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(e) After it has been determined to invasion of personal privacy, (iv) discomply with a request, the Corporation close the identity of a confidential will act with diligence in providing a source and, in the case of a record comsubstantive response to the requester. piled by a criminal law enforcement

authority in the course of a criminal $1102.6 Exemptions.

investigation, or by an agency conduct(a) 5 U.S.C. 552 exempts from all of ing a lawful national security intelIts publication and disclosure require- ligence investigation, confidential inments matters falling within nine cat- formation furnished only by the conegories, which are described in para- fidential source, (v) disclose investigagraph (b) of that section.

tive techniques and procedures (b) Specifically, the exemptions of 5 guidelines for law enforcement invesU.S.C. 552(b) will be applied to matters tigations or prosecutions such disclothat are:

sure would risk circumvention of the (1)(1) Specifically authorized under

law, or (vi) endanger the life or physcriteria established by an Executive ical safety of law enforcement personOrder to be kept secret in the interest nel; of national defense or foreign policy (8) Contained in or related to examand (11) are in fact properly classified

ination, operating, or condition reports pursuant to such Executive Order;

prepared by, on behalf of, or for the use (2) Related solely to the internal per

of an agency responsible for the regulasonnel rules and practices of an agen

tion or supervision of financial institucy;

tions; or (3) Specifically exempted from disclo

(9) Geological and geophysical inforsure by statute (other than 5 U.S.C.

mation and data, including maps, con552b), provided that such statute (1) re

cerning wells. quires that the matters be withheld

(c) In the event that one or more of from the public in such a manner as to leave no discretion on the issue, or (11)

the exemptions in paragraph (b) ap establishes particular criteria for with

plies, any reasonably segregable porholding or refers to particular types of

tion of a record shall be provided to the matters to be withheld, including sec

requester after deletion of the portions tions 148 and 1314 of the Atomic Energy

that are exempt. In appropriate cirAct of 1964, as amended (42 U.S.C. 2168,

cumstances, subject to the discretion 22976-13), the latter of which authorizes

of Corporation officials, it may be posthe Corporation to “protect trade se

sible to provide a requester with: crets and commercial or financial in

(1) A summary of information in the formation to the same extent as a pri

exempt portion of a record; or vately owned corporation";

(2) An oral description of the exempt (4) Trade secrets and commercial or portion of a record. inancial information obtained from a (d) In determining whether any of the person and privileged or confidential; foregoing tochniques, cited in para(5) Inter-agency or intra-agency

graphs (c)(1) and (c)(2), should be emmemorandums or letters which would ployed or whether an exemption should not be available by law to a party

be waived in accordance with pareother than an agency in litigation with graph (e) of this section, Corporation the Corporation;

officials shall consult with the Office of (6) Personnel and medical files and General Counsel. No requester shall similar files the disclosure of which have a right to insist that any or all of would constitute a clearly unwarranted the foregoing techniques should be eminvasion of personal privacy;

ployed in order to satisfy a request. (7) Investigatory records compiled for (e) Records that may be exempted law enforcement purposes, but only to from disclosure pursuant to paragraph the extent that the production of such (b) of this section may be made availrecords could reasonably be expected to able as a matter of discretion when dis(1) interfere with enforcement proceed closure is not prohibited by law, if it ings, (11) deprive a person of a right to does not appear adverse to legitimate a fair trial or an impartial adjudica- Interests of the Corporation, the pubtion, (111) constitute an unwarranted lic, or any person.

g 1102.7 Officials authorized to grant quarters. The envelope and letter or deny requests for records.

should be clearly marked: "Freedom of The General Counsel shall furnish

Information Appeal.” An appeal need necessary advice to Corporation offl

not be in any particular form, but cials and staff as to their obligations

should adequately identify the denial, under this part and shall take such

if possible, by describing the requested other actions as may be necessary or

record, identifying the official who appropriate to assure a consistent and issued the denial, and providing the equitable application of the provisions

date on which the denial was issued. of this part by and within the Corpora

(b) No personal appearance, oral artion. The Freedom of Information Offi- gument, or hearing will ordinarily be cer, with concurrence from the appro- permitted on appeal of a denial. Upon priate program officials of the Corpora- request and a showing of special cirtion, is authorized to grant or deny re

cumstances, however, this limitation quests under this part. The Freedom of may be waived and an informal conInformation Officer shall consult with ference may be arranged with the Corthe General Counsel before denying re- poration CEO, or the CEO's designated quests under this part, or before grant- representative, for this purpose. ing requests for waiver or modified ap- (c) The appeal decision of the CEO, or plication of an exemption or for cat

the CEO's designated representative, egories of records which the General shall be in writing and, in the event Counsel determines may present spe

the denial is in whole or in part upheld, cial or unusual problems.

shall contain an explanation responsive

to the arguments advanced by the re$1102.8 Denials.

quester, the matters described in (a) A denial of a written request for a $1102.8(a) (1) through (4), and the provirecord that complies with the require

sions for judicial review of such deciments of $1102.5 shall be in writing and

sion under section 552(a)(4) of the shall include the following:

FOIA. The appeal decision shall be dis(1) A reference to the applicable ex- patched to the requester within twenty emption or exemptions in $1102.6(b) working days after receipt of the ap upon which the denial is based;

peal, unless an additional period is jus(2) An explanation of how the exemp- tifled pursuant to g 1102.5(c). The appeal tion applies to the requested records; decision shall constitute the final ac

(3) A statement explaining whether tion of the Corporation. All such decithere is any segregable nonexempt ma- sions shall be treated as final opinions terial of the record after deleting the under 5 U.S.C. 552(a)(2). exempt portions; (4) The name and title of the person

81102.10 Fees. or persons responsible for denying the (a) Records provided routinely in the request; and

normal course of doing business will be (5) An explanation of the right to ap- provided at no charge. peal the denial and of the procedures (b) Fees shall be limited to reasonfor submitting an appeal, including the able standard charges for document address of the official to whom appeals search, duplication, and review, when should be submitted.

records are for a commercial use re(6) Whenever the Corporation makes quest; a record available subject to the dele- (c) Fees shall be limited to reasontion of a portion of the record, such ac- able standard charges for duplication tion shall be deemed a denial of a when records are not sought through a record for purposes of paragraph (a) of commercial use request and the rethis section.

quest is made by an educational insti

tution or non-commercial scientific in3 1102.9 Appeals of denials.

stitution, whose purpose 18 scholarly or (a) Any person whose written request scientific research, or a representative has been denied is entitled to appeal of the news media; and the denial within thirty calendar days (d) For any request not described in of issuance thereof by writing to the paragraph (b) or (c) of this section, fees CEO of the Corporation at its head- shall be limited to reasonable standard

charges for search, review and duplication.

(e) The schedule of charges for services regarding the production or disclosure of the Corporation's records is as follows:

(1) Whenever feasible, for manual searches and reviews: The basic rate(s) of pay of the employee(s) making the search and review plus 16 percent of the rate(s) to cover benefits.

(2) Computer time: Because of the diversity in the types of configurations of computers which may be required in responding to requests for records maintained in whole or part in computerized form, it is not feasible to establish a uniform schedule of fees for search and printout of such records. The charge for personnel time shall be the basic rate(s) of pay of the employee(s) involved plus 16 percent of the rate(s) to cover benefits. The charge for the computer time involved and for any special supplies or materials used shall not exceed the direct cost to the Corporation.

(3) Duplication of records: A per-page charge for paper copy reproduction of documents. At present, the charge is $0.10 per page.

(4) Duplication of microform: Actual charges as incurred.

(5) Certification of true copies: $1.00 each.

(6) Packing and mailing records: Actual charges as incurred.

(7) Special delivery or express mail: Actual charges as incurred.

(1) A record shall be furnished without any charge or at a charge reduced below the fees established under paragraph (e) of this section if disclosure of the record 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 requester.

(1) In order to determine whether disclosure of the record “is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government,” the Corporation will consider the following four criteria:

(1) The subject of the request: Whether the subject of the requested records

concerns "the operations or activities of the government”;

(11) The informative value of the record to be disclosed: Whether the disclosure is “likely to contribute" to an understanding of government operations or activities;

(111) The contribution to an understanding of the subject by the general public likely to result from disclosure: Whether disclosure of the requested record will contribute to "public understanding''; and

(iv) The significance of the contribution to public understanding: Whether the disclosure is likely to contribute "significantly" to public understanding of government operations or activities.

(2) In order to determine whether disclosure of a record “18 not primarily in the commercial interest of the requester," the Corporation will consider the following two factors:

(1) The existence and magnitude of a commercial interest: Whether the requester has a commercial interest that would be furthered by the requested disclosure; and, if so,

(11) The primary interest in disclosure: Whether the magnitude of the identified commercial interest of the requester is sufficiently large, in comparison with the public interest in disclosure, that disclosure is “primarily in the commercial interest of the requester.

(3) A denial of a request for a waiver or reduction of fees will be subject to appeal in the same manner as appeals from denial of a request for information under $1102.9.

(g) No fee will be charged under this section

(1) If the costs of routine collection and processing of the fee are likely to equal or exceed the amount of the fee; or

(2) For any request described in paragraph (b), (c), or (d) of this section for the first two hours of search time and for the first one hundred pages of duplication.

(h) No requester will be required to make an advance payment of any fee unless the requester has previously failed to pay fees in a timely fashion or the Corporation has determined that the fee will exceed $250.

179-035

0-98-27

(1) In the event that a requester has previously failed to pay a required fee (within 30 days of the date of billing), an advance deposit of the full amount of the anticipated fee together with the fee then due plus interest accrued may be required. The request will not be deemed to have been received by the Corporation until such payment is made.

(2) In the event that the Corporation determines that an estimated fee will exceed $250, the requester shall be notified of the amount of the anticipated fee or such portion thereof as can readily be estimated. Such notification shall be transmitted as soon as possible, but in any event within five working days of such determination, giving the best estimate then available. The notification shall offer the requester the opportunity to confer with appropriate representatives of the Corporation for the purpose of reformulating the request so as to meet the requester's needs at a reduced cost. The request will not be deemed to have been received by the Corporation until an advance payment of the entire fee is made.

(1) Interest will be charged to those requesters who fail to pay the fees charged. Interest will be assessed on the amount billed, starting on the 31st calendar day following the day on which the billing was sent. The rate charged will be as prescribed in 31 U.S.C. 3717.

(j) If the Corporation reasonably believes that a requester or group of requesters is attempting to break a request into a series of requests for the purpose of evading the assessment of fees, the Corporation shall aggregate such requests and charge accordingly.

(k) The Corporation reserves the right to limit the number of copies that will be provided of any record to a requester or to require that special arrangements for duplication be made in the case of bound volumes or other records representing unusual problems of handling or duplication.

be exempt from disclosure under paragraph (b)(4) of g 1102.6 as privileged or confidential trade secrets or commercial or financial information submitted to the Corporation by a third party or entity (other than federal government agencies); or (2) is subject to an understanding of confidentiality between the Corporation and the submitter thereof, the Freedom of Information Officer shall provide the submitter of such information with notice of the request.

(b) The Corporation shall afford a submitter of information covered by paragraph (a) of this section a period, generally not in excess of 10 working days, within which to provide the Freedom of Information Officer a detailed statement of objections to the disclosure of such information by the Cor. poration. The submitter's response (if any) shall include all bases, factual or legal, for the withholding of the requested information pursuant to paragraph (b)(4) of $1102.6. If the Freedom of Information Officer does not receive a timely response from the submitter, the Freedom of Information Officer shall proceed with the determination of whether or not to release such information.

(c) Whenever the Corporation decides to release any part of the information covered by paragraph (a) of this section over the objection of the submitter, the Corporation shall forward to the submitter a written statement providing a brief explanation why the Corporation did not agree with the submitter's objections; a description of the information to be released; and the expected date of the release.

(d) If a requester or submitter brings suit against the Corporation seeking to compel or restrict the release of information covered by paragraph (a) of this section, the Corporation shall promptly notify the other party.

(e) The notice requirement of this section shall not apply if:

(1) The information has been published or otherwise made available to the public;

(2) Disclosure of the information is required by law (other than 5 U.S.C. 552);

(3) The submitter has received notice of a previous FOIA request which encompassed the information requested

$ 1102.11 Notice to submitters of cer

tain information. (a) Upon receipt of a request for information that either, (1) the Freedom of Information Officer determines may

in the later request, and the Corporation intends to withhold information in the same manner as in the previous FOLA request; or

(4) Upon submitting the information or within a reasonable period thereafter, (1) the submitter reviewed its information in anticipation of future re

quests pursuant to the FOLA, (11) the submitter provided the Corporation a statement of its objections to disclosure consistent with that described in paragraph (b) of this section, and (iii) the Corporation intends to release information consistent with the submitter's objections.

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