and information, ensure agency compliance with 
    statutory time limits, and maximize the usefulness of agency records 
    and information collected, maintained, used, retained, and disseminated 
    by the Federal Government. The Board, therefore, proposes to amend its 
    regulations implementing 5 U.S.C. 552 (the Freedom of Information Act) 
    to accommodate the requirements of the amendments.
        The Board also proposes to update its rules on computing and 
    collecting fees charged requesters for services provided in processing 
    requests for information to produce a more realistic schedule.
        In addition, the Board proposes to update various rules to reflect 
    changes in regional realignments of the Merit Systems Protection Board, 
    to make other changes for consistency and grammatical reasons, and to 
    comply with the President's Memorandum, ``Plain Language in Government 
    Writing,'' 34 Weekly Comp. Pres. Doc. 1010 (June 1, 1998).
    Section-by-Section Guide to Proposed Changes
        The following paragraphs are a section-by-section guide to the 
    changes that would be made in 5 CFR part 1204 by the proposed 
    amendment.
        The authority citation for part 1204 would be amended to include 
    Pub. L. 104-231.
        The words ``as amended'' would be added after 5 U.S.C. 552 in 
    section 1204.1 to show the updated citation.
        Section 1204.2(a) would be amended to define ``record'' to match 
    the definition in 5 U.S.C. 552(f)(2). Subsection (c) would be amended 
    to include the term ``video tape'' as a form of a verbatim record. 
    Subsection (d) would be amended to reflect the requirement of the 
    amended 5 U.S.C. 552(a)(2)(D) to make records available for public 
    inspection and copying, regardless of form or format, that the agency 
    determines have become or are likely to become the subject of 
    additional requests for mainly the same records and a general index of 
    those records.
        Section 1204.11(c) would be amended to extend the time to decide a 
    request from 10 days to 20 days because of the amendment to 5 U.S.C. 
    552(a)(6)(A)(i). Section 1204.11(c)(1) would be amended to show the new 
    requirement of 5 U.S.C. 552(a)(6)(B) allowing an extension for no more 
    than 10 days if there are ``unusual circumstances'' as defined by the 
    law. The section would require that: (a) written notice be given to the 
    requester describing the ``unusual circumstances'' and stating a date 
    on which a determination on the request will be made; and (b) the 
    requester be given an opportunity to limit the range of the request in 
    order to process the request within the time limit, or an opportunity 
    to arrange another time frame for processing the request or a changed 
    request. Section 1204.11(c)(2) would provide for a decision on the 
    expedited processing of a request within 10 days if a ``compelling 
    need'' is shown and for other cases determined by the Board as required 
    by the amended 5 U.S.C. 552(a)(6)(E). The section would state that if 
    the Board grants a request for expedited processing, it will process 
    the request within 5 workdays from the date of the decision to grant 
    the expedited request. If the Board decides that it requires the normal 
    or additional time to process the request or if it decides that good 
    cause for expedited processing has not been shown, it will give written 
    notice to the requester and will inform the requester of the right to 
    administrative and court review of the decision. The section would 
    further require that proof of compelling need be made by a statement 
    certified to be true to the best of the requester's knowledge and 
    belief.
        Section 1204.12(a) would be changed to show the increased estimated 
    cost to the Board of processing Freedom of Information Act requests. 
    The Board would continue to charge fees for services but it would not 
    charge requesters a fee where the processing cost is less than $100 and 
    would move the revised sentence to subsection (b).
        Subsection (b)(1) would change the modifier of ``employee'' from 
    ``the'' to ``each'' to show that more than one employee may work on a 
    request. The direct costs to the Board and charged to a requester would 
    be increased from the basic rate of pay of an employee's hourly rate of 
    pay plus 16 percent to the rate of $5 per quarter hour spent by each 
    Board employee. The statutory definition of the term ``search'' would 
    be added to subsection (b)(2), along with a statement that the Board 
    will make reasonable efforts to locate the records in electronic form 
    or format except when the effort would significantly interfere with the 
    operation of the Board's automated information system. Subsection 
    (b)(3) would be amended to ensure that ``electronically maintained 
    information'' is included among ``documents'' and that the amendment 
    agrees with the amended 5 U.S.C. 552(a)(3)(B) by stating that the Board 
    will make a reasonable effort to maintain its records informs or 
    formats
    
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    that can be copied and will provide a copy in the form or format 
    requested if the record can be copied in that form or format.
        Subsection (d) would change the allowance which provides requesters 
    the first hundred pages and the first two hours of duplication of 
    search time without charge to provide that the Board will not charge 
    the requester if the fee for any request is less than $100 (the cost to 
    the Board of processing and collecting the fee). To better represent 
    the actual costs to the Board, subsection (e)(1) would change the rate 
    charged for document searches from $3.75 for each quarter of an hour to 
    a rate of $5 per quarter hour spent by each Board employee doing the 
    search. Subsection (e)(2) would change the rate charged for computer 
    searches from 90 cents per computer minute to $5 per quarter hour spent 
    by each Board employee operating the computer equipment and/or 
    developing a new inquiry or report. Subsection (e)(3) would show the 
    actual cost of the reviewing employee's time for commercial use 
    requests by changing the fee from $8.50 an hour to a rate equal to $5 
    per quarter hour spent by each reviewing employee. Subsection (e)(4) 
    also would be amended to show actual costs to the Board by: (1) 
    changing the photocopying cost from 10 cents a page to 20 cents a page; 
    (2) changing the cost to copy a cassette tape from $5.75 to the direct 
    cost not to exceed $15 per cassette tape; (3) adding that the direct 
    cost to the Board to copy video tapes is not to exceed $20 a tape; and 
    (4) changing the fixed costs charged to copy records on computer tapes 
    and per diskette for records on computer diskette ($21 and $2.70, 
    respectively) to $25 and $4 respectively, if it is feasible for the 
    Board to copy records in the format requested. Because of the costs to 
    the Board, the Board would charge a fee of $4 per page for each page 
    showing the Board's seal and attestation for certified copies of the 
    Board's records. Because of increased processing costs for requests, 
    the Board would raise the amount exceeding which a requester will be 
    notified on the estimated amount from $25 to $100. Section (d) would be 
    eliminated because of the change in the minimal charge for a Board 
    request.
        Section 1204.13 would be amended to add subsections (a) and (b). 
    Subsection (a) would add two items, a request for expeditious 
    processing based on the requester's compelling need, and a request that 
    records be provided in a specific electronic format to the list of 
    requests that the Board may deny. To match the amended 5 U.S.C. 
    552(a)(6)(F), subsection (b) would provide that if the Board applies 
    one or more of the exemptions under 5 U.S.C. 552(b), it will identify 
    for the requester the specific exemption(s), provide an explanation in 
    writing as to why the exemption(s) must be applied to withhold the 
    requested information, and give an estimate of the amount of material 
    that has been denied to the requester, unless providing such an 
    estimate would harm an interest protected by the exemptions.
        Section 1204.15 would be added to show longtime Board procedure. 
    The section would indicate that requests for Board records that were 
    created by another agency may, in certain circumstances, be discussed 
    with that agency and that, in such instances, the Board will notify the 
    requester.
        Section 1204.21(a) would add to appealable decisions the Board's 
    finding that it cannot reproduce electronically maintained information 
    in the requester's preferred format, the Board's determination that it 
    will not provide expedited processing of a request for information 
    under this part, and any failure to decide a request for expedited 
    processing within 10 workdays from the date of the request. Section 
    1204.21(b) would add a time limit of 10 workdays to file an appeal with 
    the Board's Chairman.
        Sections 1204.2(c), 1204.11(c), 1204.12(f)(1), and 1204.21(a) would 
    correct the titles of the Board's judges and chief judges of field 
    offices. Section 1204.2(d) and 1204.11(a) would show the Board's World 
    Wide Web site address and section 1204.2(d), 1204.11(a), and 1204.21(b) 
    would update the Board's headquarters' address. Sections 1204.12(b)(2); 
    1204.14(a), (b)(2), (c), (d)(1), (d)(2), (d)(3), and (f); and 1204.22 
    provide changes for clarity and grammatical correctness.
    
    List of Subjects in 5 CFR Part 1204
    
        Confidential business information, Freedom of information, Privacy.
    
        Accordingly, the Board proposes to revise 5 CFR part 1204 to read 
    as follows:
    
    PART 1204--AVAILABILITY OF OFFICIAL INFORMATION
    
    Subpart A--Purpose and Scope
    
    Sec.
    1204.1  Purpose.
    1204.2  Scope.
    
    Subpart B--Procedures for Obtaining Records under the Freedom of 
    Information Act
    
    1204.11  Requests for Board records.
    1204.12  Fees.
    1204.13  Denials.
    1204.14  Requests for access to confidential commercial information.
    1204.15  Records of other agencies.
    
    Subpart C--Appeals
    
    1204.21  Submission.
    1204.22  Decision on appeal.
    
        Authority: 5 U.S.C. 552 and 1204, Pub. L. 99-570, Pub. L. 104-
    231, and E.O. 12600.
    
    Subpart A--Purpose and Scope
    
    
    Sec. 1204.1  Purpose.
    
        This part implements the Freedom of Information Act (FOIA), 5 
    U.S.C. 552, as amended, by stating the procedures to follow when 
    requesting information from the Board, and by stating the fees that 
    will be charged for that information.
    
    
    Sec. 1204.2  Scope.
    
        (a) For the purpose of this part, the term `'record'' and any other 
    term used in reference to information includes any information that 
    would be a Board record subject to the requirements of 5 U.S.C. 552 
    when maintained by the Board in any format including an electronic 
    format. All written requests for information that are not processed 
    under part 1205 of the Board's regulations will be processed under this 
    part. The Board may continue, without complying with this part, to 
    furnish the public with the information it has furnished in the regular 
    course of performing its official duties, unless furnishing the 
    information would violate the Privacy Act of 1974, 5 U.S.C. 552a, or 
    another law.
        (b) When the subject of the record, or the subject's 
    representative, requests a record from a Privacy Act system of records, 
    as that term is defined by 5 U.S.C. 552a(a)(5), and the Board retrieves 
    the record by the subjects name or other personal identifier, the Board 
    will handle the request under the procedures and fees shown in 5 CFR 
    part 1205. When a third party requests access to those records, without 
    the written consent of the subject of the record, the Board will handle 
    the request under this part.
        (c) When a party to an appeal requests a copy of a tape recording, 
    video tape, or transcript (if one has been prepared) of a hearing that 
    the Board or a judge held under part 1201 or part 1209 of this chapter, 
    the Board will handle the request under 5 CFR 1201.53. When someone 
    other than a party to the appeal makes this request, the Board will 
    handle the request under this part.
        (d) In accordance with 5 U.S.C. 552(a)(2), the Board's final 
    opinions and orders (including concurring and dissenting opinions), 
    those statements of policy and interpretations adopted by
    
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    the Board and that are not published in the Federal Register, 
    administrative staff manuals and instructions to staff that affect a 
    member of the public, and agency records processed and disclosed in 
    response to a FOIA request that the Board determines have been or are 
    likely to become the subject of additional requests for basically the 
    same records and a general index of those records, are available for 
    public review and copying in the Board's Headquarters' Library, 1120 
    Vermont Avenue NW., Washington, DC 20419-0001, and on the Board's World 
    Wide Web site at http://www.mspb.gov.
    
    Subpart B--Procedures for Obtaining Records Under the Freedom of 
    Information Act
    
    
    Sec. 1204.11  Request for Board records.
    
        (a) Sending a request. A person may request a Board record under 
    this part by writing to the office that has the record. If the 
    requestor believes that the records are located in a regional office, 
    the request must be sent to that office. A list of the addresses of the 
    Board's regional and field offices are in appendix II of 5 CFR part 
    1201 and on the Board's World Wide Web site at http://www.mspb.gov. 
    Other requests must be sent to the Clerk of the Board, 1120 Vermont 
    Avenue NW., Washington, DC 20419-0001. Requests sent under this part 
    must be clearly marked ``Freedom of Information Act Request'' on both 
    the envelope and the request.
        (b) Description. A request must describe the records wanted in 
    enough detail for Board employees to locate the records with no more 
    than a reasonable effort. Whenever possible, a request must include 
    specific information about each record, such as the date, title or 
    name, author, recipient, and subject matter of the record. In addition, 
    if the request asks for records on cases decided by the Board, it must 
    show the title of the case, the MSPB docket number, and the date of the 
    decision.
        (c) Time limits and decisions. If a request is not properly labeled 
    or is sent to the wrong office, the time for processing the request 
    will begin when the proper office receives it. Requests to the Board's 
    headquarters will be decided by the Clerk of the Board. Requests to one 
    of the regional or field offices will be decided by the Regional 
    Director or Chief Administrative Judge. The Board will decide a request 
    within 20 workdays after the appropriate office receives it, except 
    under the conditions that follow:
        (1) Extension of time. If ``unusual circumstances'' exist, the 
    Board may extend the time for deciding the request by no more than 10 
    additional workdays. An example of unusual circumstances could be the 
    need to find and retrieve records from regional or field offices or 
    from federal records centers or the need to search, collect and or 
    examine a large number of records which are demanded in a single 
    request, or the need to talk to another agency with a substantial 
    interest in the determination of the request. When the Board extends 
    the time to decide the request, it will inform the requester in writing 
    and describe the ``unusual circumstances'', and it will state a date on 
    which a decision on the request will be made. If the ``unusual 
    circumstances'' are such that the Board cannot comply with the request 
    within the time limit, the Board will offer the requester an 
    opportunity:
        (i) To limit the request so that it may be processed within the 
    time limit, or
        (ii) To arrange with the Board a different time frame for 
    processing the request or a changed request.
        (2) Expedited processing. Where a requester shows a ``compelling 
    need'' and in other cases determined by the Board, a decision whether 
    to provide expedited processing of a request and notification of that 
    decision to the requester will be made within 10 workdays of the date 
    of the request. An example of a compelling need could be that a failure 
    to obtain the records expeditiously could reasonably be expected to be 
    a threat to the life or physical safety of a person or that there is 
    urgency to inform the public about actual or alleged Federal Government 
    activity by a person primarily engaged in distributing information. 
    Where the Board approves expeditious processing, the Board will process 
    the request within 5 workdays from the date of the decision to grant 
    the expeditious processing. If, in order to fully satisfy the request, 
    the Board requires the standard or additional processing time, or if it 
    decides that good cause for expedited processing has not been made, it 
    will provide written notice of its decision to the requester and will 
    inform the requester of the right to administrative and court review of 
    the decision. A showing of a compelling need must be made by a 
    statement certified to be true to the best of the requester's knowledge 
    and belief.
    
    
    Sec. 1204.12  Fees.
    
        (a) General. The Board will charge the requester fees for services 
    provided in processing requests for information. Those fees will be 
    charged according to the schedule in paragraph (d) of this section, and 
    will recover the full allowable direct costs that the Board incurs. 
    Fees may be charged for time spent searching for information, even if 
    the Board fails to locate responsive records, and even if it determines 
    that the information is exempt from disclosure.
        (b) Definitions. (1) The term direct costs means the costs to an 
    agency for searching for and copying (and in the case of commercial 
    requesters, reviewing) documents to respond to a FOIA request. Direct 
    costs include, for example, the salary of each employee performing work 
    at the rate of $5 per quarter hour. Overhead expenses, such as costs of 
    space and of heating or lighting the facility in which the records are 
    stored, are not included in direct costs.
        (2) The term search, as defined by 5 U.S.C. 552(a)(3)(D), means 
    either manual or automated review of Board records to locate those 
    records asked for, and includes all time spent looking for material in 
    response to a request, including page-by-page or line-by-line 
    identification of material within documents. Searches will be done in 
    the most efficient and least expensive way to limit costs for both the 
    Board and the requester. Searches may be done manually or by computer 
    using existing programming. The Board will make a reasonable effort to 
    search for the records in electronic form or format, except when such 
    effort would interfere to a large extent with the operation of the 
    Board's automated information system.
        (3) The term duplication means the process of copying a document or 
    electronically maintained information in response to a FOIA request. 
    Copies can take the form of paper, microfilm, audio-visual materials, 
    or machine-readable documentation (e.g., magnetic tape or disk), among 
    others. The copy provided will be in a form or format requested if the 
    record is readily reproducible by the Board in that form or format. The 
    Board will make a reasonable effort to maintain its records in forms or 
    formats that are reproducible.
        (4) The term review includes the process of examining documents to 
    determine whether any portion of them may be exempt from disclosure 
    under the FOIA, when the documents have been located in response to a 
    request that is for a commercial use. The term also includes processing 
    any documents for disclosure, e.g., doing all that is necessary to edit 
    them and otherwise prepare them for release. Review does not include 
    time spent resolving general legal or policy issues.
    
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        (5) The term commercial use request means a request from or on 
    behalf of one who seeks information for a use or purpose that furthers 
    the commercial, trade, or profit interests of the requester or the 
    person on whose behalf the request is made. In deciding whether a 
    requester properly belongs in this category, the Board will decide the 
    use the requester will make of the documents requested. Also, where the 
    Board has reasonable cause to doubt the use a requester will make of 
    the records requested, or where that use is not clear from the request, 
    the Board will seek additional clarification before assigning the 
    request to a specific category.
        (6) The term educational institution means 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 that operates a program or programs of scholarly research.
        (7) The term noncommercial scientific institution means an 
    institution that is not operated on a ``commercial'' basis as that term 
    is used above, and that is operated solely for the purpose of 
    conducting scientific research whose results are not intended to 
    promote any particular product or industry.
        (8) The term representative of the news media means any person 
    actively gathering news for an entity that is organized and operated to 
    publish or broadcast news to the public. The term ``news'' means 
    information that concerns current events or that would be of current 
    interest to the public.
        (c) Categories of requesters. There are four categories of FOIA 
    requesters: commercial use requesters; educational and noncommercial 
    scientific institutions; representatives of the news media; and all 
    other requesters. To be included in the category of educational and 
    noncommercial scientific institutions, requesters must show that the 
    request is authorized by a qualifying institution and that they are 
    seeking the records not for a commercial use, but to further scholarly 
    or scientific research. To be included in the news media category, a 
    requester must meet the definition in paragraph (b)(8) of this section 
    and the request must not be made for a commercial use. To avoid 
    commercial use charges, requesters must show that they should be 
    included in a category or categories other than that of commercial use 
    requesters. The Board will decide the categories to place requesters 
    for fee purposes. It will make these determinations based on 
    information given by the requesters and information otherwise known to 
    the Board.
        (d) The Board will not charge a requester if the fee for any 
    request is less than $100 (the cost to the Board of processing and 
    collecting the fee).
        (1) When the Board receives a request:
        (i) From a commercial use requester, it will charge fees that 
    recover the full direct costs for searching for the information 
    requested, reviewing it for release at the initial request stage, 
    reviewing it after an appeal to determine whether other exemptions not 
    considered before the appeal apply to it, and copying it.
        (ii) From an educational and noncommercial scientific institution 
    or, to the extent copying exceeds 100 pages, from a representative of 
    the news media, it will charge fees only for the cost of copying the 
    requested information.
        (iii) From all other requesters, to the extent copying exceeds 100 
    pages and search time exceeds 2 hours, it will charge fees for the full 
    direct cost of searching for and copying requested records.
        (2) When the Board reasonably believes that a requester or group of 
    requesters is attempting to divide a request into more than one request 
    to avoid payment of fees, the Board will combine the requests and 
    charge fees accordingly. The Board will not combine multiple requests 
    on unrelated subjects from one requester.
        (3) When the Board decides that charges for a request are likely to 
    exceed $250, the Board will require the requester to pay the entire fee 
    in advance before continuing to process the request.
        (4) When a requester has an outstanding fee charge or has not paid 
    a fee on time, the Board will require the requester to pay the full 
    amount of the estimated fee in advance before the Board begins to 
    process a new or pending request from that requester, and before it 
    applies administrative time limits for making a decision on the new or 
    pending request.
        (e) Fee schedule. (1) Fees for document searches for records will 
    be charged at a rate of $5 per quarter hour spent by each Board 
    employee performing the search.
        (2) Fees for computer searches for records will be $5 per quarter 
    hour spent by each employee operating the computer equipment and/or 
    developing a new inquiry or report.
        (3) Fees for review at the initial administrative level to 
    determine whether records or portions of records are exempt from 
    disclosure, and for review after an appeal to determine whether the 
    records are exempt on other legal grounds, will be charged, for 
    commercial use requests, at a rate of $5 per quarter hour spent by each 
    reviewing employee.
        (4) Fees for photocopying records is 20 cents a page, the fee for 
    copying audio tapes is the direct cost up to $15 per cassette tape; the 
    fee for copying video tapes is the direct cost up to $20 per tape; and 
    the fee for computer printouts is 10 cents a page. The fee for 
    duplication of electronically maintained information in the requester's 
    preferred format will be $21 for copying computer tapes and $4 for 
    copying records on computer diskettes, if it is feasible for the Board 
    to reproduce records in the format requested. Fees for certified copies 
    of the Board's records will include a $4 per page charge for each page 
    displaying the Board's seal and certification. When the Board estimates 
    that copying costs will exceed $100, it will notify the requester of 
    the estimated amount unless the requester has indicated in advance a 
    willingness to pay an equal or higher amount.
        (f) Fee waivers. (1) Upon request, the Clerk of the Board, Regional 
    Director, or Chief Administrative Judge, as appropriate, will furnish 
    information without charge or at reduced rates if it is established 
    that disclosure ``is in the public interest because it is likely to 
    contribute significantly to public understanding of the operations or 
    activities of the government.'' This decision will be based on:
        (i) The subject of the request: Whether the subject of the 
    requested records concerns the operations or activities of the 
    government;
        (ii) The informative value of the information to be disclosed: 
    Whether the disclosure is likely to contribute to an understanding of 
    government operations or activities;
        (iii) Whether disclosure of the requested information is likely to 
    contribute to public understanding of the subject of the disclosure; 
    and
        (iv) The significance of the contribution the disclosure would make 
    to public understanding of government operations or activities.
        (2) If information is to be furnished without charge or at reduced 
    rates, the requester must also establish that disclosure of the 
    information is not primarily in the commercial interest of the 
    requester. This decision will be based on:
        (i) Whether the requester has a commercial interest that would be 
    furthered by the requested disclosure; and, if so,
        (ii) Whether the identified commercial interest of the requester is 
    sufficiently large, in comparison with
    
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    the public interest in disclosure, that disclosure is primarily in the 
    commercial interest of the requester.
        (3) The requester must establish eligibility for a waiver of fees 
    or for reduced fees. The denial of a request for waiver of fees may be 
    appealed under subpart C of this part.
    
    
    Sec. 1204.13  Denials.
    
        (a) The Board may deny: a request for reduced fees or waiver of 
    fees; a request for a record, either in whole or in part; a request for 
    expeditious processing based on the requester's compelling need; or a 
    request that records be released in a specific electronic format. The 
    denial will be in writing, will state the reasons, and will notify the 
    requester of the right to appeal.
        (b) If the Board applies one or more of the exemptions provided 
    under the FOIA to deny access to some or all of the information 
    requested, it will respond in writing, identifying for the requester 
    the specific exemption(s), providing an explanation as to why the 
    exemption(s) to withhold the requested information must be applied, and 
    providing an estimate of the amount of material that has been denied to 
    the requester, unless providing such an estimate would harm an interest 
    protected by the exemptions.
        (c) The amount of information deleted will be indicated on the 
    released portion of the record at the place in the record where the 
    deletion is made, if technically feasible and unless the indication 
    would harm an interest protected by the exemption under which the 
    deletion is made.
    
    
    Sec. 1204.14  Requests for access to confidential commercial 
    information.
    
        (a) General. Confidential commercial information provided to the 
    Board by a business submitter will not be disclosed in response to a 
    FOIA request except as required by this section.
        (b) Definitions. (1) The term confidential commercial information 
    means records provided to the government by a submitter that are 
    believed to contain material exempt from release under Exemption 4 of 
    the Freedom of Information Act, 5 U.S.C. 552(b)(4), because disclosure 
    could reasonably be expected to cause substantial competitive harm.
        (2) The term submitter means any person or organization that 
    provides confidential commercial information to the government. The 
    term ``submitter'' includes, but is not limited to, corporations, state 
    governments, and foreign governments.
        (c) Notice to business submitters. The Board will provide a 
    business submitter with prompt written notice of a request for its 
    confidential commercial information whenever such written notice is 
    required under paragraph (d) of this section. Exceptions to such 
    written notice are at paragraph (h) of this section. This written 
    notice will either describe the exact nature of the confidential 
    information requested or provide copies of the records or parts of 
    records containing the commercial information.
        (d) When initial notice is required. (1) With respect to 
    confidential commercial information received by the Board before 
    January 1, 1988, the Board will give the business submitter notice of a 
    request whenever:
        (i) The information is less than 10 years old; or
        (ii) The Board has reason to believe that releasing the information 
    could reasonably be expected to cause substantial competitive harm.
        (2) With respect to confidential commercial information received by 
    the Board on or after January 1, 1988, the Board will give notice to 
    the business submitter whenever:
        (i) The business submitter has designated the information in good 
    faith as commercially or financially sensitive information; or
        (ii) The Board has reason to believe that releasing the information 
    could reasonably be expected to cause substantial competitive harm.
        (3) Notice of a request for commercially confidential information 
    that was received by January 1, 1988, is required for a period of not 
    more than 10 years after the date on which the information is submitted 
    unless the business submitter requests, and provide justification for, 
    a longer specific notice period. Whenever possible, the submitter's 
    claim of confidentially must be supported by a statement or 
    certification, by an officer or authorized representative of the 
    company, that the information in question is confidential commercial 
    information and has not been disclosed to the public.
        (e) Opportunity to object to disclosure. Through the notice 
    described in paragraph (c) of this section, the Board will give a 
    business submitter a reasonable period to provide a detailed statement 
    of any objection to disclosure. The statement must specify all grounds 
    for withholding any of the information under any exemption of the 
    Freedom of Information Act. In addition, in the case of Exemption 4, 
    the statement must state why the information is considered to be a 
    trade secret, or to be commercial or financial information that is 
    privileged or confidential. Information a business submitter provides 
    under this paragraph may itself be subject to disclosure under the 
    Freedom of Information Act.
        (f) Notice of intent to release information. The Board will 
    consider carefully a business submitter's objections and specific 
    grounds for claiming that the information should not be released before 
    determining whether to release confidential commercial information. 
    Whenever the Board decides to release confidential commercial 
    information over the objection of a business submitter, it will forward 
    to the business submitter a written notice that includes:
        (1) A statement of the reasons for which the business submitter's 
    objections to the release were not sufficient;
        (2) A description of the confidential commerical information to be 
    released; and
        (3) A specified release date. The Board will forward the notice of 
    intent to release the information a reasonable number of days, as 
    circumstances permit, before the specified date upon which release is 
    expected. It will forward a copy of the release notice to the requester 
    at the same time.
        (g) Notice of Freedom of Information Act lawsuit. Whenever a 
    requester files a lawsuit seeking to require release of business 
    information covered by paragraph (d) of this section, the Board will 
    notify the business submitter promptly.
        (h) Exceptions to notice requirements. The notice requirements of 
    this section do not apply when:
        (1) The Board decides that the information should not be released;
        (2) The information lawfully has been published or otherwise made 
    available to the public.;
        (3) Disclosure of the information is required by law (other than 5 
    U.S.C. 552); or
        (4) The disclosure is required by an agency rule that:
        (i) Was adopted after notice and public comment;
        (ii) Specifies narrow classes of records submitted to the agency 
    that are to be released under the FOIA; or
        (iii) Provides in exceptional circumstances for notice when the 
    submitter provides written justification, at the time the information 
    is submitted or a reasonable time thereafter, that release of the 
    information could reasonably be expected to cause substantial 
    competitive harm.
        (5) The information requested is not designated by the submitter as 
    exempt from release according to agency regulations issued under this 
    section, when the submitter has an opportunity
    
    [[Page 35957]]
    
    to do so as the time of sending the information or a reasonable time 
    thereafter, unless the agency has good reason to believe that 
    disclosure of the information would result in competitive harm; or
        (6) The designation made by the submitter according to Board 
    regulations appears obviously frivolous; except that, in such case, the 
    Board must provide the submitter with written notice of any final 
    administrative release decision within a reasonable period before the 
    stated release date.
    
    
    Sec. 1204.15  Records of other agencies.
    
        Requests for Board records that were created by another agency may, 
    in appropriate circumstances, be referred to that agency for discussion 
    or processing. In these instances, the Board will notify the requester.
    
    Subpart C--Appeals
    
    
    Sec. 1204.21  Submission.
    
        (a) A person may appeal the following actions, or failure to act by 
    the Clerk of the Board, a Regional Director, or Chief Administrative 
    Judge:
        (1) A denial of access to agency records;
        (2) A denial of a request for a waiver or reduced fees;
        (3) A decision that it is technically not possible to reproduce 
    electronically maintained information in the requester's preferred 
    format;
        (4) A denial of a request for expedited processing of information 
    under this part; or
        (5) A failure to decide a request for expedited processing within 
    10 workdays from the date of the request.
        (b) Appeals must be filed with the Chairman, Merit Systems 
    Protection Board, 1120 Vermont Avenue NW., Washington, DC 20419-0001 
    within 10 workdays from the date of the denial. Any appeal must include 
    a copy of the initial request, a copy of the letter denying the 
    request, and a statement of the reasons why the requester believes the 
    denying employee erred.
    
    
    Sec. 1204.22  Decision on appeal.
    
        A decision on an appeal will be made within 20 workdays after the 
    appeal is received. A decision not to provide expeditious processing of 
    a request will be made within 15 workdays after the appeal is received. 
    The decision will be in writing and will contain the reasons for the 
    decision and information about the appellant's right to seek court 
    review of the denial.
    
        Dated: June 24, 1999.
    Robert E. Taylor,
    Clerk of the Board.
    [FR Doc. 99-16841 Filed 7-1-99; 8:45 am]
    BILLING CODE 7400-01-M
    
    
    

Document Information

Published:
07/02/1999
Department:
Merit Systems Protection Board
Entry Type:
Proposed Rule
Action:
Proposed rule; request for comments.
Document Number:
99-16841
Dates:
Comments must be received by August 31, 1999.
Pages:
35952-35957 (6 pages)
PDF File:
99-16841.pdf
CFR: (16)
5 CFR 1204.1
5 CFR 1204.2
5 CFR 1204.11
5 CFR 1204.12
5 CFR 1204.13
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