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any responsive records located to determine whether they are exempt from disclosure. (c) When it is estimated that the Search charges, review charges, duplication fees, or any combination of fees that could be charged to the requestor will likely exceed US $25, the requestor will be notified of the estimated amount of the fees, unless the requestor has indicated in advance his or her Willingness to pay fees as high as those anticipated. In cases where a requestor has been notified that actual or estimated fees may annount to more than US $25, the request will be deemed not to have been received until the requestor has agreed to pay the anticipated total fee. The notice will also inform the requestor how to consult with the appropriate DOT officials with the object of reformulating the request to meet his or her needs at a lower cost. (d) Payment of fees may be required prior to actual duplication or delivery of any releasable records to a requestor. However, advance payment, i.e., before work is commenced or continued on a request, may not be required unless: (1) Allowable charges that a requestor may be required to pay are likely to exceed US $250; or (2) The requestor has failed to pay within 30 days of the billing date fees charged for a previous request to any part of DOT. (e) When paragraph (d)(1) Of this Section applies, the requestor will be notified of the likely cost and, where he/she has a history of prompt payment of FOIA fees, requested to furnish satisfactory assurance of full payment of FOIA fees. Where the requestor does not have any history of payment, he or she may be required to make advance payment of any amount up to the full estimated charges. (f) When paragraph (d)(2) of this section applies, the requestor will be required to demonstrate that the fee has, in fact, been paid or to pay the full amount owed, including any applicable interest, late handling charges, and penalty charges as discussed in paragraphs (g) and (h) of this section. The requestor will also be required to make an advance payment of the full amount of the estimated fee before processing

of a new request or continuation of a pending request is begun. (g) DOT will assess interest on an unpaid bill starting on the 31st day following the day on which the notice of the amount due is first mailed to the requestor. Interest will accrue from the date of the notice of amount due and will be at the rate prescribed in 31 U.S.C. 3717. Receipt by DOT of a payment for the full amount of the fees owed within 30 calendar days after the date of the initial billing will stay the accrual of interest, even if the payment has not been processed. (h) If payment of fees charged is not received within 30 calendar days after the date the initial notice of the amount due is first mailed to the reQuestor, an administrative charge will be assessed by DOT to cover the cost of processing and handling the delinquent claim. In addition, a penalty charge will be applied with respect to any principal amount of a debt that is more than 90 days past due. Where appropriate, other steps permitted by Federal debt collection statutes, including disclosure to consumer reporting agenCies and use of collection agencies, will be used by DOT to encourage payment of amounts overdue. (i) Notwithstanding any other proviSion of this subpart, when the total amount of fees that could be charged for a particular request (or aggregation of requests) under subpart C of this part, after taking into account all Services that must be provided free of, or at a reduced, charge, is less than US $10.00 DOT will not make any charge for fees.

§ 7.43 Fee schedule.

The rates for manual searching, computer Operator/programmer time and time Spent reviewing records will be calculated based on the grades and rates established by the WashingtonBaltimore Federal White-Collar Pay Schedule or equivalent grades, as follows:

When performed by employees:

GS-1 through GS-8–Hourly rate of GS-5 step 7 plus 16%

GS–9 through GS-14—Hourly rate of GS-12 step 7 plus 16%

GS-15 and above—Hourly rate of GS-15 step 7 plus 16%

(a) The standard fee for a manual search to locate a record requested under subpart C of this part, including making it available for inspection, will be determined by multiplying the searcher’s rate as calculated from the chart in this Section and the time spent conducting the Search. (b) The standard fee for a computer search for a record requested under subpart C of this part is the actual cost. This includes the cost of operating the central processing unit for the time directly attributable to searching for records responsive to a FOIA request and the operator/programmer’s rate as calculated from the chart for costs apportionable to the search. (c) The standard fee for review of records requested under subpart C of this part is the reviewer’s rate as calculated from the chart multiplied by the time he/she spent determining whether the requested records are exempt from mandatory disclosure. (d) The standard fee for duplication of a record requested under subpart, C Of this part is determined as follows: (1) Per copy of each page (not larger than 8.5 x 14 inches) reproduced by photoCopy or similar means (includes costs of personnel and equipment)—US $0.10. (2) Per copy prepared by computer Such as tapes or printout—actual costs, including Operator time. (3) Per copy prepared by any other method of duplication—actual direct COSt. Of production. (e) Depending upon the category of requestor, and the use for which the records are requested, in some cases the fees computed in accordance with the Standard fee schedule in paragraph (d) of this section will either be reduced or not charged, as prescribed by Other provisions of this subpart. (f) The following special services not required by FOIA may be made available upon request, at the stated fees: Certified copies of documents, with DOT or DOT component seal (where authorized)—US $4.00; or true copy, withOut Seal—US $2.00.

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hours of Search time unless the records are requested for commercial use. For purposes of this subpart, when a computer Search is required two hours of Search time will be considered spent when the hourly costs of operating the Central processing unit used to perform the Search added to the computer operator’s Salary cost (hourly rate plus 16 percent) equals two hours of the computer Operator’s salary costs (hourly rate plus 16 percent). (b) A fee is not to be charged for any time Spent Searching for a record requested under subpart C if the records are not for commercial use and the reQuest Or is a representative of the news media, an educational institution whose purpose is scholarly research, or a non-Commercial Scientific institution whose purpose is scientific research. (c) A fee is not to be charged for duplication of the first 100 pages (standard paper, not larger than 8.5 x 14 inches) of records provided to any requestor in response to a request under Subpart C unless the records are requested for commercial use. (d) A fee is not to be charged to any requestor under subpart C to determine whether a record is exempt from mandatory disclosure unless the record is requested for commercial use. A review charge may not be charged except with respect to an initial review to determine the applicability of a particular exemption to a particular record or portion of a record. A review charge may not be assessed for review at the administrative appeal level. When records or portions of records withheld in full under an exemption that is subSequently determined not to apply are reviewed again to determine the appliCability of other exemptions not previously considered, this is considered an initial review for purposes of assessing a review charge. (e) Documents will be furnished without charge or at a reduced charge if the official having initial denial authority determines that disclosure of the information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requestor.

(f) Factors to be considered by DOT officials authorized to determine whether a waiver or reduction of fees will be granted include: (1) Whether the subject matter of the requested records concerns the Operations or activities of the Federal government; (2) Whether the disclosure is likely to contribute to an understanding of Federal government operations or activities; (3) Whether disclosure of the requested information will contribute to the understanding of the public at large, as opposed to the individual understanding of the request Or Or a narrow segment of interested persons; (4) Whether the contribution to public understanding of Federal government operations or activities will be

Significant; (5) Whether the requestor has a Commercial interest that would be

furthered by the requested disclosure; and (6) Whether the magnitude of any identified commercial interest to the requestor is sufficiently large in Comparison with the public interest in disclosure that disclosure is primarily in the commercial interest of the requestor. (g) Documents will be furnished without charge or at a reduced charge if the official having initial denial authority determines that the request Concerns records related to the death of an immediate family member who was, at the time of death, a DOT employee or a member of the Coast Guard. (h) Documents will be furnished without charge or at a reduced charge if the official having initial denial authority determines that the request is by the victim of a crime who seeks the record of the trial or court-martial at which the requestor testified.

§ 7.45 Transcripts.

Transcripts of hearings or oral arguments are available for inspection. Where transcripts are prepared by a nongovernmental contractor, and the contract permits DOT to handle the reproduction of further copies, $7.43 applies. Where the contract for transcription services reserves the sales privilege to the reporting service, any

duplicate copies must be purchased directly from the reporting Service.

$7.46 Alternative sources of information.

In the interest of making documents of general interest publicly available at as low a cost as possible, alternative Sources will be arranged whenever posSible. In appropriate instances, material that is published and offered for sale may be obtained from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402; U.S. Department of Commerce's National Technical Information Service (NTIS), Springfield, Virginia, 22151; or National Audio-Visual Center, National Archives and Records Administration, Capital Heights, MD 20743–3701.


Subport A-Generol


8.1 Scope.

8.3 Applicability. 8.5 Definitions. 8.7 Spheres of responsibility.

Subpdrf B-Classification/Declassification of Informotion

8.9 Information Security Review Committee. 8.11 Authority to classify information. 8.13 Authority to downgrade or declassify. 8.15 Mandatory review for classification. 8.17 Classification challenges. 8.19 Procedures for submitting and processing requests for classification reviews. 8.21 Burden of proof. 8.23 Classified information transferred to the Department of Transportation.

Subport C–Access to Information

8.25 Personnel Security Review Board. 8.27 Public availability of declassified information. 8.29 Access by historical researchers and former Presidential appointees. 8.31 Industrial Security.

AUTHORITY: E. O. 10450, 3 CFR, 1949–1953 Comp., p. 936; E. O. 12829, 3 CFR, 1993 Comp., p. 570; E. O. 12958, 3 CFR, 1995 Comp., p. 333; E. O. 12968, 3 CFR, 1995 Comp., p. 391.

SOURCE: 62 FR 23661, May 1, 1997, unless Otherwise noted.

Subport A–General

$8.1 Scope.

This part sets forth procedures for the classification, declassification, and availability of information that must be protected in the interest of national security, in implementation of Executive Order 12958 of April 17, 1995, “Classified National Security Information;” and for the review of decisions to revoke, or not to issue, national Security information clearances, or to deny access to classified information, under Executive Order 12968 of August 2, 1995, “Access to National Security Information”.

$8.3 Applicability.

This part applies to all elements of the Department of Transportation.

$8.5 Definitions.

As used in this part: Classification means the act or process by which information is determined to be classified information. Classification levels means the following three levels at which information may be classified: (a) Top secret. Information that requires the highest degree of protection, and the unauthorized disclosure of which could reasonably be expected to Cause exceptionally grave damage to the national security that the original classification authority is able to identify or describe. (b) Secret. Information that requires a Substantial degree of protection, and the unauthorized disclosure of which could reasonably be expected to cause Serious damage to the national Security that the original classification authority is able to identify or describe. (C) Confidential. Information that requires protection and the unauthorized disclosure of which could reasonably be expected to cause damage to the national Security that the original classification authority is able to identify or describe. Classified information or “classified national Security information” means information that has been determined under Executive Order 12958, or any predecessor or successor order, to reQuire protection against unauthorized disclosure, and is marked to indicate

its classified Status when in documentary form. Clearance means that an individual is eligible, under the standards of Executive Orders 10450 and 12968 and appropriate DOT regulations, for access to classified information. Damage to the national security means harm to the national defense or foreign relations of the United States from the unauthorized disclosure of information, to include the Sensitivity, value, and utility of that information. Declassification means the authorized change in the status of information from classified information to unclassified information. Downgrading means a determination by a declassification authority that information classified and safeguarded at a specific level shall be classified and Safeguarded at a lower level. Information means any knowledge that can be communicated, or documentary material, regardless of its physical form or characteristics, that is owned by, produced by or for, or is under the control of the United States Government. “Control” means the authority of the agency that originates information, or its Successor in function, to regulate access to the information.

Mandatory declassification review means the review for declassification of classified information in response to a request for declassification that qualifies under Section 3.6 of Executive Order 12958. Original classification means an initial determination that information reQuires, in the interest of national Security, protection against unauthorized disclosure. Original classification authority means an individual authorized in Writing, either by the President or by agency heads or other officials designated by the President, to classify information in the first instance.

$8.7 Spheres of responsibility.

(a) Pursuant to Section 5.6(c) of Executive Order 12958, and to section 6.1 of Executive Order 12968, the Assistant Secretary for Administration is hereby designated as the senior agency official of the Department of Transportation with assigned responsibilities to assure effective compliance with and implementation of Executive Order 12958, Executive Order 12968, Office of Management and Budget Directives, the regulations in this part, and related issuances.

(b) In the discharge of these responsibilities, the Assistant Secretary for Administration will be assisted by the Director of Security and Administrative Management, who, in addition to other actions directed by this part, will evaluate the overall application of and adherence to the Security policies and requirements prescribed in this part and who will report his/her findings and recommendations to the Assistant Secretary for Administration, heads of Departmental elements, and, as appropriate, to the Secretary.

(c) Secretarial Officers and heads of Departmental elements will assure that the provisions in this part are effectively administered, that adequate personnel and funding are provided for this purpose, and that corrective a Ctions that may be warranted are taken promptly.

Subport B-Cldssification/ Declossificosion of Informotion

$8.9 Information Committee.

(a) There is hereby established a Department of Transportation Information Security Review Committee, which will have authority to:

(1) Act on all suggestions and Complaints not otherwise resolved with respect to the Department’s administration of Executive Order 12958 and implementing directives, including those regarding overclassification, failure to declassify, or delay in declassifying;

(2) Act on appeals of requests for classification reviews, and appeals of requests for records under 5 U.S.C. 552 (Freedom of Information Act) when the initial, and proposed final, denials are based on continued classification of the record; and

(3) Recommend to the Secretary, when necessary, appropriate administrative action to Correct abuse or ViOlation of any provision of Executive Order 12598 and implementing directiveS.

Security Review

(b) The Information Security Review Committee will be composed of the ASsistant Secretary for Administration, who will serve as Chair; the General Counsel; and the Director of Security and Administrative Management. When matters affecting a particular Departmental agency are at issue, the ASSociate Administrator for Administration for that agency, or the Chief of Staff for the U.S. Coast Guard, as the case may be, will participate as an ad hoc member, together with the Chief Counsel of that agency. Any regular member may designate a representative with full power to serve in his/her place. (C) In Carrying Out its responsibilities to review decisions to revoke or not to issue clearances, or to deny access to Classified information, the Committee will establish whatever procedures it deems fit.

$8.11 Authority to classify information.

(a) Executive Order 12958 Confers upon the Secretary of Transportation the authority to originally classify information as SECRET or CONFIDENTIAL with further authorization to delegate this authority. (b) The following delegations of authority originally to classify information as “Secret” or “Confidential”, which may not be redelegated, are hereby made: (1) Office of the Secretary of Transportation. The Deputy Secretary; ASSistant Secretary for Administration; Director of Intelligence and Security; Director of Security and Administrative Management. (2) United States Coast Guard. Commandant; Chief, Office of Law Enforcement and Defense Operations. (3) Federal Aviation Administration. Administrator; Assistant Administrator for Civil Aviation Security. (4) Maritime Administration. Administrator. (c) Although the delegations of authority set out in paragraph (b) of this Section are expressed in terms of positions, the authority is personal and is invested only in the individual occupying the position. The authority may not be exercised “by direction of" a.

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