REG 36 CFR PART 1600-2011 PUBLIC AVAILABILITY OF DOCUMENTS AND RECORDS.pdf

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1、1013 PART 1600PUBLIC AVAILABILITY OF DOCUMENTS AND RECORDS Subpart AProcedures for Disclosure of Records Under the Freedom of Infor-mation Act Sec. 1600.1 General provisions. 1600.2 Public reading room. 1600.3 Requests for records. 1600.4 Timing of responses to requests. 1600.5 Responses to requests

2、. 1600.6 Disclosure of requested records 1600.7 Special procedures for confidential Commercial information 1600.8 Appeals. 1600.9 Preservation of records. 1600.10 Fees. Subpart BProtection of Privacy and Ac-cess to Individual Records Under the Privacy Act of 1974 1600.21 General provisions. 1600.22

3、Requests for access to records. 1600.23 Responsibility for responding to re-quests for access to records. 1600.24 Responses to requests for access to records. 1600.25 Appeals from denials of requests for access to records. 1600.26 Requests for amendment or correc-tion of records. 1600.27 Requests fo

4、r accountings of record disclosures. 1600.28 Preservation of records. 1600.29 Fees. 1600.30 Notice of court-ordered and emer-gency disclosures. AUTHORITY: 5 U.S.C. 552, 552a, 553; 20 U.S.C. 5608(a)(3). Subpart A is also issued under 5 U.S.C. 571 574. SOURCE: 66 FR 15034, Mar. 15, 2001, unless otherw

5、ise noted. Subpart AProcedures for Disclo-sure of Records Under the Freedom of Information Act 1600.1 General provisions. (a) This subpart contains the rules that the Morris K. Udall Scholarship and Excellence in National Environ-mental Policy Foundation (the Foun-dation) follows in processing reque

6、sts for records under the Freedom of Infor-mation Act (FOIA), 5 U.S.C. 552. These rules should be read together with the FOIA, which provides additional infor-mation about access to records. Re-quests made by individuals for records about themselves under the Privacy Act of 1974, 5 U.S.C. 552a, whic

7、h are processed under subpart B of this part, are processed under this subpart also. Information routinely provided to the public as part of a regular Foundation activity (for example, press releases, annual reports, informational bro-chures and the like) may be provided to the public without follow

8、ing this sub-part. As a matter of policy, the Foun-dation makes discretionary disclosures of records or information exempt from disclosure under the FOIA whenever disclosure would not foreseeably harm an interest protected by a FOIA exemp-tion, but this policy does not create any right enforceable i

9、n court. (b) This subpart applies to all Foun-dation programs, including the U.S. In-stitute for Environmental Conflict Res-olution (USIECR). 1600.2 Public reading room. (a) The Foundation maintains a pub-lic reading room that contains the records that the FOIA requires to be made regularly availabl

10、e for public in-spection and copying. An index of read-ing room records shall be available for inspection and copying and shall be up-dated at least quarterly. (b) The public reading room is lo-cated at the offices of the Foundation, 110 S. Church Avenue, Suite 3350, Tuc-son, Arizona. (c) The Founda

11、tion also makes read-ing room records created on or after November 1, 1996, available electroni-cally, if possible, at the Foundations web site (which can be found at www.udall.gov). This includes the index of the reading room records, which will indicate which records are available electronically.

12、1600.3 Requests for records. (a) How made and addressed. You may make a request for records of the Foun-dation by writing to the General Coun-sel, Morris K. Udall Foundation, 110 South Church Avenue, Suite 3350, Tuc-son, Arizona 857011650. If you are mak-ing a request for records about your-self, se

13、e 1600.21 for additional require-ments. If you are making a request for records about another individual, ei-ther a written authorization signed by VerDate Mar2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 01023 Fmt 8010 Sfmt 8010 Y:SGML223139.XXX 223139erowe on DSK2VPTVN1PROD with CFRProvided by I

14、HSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-1014 36 CFR Ch. XVI (7111 Edition) 1600.4 that individual permitting disclosure of those records to you or proof that that individual is deceased (for exam-ple, a copy of a death certificate or an obituary) will hel

15、p the processing of your request. For the quickest possible handling, you should mark both your request letter and the envelope Free-dom of Information Act Request. (b) Description of records sought. You must describe the records that you seek in enough detail to enable Foun-dation personnel to loca

16、te them with a reasonable amount of effort. Whenever possible, your request should include specific information about each record sought, such as the date, title or name, author, recipient, and subject matter of the record. If the Foundation deter-mines that your request does not rea-sonably describ

17、e records, it will tell you either what additional information is needed or why your request is other-wise insufficient. If your request does not reasonably describe the records you seek, the response to your request may be delayed. (c) Types of records not available. The FOIA does not require the F

18、oundation to: (1) Compile or create records solely for the purpose of satisfying a request for records; (2) Provide records not yet in exist-ence, even if such records may be ex-pected to come into existence at some future time; or (3) Restore records destroyed or oth-erwise disposed of, except that

19、 the Foundation must notify the requester that the requested records have been destroyed or disposed of. (d) Agreement to pay fees. If you make a FOIA request, your request shall be considered an agreement by you to pay all applicable fees charged under 1600.10, up to $25.00, unless you seek a waive

20、r of fees. The Foundation ordi-narily will confirm this agreement in an acknowledgment letter. When mak-ing a request, you may specify a will-ingness to pay a greater or lesser amount. 1600.4 Timing of responses to re-quests. (a) In general. The Foundation ordi-narily shall respond to requests accor

21、d-ing to their order of receipt. (b) Multitrack processing. (1) The Foundation may use two or more proc-essing tracks by distinguishing be-tween simple and more complex re-quests based on the amount of work and/or time needed to process the re-quest. The anticipated number of pages involved may be c

22、onsidered by the Foundation in establishing processing tracks. If the Foundation sets a page limit for its faster track, it will advise those whose request is placed in its slower track(s) of the page limits of its faster track(s). (2) If the Foundation uses multitrack processing, it may provide req

23、uesters in its slower track(s) with an oppor-tunity to limit the scope of their re-quests in order to qualify for faster processing within the specified limits of its faster track(s). (c) Unusual circumstances. (1) Where the statutory time limits for proc-essing a request cannot be met because of un

24、usual circumstances, as defined in the FOIA, and the Foundation de-cides to extend the time limits on that basis, the Foundation shall as soon as practicable notify the requester in writing of the unusual circumstances and of the date by which processing of the request can be expected to be com-plet

25、ed. Where the extension is for more than 10 working days, the Foundation shall provide the requester with an op-portunity either to modify the request so that it may be processed within the time limits or to arrange an alter-native time period for processing the request or a modified request. (2) Wh

26、ere the Foundation reasonably believes that multiple requests sub-mitted by a requester, or by a group of requesters acting in concert, constitute a single request that would otherwise involve unusual circumstances, and the requests involve clearly related mat-ters, they may be aggregated. Multiple

27、requests involving unrelated matters will not be aggregated. (d) Expedited processing. (1) Requests and appeals will be taken out of order and given expedited treatment when-ever it is determined that they involve: (i) Circumstances in which the lack of expedited treatment could reason-ably be expec

28、ted to pose an imminent threat to the life or physical safety of an individual; or VerDate Mar2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 01024 Fmt 8010 Sfmt 8010 Y:SGML223139.XXX 223139erowe on DSK2VPTVN1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without l

29、icense from IHS-,-,-1015 MKU Schshp. (2) You may ask for expedited proc-essing of a request for records at any time. (3) In order to request expedited proc-essing, you must submit a statement, certified to be true and correct to the best of your knowledge and belief, ex-plaining in detail the basis

30、for request-ing expedited processing. For example, if you are a requester within the cat-egory in paragraph (d)(1)(ii) of this sec-tion, and you are not a full-time mem-ber of the news media, you must estab-lish that you are a person whose main professional activity or occupation is information diss

31、emination, though it need not be your sole occupation; you also must establish a particular ur-gency to inform the public about the government activity involved in the re-quest, beyond the publics right to know about government activity gen-erally. The formality of certification may be waived as a m

32、atter of adminis-trative discretion. (4) Within 10 calendar days of receipt of a request for expedited processing, the Foundation will decide whether to grant it and will notify you of the deci-sion. If a request for expedited treat-ment is granted, the request will be given priority and processed a

33、s soon as practicable. If a request for expedited processing is denied, any appeal of that decision will be acted on expeditiously. 1600.5 Responses to requests. (a) Acknowledgments of requests. On receipt of your request, the Foundation ordinarily will send an acknowledg-ment letter to you, which w

34、ill confirm your agreement to pay fees under 1600.3(d) and provide an assigned re-quest number for further reference. (b) Referral to another agency. When a requester seeks records that originated in another Federal government agency, the Foundation will refer the request to the other agency for res

35、ponse. If the Foundation refers the request to an-other agency, it will notify the re-quester of the referral. A request for any records classified by some other agency will be referred to that agency for response. (c) Grants of requests. Ordinarily, the Foundation will have 20 business days from wh

36、en your request is received to determine whether to grant or deny your request. Once the Foundation de-termines to grant a request in whole or in part, it will notify you in writing. The Foundation will inform you in the notice of any fee charged under 1600.10 and will disclose records to you prompt

37、ly on payment of any applicable fee. Records disclosed in part will be marked or annotated to show the amount of information deleted, unless doing so would harm an interest pro-tected by an applicable exemption. The location of the information deleted also will be indicated on the record, if technic

38、ally feasible. (d) Adverse determinations of requests. If the Foundation denies your request in any respect, it will notify you of that determination in writing. Adverse determinations, or denials of requests, consist of: a determination to withhold any requested record in whole or in part; a determ

39、ination that a requested record does not exist or cannot be lo-cated; a determination that a record is not readily reproducible in the form or format sought; a determination that what has been requested is not a record subject to the FOIA; a determination on any disputed fee matter, including a deni

40、al of a request for a fee waiver; and a denial of a request for expedited treatment. The denial letter shall be signed by the General Counsel or his/ her designee, and shall include: (1) The name and title or position of the person responsible for the denial; (2) A brief statement of the reason(s) f

41、or the denial, including any FOIA ex-emption applied by the component in denying the request; (3) An estimate of the volume of records or information withheld, in number of pages or in some other rea-sonable form of estimation. This esti-mate does not need to be provided if the volume is otherwise i

42、ndicated through deletions on records disclosed in part, or if providing an estimate would harm an interest protected by an applicable exemption; and VerDate Mar2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 01025 Fmt 8010 Sfmt 8010 Y:SGML223139.XXX 223139erowe on DSK2VPTVN1PROD with CFRProvided by

43、 IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-1016 36 CFR Ch. XVI (7111 Edition) 1600.6 (4) A statement that the denial may be appealed under 1600.8(a) and a de-scription of the requirements for ap-peal. 1600.6 Disclosure of requested records. (a) The Foundat

44、ion shall make re-quested records available to the public to the greatest extent possible in keep-ing with the FOIA, except that the fol-lowing records are exempt from the disclosure requirements: (1) Records specifically authorized under criteria established by an Execu-tive order to be kept secret

45、 in the in-terest of national defense or foreign policy and which are, in fact, properly classified pursuant to such Executive order; (2) Records related solely to the in-ternal personnel rules and practices of the Foundation; (3) Records specifically exempted from disclosure by statute (other than

46、5 U.S.C. 552(b), provided that such statute requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue or that the statute establishes particular criteria for withholding in-formation or refers to particular types of matters to be withheld. An examp

47、le that applies to the Foundation is the confidentiality protection for dispute resolution communications provided by the Administrative Dispute Resolu-tion Act of 1996 (ADRA, 5 U.S.C. 571 574). (4) Records containing trade secrets and commercial or financial informa-tion obtained from a person and

48、privi-leged or confidential; (5) Interagency or intra-agency memoranda or letters which would not be available by law to a party other than an agency in litigation with the Foundation; (6) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted in

49、vasion of personal privacy; (7) Records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or infor-mation: (i) could reasonably be expected to interfere with enforcement pro-ceedings; (ii) would deprive a person of a right to a fair trial or an impartial adjudica-tion; (iii) could reasonably be expected to constitute an unwarranted invasion of personal privacy; (iv) could reasonably