§7.41 General.
(a) This subpart prescribes fees for services performed
for the public under Subparts B and C of this part by DOT.
(b) All terms defined by FOIA apply to this subpart,
and the term "hourly rate" means the actual hourly base
pay for a civilian employee or, for members of the Coast Guard,
the equivalent hourly pay rate computed using a 40-hour week and
the member's normal basic pay and allowances.
(c) This subpart applies to all employees of DOT,
including those of non-appropriated fund activities of the Coast
Guard and the Maritime Administration.
(d) This subpart does not apply to any special study,
special statistical compilation, table, or other record requested
under 49 U.S.C. 329(c). The fee for the performance of such a service
is the actual cost of the work involved in compiling the record.
All such fees received by DOT in payment of the cost of such work
are deposited in a separate account administered under the direction
of the Secretary, and may be used for the ordinary expenses incidental
to providing the information.
(e) This subpart does not apply to requests from record
subjects for records about themselves in DOT systems of records,
which are determined in accordance with the Privacy Act, as implemented
by DOT regulations (49 CFR part 10).
§7.42 Payment of Fees.
(a) The fees prescribed in this subpart may be paid
by check, draft, or money order, payable to the DOT component where
fees were incurred, for deposit in the General Fund of the Treasury
of the United States, e.g. DOT/FAA.
(b) Charges may be assessed by DOT for time spent
searching for requested records even if the search fails to locate
records or the records located are determined to be exempt from
disclosure. In addition, if records are requested for commercial
use, DOT may assess a fee for time spent reviewing 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 amount 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 below. 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, 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 Washington-Baltimore 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 above chart 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 above 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
above 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 above standard fee schedule 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
§7.44 Services Performed Without Charge or at
a Reduced Charge.
(a) A fee is not to be charged to any requestor making
a request under Subpart C for the first two 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 requestor 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 requestor 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.
Issued in Washington, DC, on
Rodney E. Slater
Secretary of Transportation |