[Federal Register Volume 62, Number 186 (Thursday, September 25, 1997)]
[Rules and Regulations]
[Pages 50253-50256]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-25347]
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LIBRARY OF CONGRESS
36 CFR Part 703
[Docket No. LOC 97-2]
Availability of Library of Congress Records
AGENCY: Library of Congress.
ACTION: Final regulation.
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SUMMARY: The Library of Congress issues this final regulation to revise
Library of Congress Regulation 1917-3 (see 36 CFR 703.1 et seq.). The
revised regulation will reflect the renaming and organizational
restructuring of the responsible division from Central Services to
Office Systems Services, an increase in the number of disclosure
exemptions, a new definitional section for the types of records covered
under the Regulation, and increased fees and charges for processing
record requests. Access to Library records, including those in the LC
Archives and exclusive of materials in the collections, must be made
through the Chief, Office Systems Services.
EFFECTIVE DATE: September 25, 1997.
FOR FURTHER INFORMATION CONTACT: Lana Kay Jones, Acting General
Counsel, Office of the General Counsel, Library of Congress,
Washington, D.C. 20540-1050. Telephone No. (202) 707-6316.
SUPPLEMENTARY INFORMATION: This Regulation implements the policy of the
Library with respect to the public availability of Library of Congress
records. Although the Library is not subject to the Freedom of
Information Act, as amended (5 U.S.C. Sec. 552), this Regulation
follows the spirit of that Act consistent with the Library's duties,
functions, and responsibilities to the Congress. The application of
that Act to the Library is not to be inferred, nor should this
Regulation be considered as conferring on any member of the public a
right under that Act of access to or information from the records of
the Library. Nothing in this Regulation modifies current instructions
and practices in the Library with respect to handling Congressional
correspondence.
The Copyright Office, although a service unit of the Library, is by
law (17 U.S.C. Sec. 701) subject to the provisions of the Freedom of
Information Act, as
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amended, only for purposes of actions taken under the copyright law.
The Copyright Office has published its own regulation with respect to
the general availability of information (see 37 CFR 201.2) and requests
for copyright records made pursuant to the Freedom of Information Act
(see 37 CFR 203.1 et seq.) and the Privacy Act (see 37 CFR 204.1 et
seq.).
List of Subjects in 36 CFR Part 703
Archives and records, Libraries.
Final Regulation
In consideration of the foregoing the Library of Congress revises
36 CFR part 703 as follows:
PART 703--AVAILABILITY OF LIBRARY OF CONGRESS RECORDS
Sec.
703.1 Policy.
703.2 Administration responsibilities.
703.3 Definitions.
703.4 Records exempt from disclosure.
703.5 Procedures for access to copying of records.
703.6 Public reading facility.
703.7 Fees and charges.
Appendix A to Part 703--Fees and Charges for Services Provided to
Requestors of Records
Authority: 2 U.S.C. 136.
Sec. 703.1 Policy.
(a) Subject to limitations set out in this part, Library of
Congress records shall be available as hereinafter provided and shall
be furnished as promptly as possible within the Library to any member
of the public at appropriate places and times and for an appropriate
fee, if any.
(b) The Library shall not provide records from its files that
originate in another federal agency or non-federal organization to
persons who may not be entitled to obtain the records from the
originator. In such instances, the Library shall refer requesters to
the agency or organization that originated the records.
(c) In order to avoid disruption of work in progress, and in the
interests of fairness to those who might be adversely affected by the
release of information which has not been fully reviewed to assure its
accuracy and completeness, it is the policy of the Library not to
provide records which are part of on-going reviews or other current
projects. In response to such requests, the Library will inform the
requester of the estimated completion date of the review or project so
that the requester may then ask for the records. At that time, the
Library may release the records unless the same are exempt from
disclosure as identified in Sec. 703.4.
Sec. 703.2 Administration responsibilities.
The administration of this part shall be the responsibility of the
Chief, Office Systems Services (OSS), Library of Congress, 101
Independence Avenue, S.E., Washington, DC 20540-9440, and to that end,
the Chief may promulgate such supplemental rules or guidelines as may
be necessary.
Sec. 703.3 Definitions.
(a) Records includes all books, papers, maps, photographs, reports,
and other documentary materials, exclusive of materials in the
Library's collections, regardless of physical form or characteristics,
made or received and under the control of the Library in pursuance of
law or in connection with the transaction of public business, and
retained, or appropriate for retention, by the Library as evidence of
the organization, functions, policies, decisions, procedures,
operations, or other activities of the government or because of the
informational value of data contained therein. The term refers only to
such items in being and under the control of the Library. It does not
include the compiling or procuring of a record, nor does the term
include objects or articles, such as furniture, paintings, sculpture,
three-dimensional models, structures, vehicles, and equipment.
(b) Identifiable means a reasonably specific description of a
particular record sought, such as the date of the record, subject
matter, agency or person involved, etc. which will permit location or
retrieval of the record.
(c) Records available to the public means records which may be
examined or copied or of which copies may be obtained, in accordance
with this part, by the public or representatives of the press
regardless of interest and without specific justification.
(d) Disclose or disclosure means making available for examination
or copying, or furnishing a copy.
(e) Person includes an individual, partnership, corporation,
association, or public or private organization other than a federal
agency.
Sec. 703.4 Records exempt from disclosure.
(a) The public disclosure of Library records provided for by this
part does not apply to records, or any parts thereof, within any of the
categories set out below. Unless precluded by law, the Chief, OSS,
nevertheless may release records within these categories, except for
Congressional correspondence and other materials identified in
Sec. 703.4 (b)(1), after first consulting with the General Counsel.
(b) Records exempt from disclosure under these regulations are the
following:
(1) Congressional correspondence and other materials relating to
work performed in response to or in anticipation of Congressional
requests, unless authorized for release by officials of the Congress.
(2) Materials specifically authorized under criteria established by
Executive Order to be withheld from public disclosure in the interest
of national defense or foreign policy and that are properly classified
pursuant to Executive Orders.
(3) Records related solely to the internal personnel rules and
practices of the Library. This category includes, in addition to
internal matters of personnel administration, internal rules and
practices which cannot be disclosed without prejudice to the effective
performance of a Library function, such as guidelines and procedures
used by auditors, investigators, or examiners in the Office of the
Inspector General.
(4) Records specifically exempted from disclosure by statute,
provided that such statute:
(i) Requires that the matters be withheld from the public in such a
manner as to leave no discretion on the issue; or
(ii) Establishes particular criteria for withholding or refers to
particular types of matters to be withheld.
(5) Records containing trade secrets and commercial or financial
information obtained from a person as privileged or confidential. This
exemption may include, but is not limited to, business sales
statistics, inventories, customer lists, scientific or manufacturing
processes or development information.
(6) Personnel and medical files and similar files the disclosure of
which could constitute a clearly unwarranted invasion of personal
privacy. This exemption includes all private or personal information
contained in files compiled to evaluate candidates for security
clearances.
(7) Materials and information contained in investigative or other
records compiled for law enforcement purposes.
(8) Materials and information contained in files prepared in
connection with government litigation and adjudicative proceedings,
except for those portions of such files which are available by law to
persons in litigation with the Library.
(9) Records having information contained in or related to
examination, operation, or condition reports prepared by, on behalf of,
or for the use of an
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agency responsible for the regulation or supervision of financial
institutions.
(10) Inter-agency or intra-agency memoranda, letters or other
materials that are part of the deliberative process, the premature
disclosure of which would inhibit internal communications or be
detrimental to a Library function (e.g., case files in the Manuscript
Division).
(11) Records containing information customarily subject to
protection as privileged in a court or other proceedings such as
information protected by the doctor-patient, attorney work product, or
attorney-client privilege.
(12) Information submitted by a person to the Library in confidence
or which the Library has obligated itself not to disclose such as
information received by the Office of the Inspector General through its
hotline.
(13) Materials related to specific patron use of the Library's
collections, resources, or facilities either on site or off site. This
exemption includes:
(i) Reader records. Library records which identify readers by name,
such as registration records, reading room logs or registers, telephone
inquiry logs, and charge slips, if retained for administrative
purposes.
(ii) Use records. Users of the Library are entitled to privacy with
respect to their presence and use of the Library's facilities and
resources. Records pertaining to the use of the Library and of Library
collections and subjects of inquiry are confidential and are not to be
disclosed either to other readers, to members of the staff who are not
authorized, or to other inquirers including officials of law
enforcement, intelligence, or investigative agencies, except pursuant
to court order or administratively by order of The Librarian of
Congress.
(c) Any reasonably segregable portion of a record shall be provided
to anyone requesting such records after deletion of the portions which
are exempt under this section. A portion of a record shall be
considered reasonably segregable when segregation can produce an
intelligible record which is not distorted out of context, does not
contradict the record being withheld, and can reasonably provide all
relevant information.
Sec. 703.5 Procedure for access to and copying of records.
(a) A request to inspect or obtain a copy of an identifiable record
of the Library of Congress shall be submitted in writing to the Chief,
OSS, Library of Congress, 101 Independence Avenue, S.E., Washington, DC
20540-9440, who shall promptly record and process the request.
(b) Requests for records shall be specific and shall identify the
precise records or materials that are desired by name, date, number, or
other identifying data sufficient to allow the OSS staff to locate,
retrieve, and prepare the record for inspection or copying and to
delete exempted matter where appropriate to do so. Blanket or
generalized requests (such as ``all matters relating to'' a general
subject) shall not be honored and shall be returned to the requester.
(c) Records shall be available for inspection and copying in person
during business hours.
(d) Records in media other than print (e.g., microforms and
machine-readable media) shall be available for inspection in the medium
in which they exist. Copies of records in machine-readable media shall
be made in media determined by the Chief, OSS.
(e) Library staff shall respond to requests with reasonable
dispatch. Use of a record by the Library or Library employees, however,
shall take precedence over any request. Under no circumstances shall
official records be removed from Library control without the written
authorization of The Librarian.
(f) The Chief, OSS, shall make the initial determination on
whether:
(1) The record described in a request can be identified and located
pursuant to a reasonable search; and
(2) The record (or portions thereof) may be made available or
withheld from disclosure under the provisions of this part. In making
the initial determinations, the Chief shall consult with any unit in
the Library having a continuing substantial interest in the record
requested. Where the Chief finds no valid objection or doubt as to the
propriety of making the requested record available, the Chief shall
honor the request upon payment of prescribed fees, if any are required
by Sec. 703.7.
(g) If the Chief, OSS, determines that a requested record should be
withheld, the Chief shall inform the requester in writing that the
request has been denied; shall identify the material withheld; and
shall explain the basis for the denial. The Chief shall inform the
requester that further consideration of the denied request may be
obtained by a letter to the General Counsel setting out the basis for
the belief that the denial of the request was unwarranted.
(h) The General Counsel shall make the final determination on any
request for reconsideration and shall notify the requester in writing
of that determination. The decision of the General Counsel shall be the
final administrative review within the Library.
(1) If the General Counsel's decision reverses in whole or in part
the initial determination by the Chief, OSS, the Chief shall make the
requested record, or parts thereof, available to the requester, subject
to the provisions of Sec. 703.7.
(2) If the General Counsel's decision sustains in whole or in part
the initial determination by the Chief, OSS, the General Counsel shall
explain the basis on which the record, or portions thereof, will not be
made available.
Sec. 703.6 Public reading facility.
(a) The Chief, OSS, shall maintain a reading facility for the
public inspection and copying of Library records. This facility shall
be open to the public from 8:30 a.m. to 4:30 p.m., except Saturdays,
Sundays, holidays, and such other times as the Library shall be closed
to the public.
(b) The General Counsel shall advise the Chief, OSS, of the records
to be available in the public reading facility following consultation
with the Library managers who may be concerned.
Sec. 703.7 Fees and charges.
(a) The Library will charge no fees for:
(1) Access to or copies of records under the provisions of this
part when the direct search and reproduction costs are less than $10.
(2) Records requested which are not found or which are determined
to be exempt under the provisions of this part.
(3) Staff time spent in resolving any legal or policy questions
pertaining to a request.
(4) Copies of records, including those certified as true copies,
that are furnished for official use to any officer or employee of the
federal government.
(5) Copies of pertinent records furnished to a party having a
direct and immediate interest in a matter pending before the Library,
when furnishing such copies is necessary or desirable to the
performance of a Library function.
(b) When the costs for services are $10 or more, the Chief, OSS,
shall assess and collect the fees and charges set out in the appendix
to this part for the direct costs of search and reproduction of records
available to the public.
(c) The Chief, Office Systems Services, is authorized to waive fees
and charges, in whole or in part, where it is determined that the
public interest is best served to do so, because waiver is likely to
contribute significantly to public understanding of the operations or
activities of the government and is not primarily in the commercial
interest
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of the requester. Persons seeking a waiver or reduction of fees may be
required to submit a written statement setting forth the intended
purpose for which the records are requested or otherwise indicate how
disclosure will primarily benefit the public and, in appropriate cases,
explain why the volume of records requested is necessary.
Determinations made pursuant to the authority set out herein are solely
within the discretion of the Chief, OSS.
(d) Fees and charges for services identified in the appendix to
this part shall be paid in full by the requester before the records are
delivered. Payment shall be made in U.S. funds by personal check, money
order, or bank draft made payable to the Library of Congress. The
Chief, OSS, shall remit all fees collected to the Director, Financial
Services, who shall cause the same to be credited to appropriate
accounts or deposited with the U.S. Treasury as miscellaneous receipts.
(e) The Chief, OSS, shall notify a requester and may require an
advance deposit where the anticipated fees will exceed $50.
Appendix A to Part 703--Fees and Charges for Services Provided to
Requesters of Records
(a) Searches.
(1) There is no charge for searches of less than one hour.
(2) Fees charged for searches of one hour or more are based on
prevailing rates.
Currently, those charges are:
Personnel searches (clerical)--$15 per hour
Personnel searches (professional)--$25 per hour
Reproduction costs--$.50 per page
Shipping and mailing fees--variable
(3) In situations involving the use of computers to locate and
extract the requested information, charges will be based on the
direct cost to the Library, including labor, material, and computer
time.
(b) Duplication of Records. Fees charged for the duplication of
records shall be according to the prevailing rates established by
the Library's Photoduplication Service, or in the case of machine
media duplication, by the Resources Management Staff, Information
Technology Services.
(c) Certifications. The fee charges for certification of a
record as authentic or a true copy shall be $10.00 for each
certificate.
(d) Other Charges. When no specific fee has been established for
a service required to meet the request for records, the Chief,
Office Systems Services, shall establish an appropriate fee based on
direct costs in accordance with the Office of Management and Budget
Circular No. A-25.
Date: September 17, 1997.
Approved by:
James H. Billington,
The Librarian of Congress.
[FR Doc. 97-25347 Filed 9-24-97; 8:45 am]
BILLING CODE 1410-04-P
