for a request for records set forth in 5 U.S.C. 552(a)(6), until the earlier of the time that (1) forwarding of the request to the responsible unit has been effected, or (2) such forwarding would have been effected with the exercise of due diligence by Department personnel. In each instance when a request is forwarded, the responsible unit receiving it shall notify the requester that its request was improperly addressed and of the date the request was received by the unit.

(c) A request for records shall sufficiently identify the records requested to enable Department personnel familiar with the subject matter to locate them with a reasonable amount of effort. The requester shall, to the extent possible, furnish specific description information regarding dates and place the records were made, the file descriptions, subject matter, persons involved, and other pertinent details that will help identify the records. If the request relates to a matter in pending litigation, the court, location and case shall be identified. When more than one record is requested, the request shall clearly describe each specific record, and the specific information requested which is contained in a record, so that its availability may be separately determined. Employees at a facility or at a specific address listed in Appendix B will assist the public to a reasonable extent in framing a request.

§ 4.6 Initial determinations of availability of records.

(a) The responsible unit which receives a request for records shall promptly log the receipt of the request, and within ten days of its receipt (excepting Saturdays, Sundays, and legal public holidays) shall initially determine:

(1) Whether the request is for records under the Act, is for materials available otherwise than under the Act, or is for information not contained in existing records and, therefore, not under the Act, The requester shall be promptly notified in writing how the request is being handled when it does not come within the Act. (2) Whether the records requested are reasonably described and can be

located on the basis of the information supplied by the requester. If any of the records requested cannot be identified and located from the information furnished, the unit shall promptly so inform the requester in writing, specifying what additional identification is needed to assist the unit in locating the record, and offering to assist the requester to reformulate its request.

(3) Whether the records no longer exist, or are not in the unit's possession. The unit should, if it knows which unit of the Department or other agency may have the records, forward the request to it. In each instance, the unit shall promptly notify the requester in writing.

(4) Whether the requested records are the exclusive or primary concern of another executive agency. If so, the unit shall promptly refer the request to that other agency for further action under its rules, and promptly notify the requester in writing of this referral.

(5) Whether the request is a categorical one. A categorical request, i.e., one for all records falling within a reasonably specific but broad category, shall be regarded as conforming to the statutory requirement that records be reasonably described, if the particular records can be identified, searched for, collected and produced without unduly burdening or disrupting the unit's operations. If the categorical request does not reasonably describe the records requested, the unit shall promptly notify the requester in writing specifying what additional identification is needed, and extend to the requester an opportunity to confer with Department personnel to attempt to reformulate the request so as reasonably to describe the records.

(6) In each of the situations set forth in paragraphs (a) and (b) of this section, the procedures relating to fees described in § 4.9 shall also be applied and coordinated as appropriate.

(b) An authorized official in the responsible unit shall review the request to determine the availability of the records requested.

(1) The determination shall be made within ten days (excepting Saturdays, Sundays and legal public holidays) of

the receipt of the request (as defined in § 4.5(b) of this section), unless the time is extended as provided in paragraph (b)(2) of this section.

(2) In unusual circumstances, an appropriate official authorized to make initial denials of requests may extend the time for initial determination for up to ten days (excluding Saturdays, Sundays and legal public holidays) by written notice to the requester setting forth the reasons for the extension and the date on which a determination is expected to be dispatched. Extensions of time for the initial determination and extensions of time on appeal may not exceed a total of ten days, and time taken for the former counts against available appeal extension time. "Unusual circumstances" means, but only to the extent reasonably necessary to the processing of a particular request: (i) the need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request; (ii) the need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request, or (iii) the need for consultation, which shall be conducted with all practical speed, with another agency or unit having a substantial interest in the determination of the request, or among two or more components of the responsible unit having substantial subject-matter interest therein.

(3) If no determination has been sent to the requester at the end of the initial ten day period, or the last extension thereof, the requester may deem his request to be initially denied, and exercise a right of appeal therefrom. When no determination can be made within the applicable time period, the responsible unit shall nevertheless exercise due diligence in continuing to process the request. It shall, on expiration of the applicable time period, inform the requester of the reason for the delay, of the date a determination is expected to be sent, and of the requester's right to treat the delay as a denial and to appeal therefrom. It may ask the requester to forego an appeal until a determination is made.

(4) If it is determined that the records requested are to be made available, and there are no further fees to be paid, the responsible official shall promptly notify the requester as to where and when the requested records or copies may be obtained or otherwise provide them as agreed. If there are fees still to be paid by the requester, it shall be notified that upon their payment the records will immediately be made available.

(5) Appendix C lists the limited number of officials who have been authorized to make initial denials of requests for records, except as may be subsequently authorized. A rep'y initially denying, in whole or in part, a request for records shall be in writing, signed by an authorized official, and it shall include:

(i) A reference to the specific exemption or exemptions of the Act authorizing the withholding of the records, stating briefly why the exemption applies and, where relevant, why a discretionary release is not appropriate.

(ii) The name and title or position of each official responsible for the denial.

(iii) A statement of the manner in which any reasonably segregable portion of a record shall be provided to the requester after deletion of the portions which are determined to be exempt.

(iv) A brief statement of the right of the requester to appeal the determination, and the address to which the appeal should be sent, in accord with § 4.8 (a) and (b).

(6) A copy of each initial denial of a request for records shall be provided to the Assistant General Counsel for Administration.

§ 4.7 Inspection and copying of disclosable records.

(a) Unless the requester has otherwise indicated, disclosable records shall be sent to the appropriate facility to be held for a reasonable time for inspection by the requester, after any fees due are paid.

(b) The requester may copy by hand any portion of the record may use the coin-operated copying equipment at the facility to make copies, or may

make other arrangements for copying at specified fees.

(c) No change or alteration of any kind may be made to the record being inspected, nor may any matter be added to or deleted therefrom. Papers bound or otherwise assembled in a record file may not be disassembled by the requester. Title 18, United States Code, section 2701(a) makes it a crime to conceal, mutilate, obliterate, or destroy any record filed in any public office, or to attempt to do any of the foregoing. Staff of the facility are authorized to supervise inspection as necessary to protect the records of the Department, and they shall provide assistance if disassembly of a record is necessary for copying purposes.

(d) If a requester does not want to inspect a record by personal visit to the facility, a copy shall be mailed to the requester upon its payment of copying and postage fees as set forth in § 4.9 of this part, and other fees due. Original copies of records of the Department shall not be sent to any location other than the appropriate facility for inspection.

(e) A copy of transcripts of public hearings held by a unit of the Department may be made available for inspection when it is not in actual official use.

§ 4.8 Appeals from initial denials or untimely delays.

(a) When a request for records has been initially denied in whole or in part, or has not been timely determined, the requester may submit a written appeal within thirty calendar days after the date of the written denial or, if there has been no determination, on the last day of the applicable time limit. The appeal shall include a copy of the original request, the initial denial, if any, and a statement of the reasons why the records requested should be made available and why the initial denial, if any, was in error. No personal appearance, oral argument or hearing on appeal is provided.

(b) An appeal shall be addressed to the particular official identified in the initial denial notice as the person to receive an appeal; or if the requester did not receive such a notice, the

appeal shall be addressed to the Assistant Secretary for Administration. Both the appeal envelope and the letter shall be clearly marked "Freedom of Information Appeal" or "Appeal for Records" or the equivalent. An appeal not addressed and marked as provided herein will be so marked by Department personnel when it is so identified, and will be forwarded immediately to the proper addressee. An appeal incorrectly addressed will not be deemed to have been "received" for purposes of the time period for appeal set forth in 5 U.S.C. 522(a)(6), until the earlier of the time that (1) forwarding to t'e appropriate appeals official has been effected, or (2) such forwarding would have been effected with the exercise of due diligence by Department personnel. In each instance when an appeal is so forwarded, the appropriate appeals official shall notify the requester that its appeal was improperly addressed and of the date the appeal was received by that official.

(c) An appropriate official responsible for determining appeals of requests for records shall act upon an appeal within twenty days (excluding Saturdays, Sundays and legal public holidays) of its receipt, unless an extension of time is made in unusual circumstances, when the time for action may be extended up to ten days (excluding Saturdays, and Sundays and legal public holidays) minus any days of extension granted at the initial request level. A notice of such extension shall be sent to the requester, setting forth the reasons and the date on which a determination of the appeal is expected to be sent. As used in this paragraph, "unusual circumstances" are defined in § 4.6(b)(2).

(d) If a decision on appeal is to make the records available to the requester in part or in whole, such records shall be promptly made available for inspection and copying as provided in § 4.7.

(e) If no determination of an appeal has been sent to the requester within the twenty day period or the last extension thereof, the requester is deemed to have exhausted his administrative remedies with respect to such request, giving rise to a right of judicial review as specified in 5 U.S.C.

552(e)(4). When no determination can be sent to the requester within the ap plicable time limit, the responsible appeals official shall nonetheless exercise due diligence in continuing to process the appeal. When the time limit expires, the requester shall be informed of the reason for the delay, of the date when a determination may be expected to be made, and his right to seek judicial review. The requester may be asked to forego judicial review until the appeal is determined.

(f) A determination on appeal shall be in writing and, when it denies records in whole or in part, the notice to the requester shall include: (1) Notation of the specific exemption or exemptions of the Act authorizing the withholding, a brief explanation of how the exemption applies, and, when relevant, a statement as to why a discretionary release is not appropriate; (2) a statement that the decision is final for the Department; (3) advice that judicial review of the denial is available in the district in which the requester resides or has his principal place of business, the district in which the agency records are situated, or the District of Columbia; and (4) the names and titles or positions of each official responsible for the denial of the request.

(g) Final appeal decisions shall be indexed and kept available for public inspection and copying in the central public referencc facility referred to in § 4.4(c). Copies shall be sent to the Assistant Secretary for Administration and the Assistant General Counsel for Administration.

§ 4.9 Fees.

(a) Uniform fee schedule. Unless waived or reduced as provided in paragraph (b) of this section, only the following fees shall be charged in connection with requests for records subject to this part.

(1) Searches other than for computerized records. $2.50 for each one-quarter hour (or fraction thereof) per person for time spent by clerical, professional and supervisory personnel in examining records in order to find the records and information that are within the scope of the request, and

for transportation of personnel and records necessary to the search.

(2) Searches for computerized records. Actual direct cost of the computer time to the Government agency to use the equipment involved in the search, not to exceed $270 per hour ($4.50 per ninute). This fee includes both machine time and that of related operator and clerical personnel. If programming is necessary to conduct the search, there will be an additional fee of $2.50 for each one-quarter hour (or fraction thereof) per person for programmer/analyst time. The fee for computer printouts shall be 20 cents per page for the original copy and carbon copies concurrently printed.

(3) Copying of records. Seven cents per copy of each page, up to 81⁄2" x 14", made by photocopy or similar process. Normally, only one copy will be provided. Added copies will be provided only upon a showing of demonstrated need.

(4) Copies of microfilm or microfiche.

16 mm. (100 ft. roll), $6.00. 35 mm. (100 ft. roll), $7.00. 105 mm. fiche, $0.25 each. Aperture cards, $0.25 each. $0.25 per page for each microform frame printed on paper.

(5) Certification or authentication of records.

$3.00 per certification or authentication.

(6) Forwarding records to requesting party. Actual cost of postage, insurance and special fees, if their total exceeds $1.00.

(7) Other costs. When other duplication costs not specifically identified in this paragraph (a) are requested and provided, their direct cost to the Department shall be charged. Other services and materials requested which are not covered by this part are chargeable at actual cost to the Department.

(b) Waiver or reduction of fees. A fee shall not be charged, or alternatively it may be reduced, in the following instances:

(1) Requests for Department records made by a Federal agency, Federal court (excluding parties), Congressional committee or subcommittee, the General Accounting Office, or the Library of Congress, are not made under

the Act, and fees payable under this part do not apply.

(2) The records are requested by a State or local government, an intergovernmental agency, a foreign government, a public international organization, or an agency thereof, and when it is determined by a responsible Departmental official that it is an appropriate courtesy, or that the records are for purposes that are in the public interest and will promote the objectives of the Act and of the Department.

(3) When it is determined, either upon petition submitted by the requester, or by a responsible Departmental official on his own initiative, that waiver or reduction of the fee is in the public interest because furnishing the information in the records requested can be considered as primarily benefiting the general public. Any such petition shall specify the intended purpose to which the records requested will be put, why all of them are necessary, and any other relevant factors, in order to show how the information furnished in all or part of the records can be expected to primarily benefit the general public.

(4) When it is determined by the responsible Departmental official, based upon a petition therefor, that the requester is indigent, that the request for records has a strong public interest justification, and that agency resources permit a waiver of the fee. A person is deemed to be indigent if he does not have income or resources sufficient to pay the fees involved.

(5) A search fee totaling $10 or less shall be waived. A copying fee totaling $1 or less may be waived. The fees for other contemporaneous requests made by the same or related requesters shall be aggregated to determine the total fee.

(c) Payment of fees. The following conditions shall apply to payment of fees charged under this part.

(1) A search fee provided in paragraph (a) of this section which exceeds $50 is chargeable even when no records responsive to the request are found, or when the records requested are determined by the responsible Department official to be totally exempt from disclosure.

(2) If the requester has notified the Department in or with its request for records that it is willing to pay an amount sufficient to cover the necessary search fee, a search may be made for the records without further notice to the requester, unless the requester is delinquent in making past payments or the estimated search fee will exceed $100.

(3) If the requester has stated in or with its request that it is willing to pay a specified amount which is less than $100 for a search, a search may be made for the records without further notice to the requester if the fees are estimated to be less than the specified limit, unless the requester is delinquent in making past payments.

(4) If the estimated fee (i) exceeds $100 for a request covered within paragraph (c)(2) of this section, (ii) exceeds the limits specified by a requester within paragraph (c)(3) of this section, or (iii) exceeds $50 and the requester has said nothing about payment; or if the requester in any instance is delinquent in past payments, the requester shall be notified immediately (by wire or telephone confirmed in writing) of the estimated total fee and shall be asked to pay such fee before the search may be conducted or continued. The notice may advise the requester that it may confer with specified Department personnel as to possible reformulation of the request in order to reduce the fee.

(5) The administrative time limitations prescribed in 5 U.S.C. 552(a)(6) shall be tolled from the time the notice described in paragraph (c)(4) of this section is sent to the requester until the time that the unit receives payment of the estimated fee from the requester, unless the responsible Departmental official determines to postpone payment of the search fee until later in the search or until it is completed.

(6) When a specific fee is determined to be payable and notice thereof has been given to the requester, the payment of such fee shall be received before the requested records or any part thereof are made available to the requester.

(7) Payment of fees shall be made in cash or preferably by check or money