81 FR 95547 - Office of Government Information Services
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Office of Government Information Services Federal Register Volume 81, Issue 249 (December 28, 2016)
Office of Government Information Services
Federal Register Volume 81, Issue 249 (December 28, 2016)
| Page Range | 95547-95550 | |
| FR Document | 2016-31010 |
[Federal Register Volume 81, Number 249 (Wednesday, December 28, 2016)] [Proposed Rules] [Pages 95547-95550] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-31010] ----------------------------------------------------------------------- NATIONAL ARCHIVES AND RECORDS ADMINISTRATION Office of Government Information Services 36 CFR Chapter XII [FDMS No. NARA-16-0004; NARA-2017-001] RIN 3095-AB88 Office of Government Information Services AGENCY: Office of Government Information Services, NARA. ACTION: Proposed rule. ----------------------------------------------------------------------- SUMMARY: The Open Government Act of 2007 created the Office of Government Information Services (OGIS) within the National Archives and Records Administration (NARA). OGIS has three statutorily defined functions: OGIS offers mediation services to help resolve FOIA disputes; reviews agency FOIA policies, procedures and compliance; and identifies procedures and methods for improving compliance under the FOIA. This proposed rule sets out the implementing guidance and procedures by which OGIS carries out its statutory mission, and explains OGIS's role in the FOIA process. DATES: Submit comments on or before February 27, 2017. ADDRESSES: You may submit comments on this rule, identified by RIN 3095-AB88, by any of the following methods:Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for submitting comments. Email: [email protected]. Include RIN 3095-AB88 in the subject line of the message. Mail (for paper, disk, or CD-ROM submissions): Send comments to: Regulations Comments Desk (External Policy Program, Strategy & Performance Division (SP)); Suite 4100; National Archives and Records Administration; 8601 Adelphi Road; College Park, MD 20740- 6001. Hand delivery or courier: Deliver comments to front desk at 8601 Adelphi Road, College Park, MD, addressed to: Regulations Comments Desk, External Policy Program; Suite 4100. FOR FURTHER INFORMATION CONTACT: For information or questions about the regulation and the comments process, contact Kimberly Keravuori, External Policy Program Manager, by email at [email protected], or by telephone at 301.837.3151. For information or questions on the OGIS program, contact Nikki Gramian, Deputy Director, OGIS, by telephone at 1-877-684-6448. SUPPLEMENTARY INFORMATION: Background The OPEN Government Act of 2007 (Pub. L. 110-175, 121 Stat. 2524) amended the Freedom of Information Act, or FOIA (5 U.S.C. 552, as amended), and created the Office of Government Information Services (OGIS) within the National Archives and Records Administration. OGIS began receiving FOIA cases in September 2009. This proposed regulation explains OGIS's statutory role in the FOIA process and sets out procedures for one of OGIS's primary functions: Assisting agencies and FOIA requesters with efforts to resolve FOIA disputes. In the future, this regulation will also include provisions on OGIS's other functional areas, which are currently under development. OGIS's Mediation Function Title 5, United State Code Sec. 552(h)(3), states that ``The Office of Government Information Services shall offer mediation services to resolve disputes between persons making requests under this section and administrative agencies as a non-exclusive alternative to litigation. . .'' As a result, we offer dispute resolution services, which is an umbrella term encompassing formal mediation (where a mediator conducts formal sessions to assist in resolving a dispute), facilitation (an informal process in which a mediator aids communication among and between the parties to resolve a dispute), and other commonly recognized resolution methods. OGIS's dispute resolution services may also include OGIS's ombuds services (which include providing information) when those services aid in resolving disputes. Our goal is to be an alternative to litigation by facilitating communication between a requester and the agency and by attempting to resolve disputes arising out of requests for information. We provide all our dispute resolution services in accordance with the Administrative Dispute Resolution Act (ADRA), 5 U.S.C. 571, et seq. Both FOIA requesters and agencies may contact us to help resolve a dispute at any point in the FOIA process. We do not advocate on behalf of a requester or agency; the office promotes a fair FOIA process and works with parties to reach a mutually agreeable resolution. If the parties agree that the dispute has been resolved, we will close the case and may follow-up with the agency to confirm that any agreed-upon action was taken. However, if the parties cannot agree on a resolution, OGIS will issue a final response letter to the parties indicating that we are concluding the dispute resolution efforts. Regulatory Analysis Review Under Executive Orders 12866 and 13563 Executive Order 12866, Regulatory Planning and Review, 58 FR 51735 (September 30, 1993), and Executive Order 13563, Improving Regulation and Regulation Review, 76 FR 23821 (January 18, 2011), direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). This proposed rule is ``significant'' under section 3(f) of Executive Order 12866 because it establishes OGIS implementing regulatory provisions for the first time. The Office of Management and Budget (OMB) has reviewed this proposed regulation. Review Under the Regulatory Flexibility Act (5 U.S.C. 601, et seq.) This review requires an agency to prepare an initial regulatory flexibility analysis and publish it when the agency publishes the proposed rule. This requirement does not apply if the agency certifies that the rule will not, if promulgated, have a significant economic impact on a substantial number of small entities (5 U.S.C. 603). NARA certifies, after review and analysis, that this proposed rule will not have a significant adverse economic [[Page 95548]] impact on small entities. The proposed regulation interprets OGIS's mandate under its authorizing statute, and any requirements within the proposed regulation apply to Federal agencies subject to FOIA. The proposed rule also eases burdens on members of the public who encounter difficulty in accessing Federal information; and encourages the use of alternative dispute resolution methods as an additional means by which people or businesses may receive aid in resolving such difficulties. Review Under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.) This proposed rule contains information collection activities that are subject to review and approval by the Office of Management and Budget (OMB) under the Paperwork Reduction Act. We refer to the following OMB-approved information collection in Sec. 1291.12 of this regulation: OMB control No. 3095-0068, Request for Assistance and Consent (NA Form 10003), approved through December 31, 2016. We published the information collection notice in the Federal Register in June 2010 (75 FR 36122, June 24, 2010) for public comment, and the notice of OMB review in the Federal Register in September 2010 (75 FR 57819, September 22, 2010), providing a second opportunity for public comment. Review Under Executive Order 13132, Federalism, 64 FR 43255 (August 4, 1999) Review under Executive Order 13132 requires that agencies review regulations for Federalism effects on the institutional interest of states and local governments, and, if the effects are sufficiently substantial, prepare a Federal assessment to assist senior policy makers. This proposed rule will not have any direct effects on State and local governments within the meaning of the Executive Order. Therefore, this regulation does not require a Federalism assessment. List of Subjects in 36 CFR Part 1291 Alternative dispute resolution, Freedom of Information Act, Information, Mediation, Record-keeping requirements. For the reasons stated in the preamble, NARA proposes to amend by add Subchapter I of chapter XII, title 36 of the Code of Federal Regulations, to read as follows: Chapter XII--National Archives and Records Administration Subchapter I--Office of Government Information Services (OGIS) PART 1291--OFFICE OF GOVERNMENT INFORMATION SERVICES (OGIS) PROGRAMS Subpart A--General Information Sec. 1291.1 Scope of this part. 1291.2 Definitions. 1291.4 OGIS functions and responsibilities. 1291.6 Contact information. Subpart B--Dispute Resolution Services 1291.10 Dispute resolution services, policies, and responsibilities. 1291.12 Requesting dispute resolution services. 1291.14 Dispute resolution process. Subpart C--Reviews of Agency FOIA Policies, Procedures, and Compliance [Reserved] Subpart D--Advisory Opinions [Reserved] Authority: 5 U.S.C 552, as amended; Pub. L. 110-175, 121 Stat. 2524; 44 U.S.C. 2104(a) Subpart A--General Information Sec. 1291.1 Scope of this part. This part establishes policies and procedures for Federal agencies and public requesters who wish to make use of OGIS's voluntary dispute resolution services. Sec. 1291.2 Definitions. The following definitions apply to this part: Agency is any organization within the executive branch of the Federal Government that is subject to the FOIA. This includes any executive department, military department, independent regulatory agency, Government corporation, and other establishment within the executive branch (including the Executive Office of the President). Agency records are records the agency (1) either creates or obtains, and (2) maintains under its control at the time of the FOIA request in any format, including electronic. Administrative appeal is a request asking an agency to independently review determination(s) it made in response to an initial FOIA request. The FOIA grants requesters the right to appeal. Chief FOIA officer is a designated high-level official within each agency who has overall responsibility for the agency's compliance with the FOIA. Confidentiality means that OGIS and the parties participating in dispute resolution efforts will not disclose information you provide in the course of dispute resolution discussions and sessions, unless an exception applies under the Administrative Dispute Resolution Act (ADRA), 5 U.S.C. 571-584. Dispute resolution services are the formal and informal processes through which a neutral third party--a mediator--assists parties to reach a mutually agreeable resolution to FOIA disputes. Our dispute resolution services include formal mediation (where a mediator conducts formal sessions to assist in resolving a dispute), facilitation (an informal process in which a mediator aids communication among and between the parties to resolve a dispute), and other commonly recognized resolution methods. They may also include our ombuds services (which include providing information) when the ombuds services aid in resolving disputes. Exhaustion of administrative remedies means that a requester sent an initial FOIA request to an agency, received a substantive response from the agency, filed a timely administrative appeal about the response, and received a final determination on that appeal. Constructive exhaustion of administrative remedies may also occur when the agency fails to meet applicable deadlines set out in 5 U.S.C. 552(a)(6)(C)(i). FOIA is the Freedom of Information Act, 5 U.S.C. 552, as amended. FOIA request is a request submitted to a Federal agency asking for agency records on any topic. A FOIA request can generally be made by any person and to any Federal agency. A request can be a first-party request (requester seeking documents on themselves) or a third-party request (requester seeking documents on other individuals, companies, or topics of interest.) In confidence means a party provides information to the mediator and expressly requests that the mediator not disclose that information to the other party(ies) or others, except to the extent the information is publicly available. Initial FOIA request is the FOIA request a person or organization first submitted to the agency, prior to any appeal. Mediator is an OGIS staff member or an outside mediator who provides dispute resolution services through OGIS's program. See definition of dispute resolution services for more detail. Requester or FOIA requester means any person or organization requesting records from a Federal agency under the FOIA. [[Page 95549]] Sec. 1291.4 OGIS functions and responsibilities. Pursuant to 5 U.S.C. 552(h), OGIS: (1) Reviews agency FOIA policies and procedures; (2) Reviews agency compliance with the FOIA; (3) Identifies procedures and methods for improving compliance under the FOIA; and (4) Offers mediation services to help FOIA requesters and agencies resolve disputes, as a non-exclusive alternative to litigation. Sec. 1291.6 Contact information. You may contact OGIS by mail at Office of Government Information Services (OGIS); National Archives and Records Administration (NARA); 8601 Adelphi Road; College Park, MD 20740, by telephone at 202.741.5770 or toll-free at 1.877.684.6448, by fax at 202.741.5769, or by email at [email protected]. You may also find additional information about OGIS at www.archives.gov/ogis. Subpart B--Dispute Resolution Services Sec. 1291.10 Dispute resolution services, policies, and responsibilities. (a) OGIS dispute resolution services facilitate and promote dispute resolution through non-binding, voluntary actions aided by an unbiased third party, as a non-exclusive alternative to litigation. (b) We perform all our dispute resolution services and responsibilities in accordance with the ADRA, 5 U.S.C. 571-584. (c) We follow the ADRA's principles for confidentiality strictly and do not disclose any information parties share as part of OGIS's dispute resolution efforts, unless an exception applies under ADRA, 5 U.S.C. 574. Therefore, we will not disclose OGIS's dispute resolution discussions, materials, correspondence, notes, any draft resolutions, and any other material related to the dispute. This allows all parties in dispute resolution discussions to be forthcoming, candid, and without concern that either OGIS or the other party may later use any statements against them. (d) We offer dispute resolution services only at the request of one or more of the parties to the dispute, but we may decline to offer dispute resolution services when: (1) The requester seeks OGIS assistance concerning matters other than access to records under the FOIA; (2) The requester fails to provide the necessary information under Sec. 1291.12(a) of this part; or (3) The requester files a request for assistance with OGIS six or more years after the agency's decision on their FOIA request (the statute of limitations period for filing a lawsuit challenging an adverse decision under FOIA is six years (see 28 U.S.C. 2401(a) and Spannaus v. U.S. Dep't of Justice, 824 F.2d 52 (D.C. Cir. 1987)). (e) Dispute resolution services may occur only when all parties agree to participate. (1) The parties must agree to OGIS's assistance, agree that dispute resolution services are a supplement to, not a substitute for, the agency's administrative FOIA process, agree to keep the content of dispute resolution discussions confidential, and agree that OGIS's services are a non-exclusive alternative to Federal court litigation. (2) Agreeing to participate in dispute resolution services and to discuss a dispute and possible resolutions does not mean that an agency is admitting to noncompliance, and resolving a dispute does not constitute a finding that the agency did not comply with FOIA. (f) Once the parties agree to engage in dispute resolution services, they should participate fully and promptly in any meetings or telephone discussions arranged by OGIS as part of the dispute resolution process. Either party can share information with OGIS in confidence to enable OGIS's dispute resolution process to work as intended. Sec. 1291.12 Requesting dispute resolution services. (a) To request OGIS dispute resolution services, either the agency or the FOIA requester must file a written request that includes: (1) Your name (individual, or representative of an agency or other group); (2) Contact information (mailing address, phone number, email address); (3) Brief description of the nature of the dispute; (4) Name of the agency; and (5) Copies of the following documents: (i) The initial FOIA request; (ii) any agency responses to the initial request; (iii) the appeal, if any; (iv) any agency responses to the appeal; and (v) any other relevant correspondence between the FOIA requester and the agency about processing the initial FOIA request or appeal. (b) In addition, if you are a FOIA requester, you may also need to submit a signed NA Form 10003, Consent to Make Inquiries and Release of Information and Records (available at https://ogis.archives.gov/mediation-program/request-assistance/privacy-consent-statement.htm), OMB control No. 3095-0068. OMB Control No. 3095-0068 governs collection of the information in this section and the NA Form 10003. You need to submit this form to OGIS only if the agency you submitted your FOIA request to does not already have a FOIA routine use in place allowing them to release information about your FOIA request to us. You may find out if an agency has this kind of routine use in place on our Web site at https://ogis.archives.gov/mediation-program/request-assistance/routine-uses.htm. (c) After we receive the request for dispute resolution services, we review the request and any enclosures, enter the request into our case tracking system, and assign a case number to the request. (d)(1) We send you an acknowledgement letter in writing within ten business days after we receive your request for dispute resolution services. The acknowledgment letter does not mean that we have committed to offering dispute resolution services in your case. (2) If your dispute resolution services request did not include sufficient information, the acknowledgment letter may request additional information or clarification. In such cases, you have 20 business days from the date on the acknowledgment letter in which to send us the additional information, initiate contact to discuss the request, or request additional time. (e) If you don't provide the additional information or contact OGIS within 20 business days from the date on the acknowledgment letter requesting additional information, we may close the case. If you contact OGIS with additional information after the 20 business days expire, we will open a new case. Sec. 1291.14 Dispute resolution process. (a) When we receive a request for dispute resolution services from one or more parties to a dispute, we review the information to determine if we may appropriately offer such services. To make this determination, we review the dispute resolution request and make sure it meets the requirements for dispute resolution services contained in 36 CFR 1291.10 and 1291.12 of this part. (b) Once we determine that we may appropriately offer dispute resolution services, the other party or parties must also agree to engage in the process before resolution efforts can occur. If they agree, we assign one or more mediators to the dispute. If we determine that we are unable to offer dispute resolution services, we notify the party who requested the services, [[Page 95550]] explain why we are unable to provide dispute resolution services, and advise them of other options. (c) Mediators facilitate communication between the parties, including joint or separate discussions, to help them come to a mutually agreeable solution. The mediators may use all appropriate customary techniques associated with dispute resolution. (d) We do not permit the parties to make any audio or video recordings of dispute resolution meetings. The mediator's notes are confidential and we do not disclose them. The parties also agree to keep the content of the dispute resolution discussions confidential. (e) Proceedings with the mediator are informal, and the mediator has no authority to compel the parties to resolve the dispute. Either party may withdraw from the dispute resolution process at any point. If one of the parties initiates litigation during the course of the dispute resolution process, they must notify us. (f) If the parties reach an impasse, the mediator may raise the dispute to the Deputy Director of OGIS. The Deputy Director may provide the parties with an assessment of the situation as an additional level of dispute resolution efforts to assist the parties with breaking the impasse. Any assessment the Deputy Director provides is confidential and the parties may not rely upon it in any subsequent proceedings. (g) OGIS issues a final response letter to the parties when the dispute resolution process concludes. This letter documents the outcome of the process and any resolution the parties reach. No party may rely on the letter in subsequent proceedings and its contents are confidential unless both parties agree in writing to allow OGIS to disclose it publicly. Subpart C--Reviews of Agency FOIA Policies, Procedures, and Compliance [Reserved] Subpart D--Advisory Opinions [Reserved] Dated: December 14, 2016. David S. Ferriero, Archivist of the United States. [FR Doc. 2016-31010 Filed 12-27-16; 8:45 am] BILLING CODE 7515-01-P
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(1) A description of the records in • Mail (for paper, disk, or CD–ROM ombuds services (which include
question; submissions): Send comments to: providing information) when those
(2) A statement that the records Regulations Comments Desk (External services aid in resolving disputes. Our
described contain information compiled Policy Program, Strategy & Performance goal is to be an alternative to litigation
for law enforcement purposes and may Division (SP)); Suite 4100; National by facilitating communication between
be subject to the exemption provided by Archives and Records Administration; a requester and the agency and by
5 U.S.C. 552(b)(7) for records of this 8601 Adelphi Road; College Park, MD attempting to resolve disputes arising
type; and 20740–6001. out of requests for information. We
(3) The name of a contact person at • Hand delivery or courier: Deliver provide all our dispute resolution
NARA. comments to front desk at 8601 Adelphi services in accordance with the
(c) Any guidance an agency provides Road, College Park, MD, addressed to: Administrative Dispute Resolution Act
under paragraph (a) of this section is not Regulations Comments Desk, External (ADRA), 5 U.S.C. 571, et seq.
binding on the Archivist. The Archivist Policy Program; Suite 4100. Both FOIA requesters and agencies
decides whether Presidential records are FOR FURTHER INFORMATION CONTACT: For may contact us to help resolve a dispute
subject to the exemption in 5 U.S.C. information or questions about the at any point in the FOIA process. We do
552(b)(7). regulation and the comments process, not advocate on behalf of a requester or
Dated: December 15, 2016. contact Kimberly Keravuori, External agency; the office promotes a fair FOIA
David S. Ferriero, Policy Program Manager, by email at process and works with parties to reach
Archivist of the United States. regulation_comments@nara.gov, or by a mutually agreeable resolution. If the
[FR Doc. 2016–31011 Filed 12–27–16; 8:45 am] telephone at 301.837.3151. For parties agree that the dispute has been
information or questions on the OGIS resolved, we will close the case and may
BILLING CODE 7515–01–P
program, contact Nikki Gramian, Deputy follow-up with the agency to confirm
Director, OGIS, by telephone at 1–877– that any agreed-upon action was taken.
NATIONAL ARCHIVES AND RECORDS 684–6448. However, if the parties cannot agree on
ADMINISTRATION SUPPLEMENTARY INFORMATION:
a resolution, OGIS will issue a final
response letter to the parties indicating
Office of Government Information Background that we are concluding the dispute
Services The OPEN Government Act of 2007 resolution efforts.
(Pub. L. 110–175, 121 Stat. 2524) Regulatory Analysis
36 CFR Chapter XII amended the Freedom of Information
Act, or FOIA (5 U.S.C. 552, as Review Under Executive Orders 12866
[FDMS No. NARA–16–0004; NARA–2017– and 13563
001] amended), and created the Office of
Government Information Services Executive Order 12866, Regulatory
RIN 3095–AB88
(OGIS) within the National Archives Planning and Review, 58 FR 51735
Office of Government Information and Records Administration. OGIS (September 30, 1993), and Executive
Services began receiving FOIA cases in Order 13563, Improving Regulation and
September 2009. Regulation Review, 76 FR 23821
AGENCY: Office of Government This proposed regulation explains (January 18, 2011), direct agencies to
Information Services, NARA. OGIS’s statutory role in the FOIA assess all costs and benefits of available
ACTION: Proposed rule. process and sets out procedures for one regulatory alternatives and, if regulation
of OGIS’s primary functions: Assisting is necessary, to select regulatory
SUMMARY: The Open Government Act of agencies and FOIA requesters with approaches that maximize net benefits
2007 created the Office of Government efforts to resolve FOIA disputes. In the (including potential economic,
Information Services (OGIS) within the future, this regulation will also include environmental, public health and safety
National Archives and Records provisions on OGIS’s other functional effects, distributive impacts, and
Administration (NARA). OGIS has three areas, which are currently under equity). This proposed rule is
statutorily defined functions: OGIS development. ‘‘significant’’ under section 3(f) of
offers mediation services to help resolve Executive Order 12866 because it
FOIA disputes; reviews agency FOIA OGIS’s Mediation Function
establishes OGIS implementing
policies, procedures and compliance; Title 5, United State Code § 552(h)(3), regulatory provisions for the first time.
and identifies procedures and methods states that ‘‘The Office of Government The Office of Management and Budget
for improving compliance under the Information Services shall offer (OMB) has reviewed this proposed
FOIA. This proposed rule sets out the mediation services to resolve disputes regulation.
implementing guidance and procedures between persons making requests under
by which OGIS carries out its statutory this section and administrative agencies Review Under the Regulatory Flexibility
mission, and explains OGIS’s role in the as a non-exclusive alternative to Act (5 U.S.C. 601, et seq.)
FOIA process. litigation. . .’’ As a result, we offer This review requires an agency to
DATES: Submit comments on or before dispute resolution services, which is an prepare an initial regulatory flexibility
February 27, 2017. umbrella term encompassing formal analysis and publish it when the agency
ADDRESSES: You may submit comments mediation (where a mediator conducts publishes the proposed rule. This
sradovich on DSK3GMQ082PROD with PROPOSALS
on this rule, identified by RIN 3095– formal sessions to assist in resolving a requirement does not apply if the
AB88, by any of the following methods: dispute), facilitation (an informal agency certifies that the rule will not, if
• Federal eRulemaking Portal: http:// process in which a mediator aids promulgated, have a significant
www.regulations.gov. Follow the communication among and between the economic impact on a substantial
instructions for submitting comments. parties to resolve a dispute), and other number of small entities (5 U.S.C. 603).
• Email: Regulation_comments@ commonly recognized resolution NARA certifies, after review and
nara.gov. Include RIN 3095–AB88 in the methods. OGIS’s dispute resolution analysis, that this proposed rule will not
subject line of the message. services may also include OGIS’s have a significant adverse economic
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impact on small entities. The proposed Chapter XII—National Archives and information you provide in the course of
regulation interprets OGIS’s mandate Records Administration dispute resolution discussions and
under its authorizing statute, and any Subchapter I—Office of Government sessions, unless an exception applies
requirements within the proposed Information Services (OGIS) under the Administrative Dispute
regulation apply to Federal agencies Resolution Act (ADRA), 5 U.S.C. 571–
subject to FOIA. The proposed rule also PART 1291—OFFICE OF 584.
eases burdens on members of the public GOVERNMENT INFORMATION Dispute resolution services are the
who encounter difficulty in accessing SERVICES (OGIS) PROGRAMS formal and informal processes through
Federal information; and encourages the which a neutral third party—a
Subpart A—General Information mediator—assists parties to reach a
use of alternative dispute resolution
methods as an additional means by Sec. mutually agreeable resolution to FOIA
1291.1 Scope of this part. disputes. Our dispute resolution
which people or businesses may receive 1291.2 Definitions. services include formal mediation
aid in resolving such difficulties. 1291.4 OGIS functions and responsibilities. (where a mediator conducts formal
1291.6 Contact information.
Review Under the Paperwork Reduction sessions to assist in resolving a dispute),
Act of 1995 (44 U.S.C. 3501, et seq.) Subpart B—Dispute Resolution Services facilitation (an informal process in
1291.10 Dispute resolution services, which a mediator aids communication
This proposed rule contains policies, and responsibilities. among and between the parties to
information collection activities that are 1291.12 Requesting dispute resolution resolve a dispute), and other commonly
subject to review and approval by the services. recognized resolution methods. They
Office of Management and Budget 1291.14 Dispute resolution process. may also include our ombuds services
(OMB) under the Paperwork Reduction Subpart C—Reviews of Agency FOIA (which include providing information)
Act. We refer to the following OMB- Policies, Procedures, and Compliance when the ombuds services aid in
approved information collection in [Reserved] resolving disputes.
§ 1291.12 of this regulation: OMB Subpart D—Advisory Opinions [Reserved] Exhaustion of administrative
control No. 3095–0068, Request for remedies means that a requester sent an
Assistance and Consent (NA Form Authority: 5 U.S.C 552, as amended; Pub. initial FOIA request to an agency,
10003), approved through December 31, L. 110–175, 121 Stat. 2524; 44 U.S.C. 2104(a) received a substantive response from the
2016. We published the information agency, filed a timely administrative
Subpart A—General Information appeal about the response, and received
collection notice in the Federal Register
in June 2010 (75 FR 36122, June 24, § 1291.1 Scope of this part. a final determination on that appeal.
2010) for public comment, and the This part establishes policies and Constructive exhaustion of
notice of OMB review in the Federal procedures for Federal agencies and administrative remedies may also occur
Register in September 2010 (75 FR public requesters who wish to make use when the agency fails to meet applicable
of OGIS’s voluntary dispute resolution deadlines set out in 5 U.S.C.
57819, September 22, 2010), providing a
services. 552(a)(6)(C)(i).
second opportunity for public comment.
FOIA is the Freedom of Information
Review Under Executive Order 13132, § 1291.2 Definitions. Act, 5 U.S.C. 552, as amended.
Federalism, 64 FR 43255 (August 4, The following definitions apply to FOIA request is a request submitted to
1999) this part: a Federal agency asking for agency
Agency is any organization within the records on any topic. A FOIA request
Review under Executive Order 13132 executive branch of the Federal can generally be made by any person
requires that agencies review Government that is subject to the FOIA. and to any Federal agency. A request
regulations for Federalism effects on the This includes any executive can be a first-party request (requester
institutional interest of states and local department, military department, seeking documents on themselves) or a
governments, and, if the effects are independent regulatory agency, third-party request (requester seeking
sufficiently substantial, prepare a Government corporation, and other documents on other individuals,
Federal assessment to assist senior establishment within the executive companies, or topics of interest.)
policy makers. This proposed rule will branch (including the Executive Office In confidence means a party provides
not have any direct effects on State and of the President). information to the mediator and
local governments within the meaning Agency records are records the agency expressly requests that the mediator not
of the Executive Order. Therefore, this (1) either creates or obtains, and (2) disclose that information to the other
regulation does not require a Federalism maintains under its control at the time party(ies) or others, except to the extent
assessment. of the FOIA request in any format, the information is publicly available.
including electronic. Initial FOIA request is the FOIA
List of Subjects in 36 CFR Part 1291 Administrative appeal is a request request a person or organization first
asking an agency to independently submitted to the agency, prior to any
Alternative dispute resolution, review determination(s) it made in appeal.
Freedom of Information Act, response to an initial FOIA request. The Mediator is an OGIS staff member or
Information, Mediation, Record-keeping FOIA grants requesters the right to an outside mediator who provides
sradovich on DSK3GMQ082PROD with PROPOSALS
requirements. appeal. dispute resolution services through
For the reasons stated in the Chief FOIA officer is a designated OGIS’s program. See definition of
preamble, NARA proposes to amend by high-level official within each agency dispute resolution services for more
add Subchapter I of chapter XII, title 36 who has overall responsibility for the detail.
of the Code of Federal Regulations, to agency’s compliance with the FOIA. Requester or FOIA requester means
read as follows: Confidentiality means that OGIS and any person or organization requesting
the parties participating in dispute records from a Federal agency under the
resolution efforts will not disclose FOIA.
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explain why we are unable to provide ENVIRONMENTAL PROTECTION FOR FURTHER INFORMATION CONTACT:
dispute resolution services, and advise AGENCY Michelle Becker, Life Scientist,
them of other options. Attainment Planning and Maintenance
40 CFR Part 52 Section, Air Programs Branch (AR–18J),
(c) Mediators facilitate
communication between the parties, [EPA–R05–OAR–2016–0502; FRL–9955–88– Environmental Protection Agency,
Region 5] Region 5, 77 West Jackson Boulevard,
including joint or separate discussions,
Chicago, Illinois 60604, (312) 886–3901,
to help them come to a mutually
Air Plan Approval; Illinois; Volatile becker.michelle@epa.gov.
agreeable solution. The mediators may
Organic Compounds Definition SUPPLEMENTARY INFORMATION: In the
use all appropriate customary
techniques associated with dispute Final Rules section of this Federal
AGENCY: Environmental Protection
Register, EPA is approving the State’s
resolution. Agency (EPA).
SIP submittal as a direct final rule
(d) We do not permit the parties to ACTION: Proposed rule. without prior proposal because the
make any audio or video recordings of Agency views this as a noncontroversial
SUMMARY: The Environmental Protection
dispute resolution meetings. The submittal and anticipates no adverse
Agency (EPA) is proposing to approve a
mediator’s notes are confidential and we comments. A detailed rationale for the
revision to the Illinois State
do not disclose them. The parties also Implementation Plan (SIP). The revision approval is set forth in the direct final
agree to keep the content of the dispute amends the Illinois Administrative Code rule. If no adverse comments are
resolution discussions confidential. by updating the definition of volatile received in response to this rule, no
(e) Proceedings with the mediator are organic material or volatile organic further activity is contemplated. If EPA
informal, and the mediator has no compounds to exclude 2-amino-2- receives adverse comments, the direct
authority to compel the parties to methyl-1-propanol. This revision is in final rule will be withdrawn and all
response to an EPA rulemaking in 2014 public comments received will be
resolve the dispute. Either party may
which exempted this compound from addressed in a subsequent final rule
withdraw from the dispute resolution
the Federal definition of volatile organic based on this proposed rule. EPA will
process at any point. If one of the parties not institute a second comment period.
initiates litigation during the course of compounds on the basis that the
compound makes a negligible Any parties interested in commenting
the dispute resolution process, they on this action should do so at this time.
must notify us. contribution to tropospheric ozone
formation. Please note that if EPA receives adverse
(f) If the parties reach an impasse, the comment on an amendment, paragraph,
mediator may raise the dispute to the DATES: Comments must be received on or section of this rule and if that
Deputy Director of OGIS. The Deputy or before January 27, 2017. provision may be severed from the
Director may provide the parties with an ADDRESSES: Submit your comments, remainder of the rule, EPA may adopt
assessment of the situation as an identified by Docket ID No. EPA–R05– as final those provisions of the rule that
additional level of dispute resolution OAR–2016–0502 at http:// are not the subject of an adverse
efforts to assist the parties with breaking www.regulations.gov or via email to comment. For additional information,
the impasse. Any assessment the Deputy aburano.douglas@epa.gov. For see the direct final rule which is located
Director provides is confidential and the comments submitted at Regulations.gov, in the Rules section of this Federal
parties may not rely upon it in any follow the online instructions for Register.
subsequent proceedings. submitting comments. Once submitted, Dated: November 18, 2016.
comments cannot be edited or removed Robert A. Kaplan,
(g) OGIS issues a final response letter from Regulations.gov. For either manner
to the parties when the dispute Acting Regional Administrator, Region 5.
of submission, EPA may publish any
resolution process concludes. This letter [FR Doc. 2016–31230 Filed 12–27–16; 8:45 am]
comment received to its public docket.
documents the outcome of the process Do not submit electronically any BILLING CODE 6560–50–P
and any resolution the parties reach. No information you consider to be
party may rely on the letter in Confidential Business Information (CBI)
subsequent proceedings and its contents ENVIRONMENTAL PROTECTION
or other information whose disclosure is
AGENCY
are confidential unless both parties restricted by statute. Multimedia
agree in writing to allow OGIS to submissions (audio, video, etc.) must be 40 CFR Part 52
disclose it publicly. accompanied by a written comment.
The written comment is considered the [EPA–R06–OAR–2014–0513; FRL–9956–46–
Subpart C—Reviews of Agency FOIA official comment and should include Region 6]
Policies, Procedures, and Compliance discussion of all points you wish to
Approval and Promulgation of
[Reserved] make. EPA will generally not consider
Implementation Plans; Louisiana; State
comments or comment contents located
Boards
Subpart D—Advisory Opinions outside of the primary submission (i.e.
[Reserved] on the web, cloud, or other file sharing AGENCY: Environmental Protection
system). For additional submission Agency (EPA).
methods, please contact the person
sradovich on DSK3GMQ082PROD with PROPOSALS
Dated: December 14, 2016. ACTION: Proposed rule.
David S. Ferriero,
identified in the ‘‘For Further
Information Contact’’ section. For the SUMMARY: Pursuant to the Federal Clean
Archivist of the United States. full EPA public comment policy, Air Act (CAA or Act), the
[FR Doc. 2016–31010 Filed 12–27–16; 8:45 am] information about CBI or multimedia Environmental Protection Agency (EPA)
BILLING CODE 7515–01–P submissions, and general guidance on is approving revisions to the Louisiana
making effective comments, please visit State Implementation Plan (SIP) that
http://www2.epa.gov/dockets/ address requirements in CAA Section
commenting-epa-dockets. 128 regarding State Board composition
VerDate Sep<11>2014 18:33 Dec 27, 2016 Jkt 241001 PO 00000 Frm 00055 Fmt 4702 Sfmt 4702 E:\FR\FM\28DEP1.SGM 28DEP1](https://thefederalregister.org/doc/81_FR_95796/page/4.svg)
Document Created: 2016-12-28 02:16:38
Document Modified: 2016-12-28 02:16:38
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Proposed Rules | |
| Action | Proposed rule. | |
| Dates | Submit comments on or before February 27, 2017. | |
| Contact | For information or questions about the regulation and the comments process, contact Kimberly Keravuori, External Policy Program Manager, by email at [email protected], or by telephone at 301.837.3151. For information or questions on the OGIS program, contact Nikki Gramian, Deputy Director, OGIS, by telephone at 1-877-684-6448. | |
| FR Citation | 81 FR 95547 | |
| RIN Number | 3095-AB88 |
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