conducted in the most efficient and personal privacy. In such cases the least expensive manner. Searches may record shall have attached to it a full be done manually or by computer using explanation of the deletion. existing programming.

Working days means all days except $ 1102.5 Availability of records on reSaturdays, Sundays, and legal public

quest. holidays.

(a) In addition to the records made

available through the public reading $1102.3 Policy.

room, the Corporation will make The Corporation will make records records available to any person in acconcerning its operations, activities, cordance with paragraphs (b) and (c) of and business available to the public this section, unless it is determined upon request. Records will be withheld that such records are exempt from from the public only in accordance mandatory disclosure under the FOIA with the FOIA and this part. Records and $1102.6 of this part and that such that may be exempt from disclosure records should be withheld by the Cormay be made available as a matter of poration. discretion when disclosure is not pro- (b) Requests. (1) A request will be achibited by law, and it does not appear ceptable if it identifies a record with adverse to legitimate interests of the sufficient particularity to enable offipublic, the Corporation, or any person. cials of the Corporation to locate the The Corporation will attempt to pro- record with a reasonable amount of efvide assistance to requesting parties, fort. Requests seeking records within a including information about how a re- reasonably specific category will be quest may be submitted. The Corpora- deemed to conform to the statutory retion will act on requests for records in quirement of a request which “reasona timely manner.

ably describes" such records if profes

sional employees of the Corporation $1102.4 Public reading room.

who are familiar with the subject area (a) The Corporation will maintain in of the request would be able, with a a public reading room at its head- reasonable amount of effort, to deterquarters the materials which are re- mine which particular records are enquired by 5 U.S.C. 552(a)(2) and (5) to be compassed within the scope of the remade available for public inspection quest, and to search for, locate, and and copying, unless it is determined collect the records without unduly burthat such records should be withheld dening or materially interfering with and are exempt from mandatory disclo- operations because of the staff time sure under the FOIA and $1102.6 of this consumed or the resulting disruption of part.

files. If it is determined that a request (b) The public reading room will does not reasonably describe the maintain and make available for public records sought as specified in this parainspection and copying current indices graph, the response denying the reof the materials which are required to quest on that ground shall specify the be indexed by 5 U.S.C. 552(a)(2) or other reasons why the request failed to meet applicable statutes. Because publica- the requirements of this paragraph and tion of such indices is unnecessary and shall extend to the requester an opporimpracticable and because current ver- tunity to confer with Corporation persions thereof will be available for in- sonnel in order to attempt to reformuspection at the Corporation's public late the request in a manner that will reading room, it is determined and so meet the needs of the requester and the ordered that the Corporation will not requirements of this paragraph. publish the indices in the Federal Reg- (2) To facilitate the location of ister.

records by the Corporation, a requester (c) Certain records maintained in the should try to provide the following public reading room or otherwise made kinds of information, if known: (i) the available pursuant to this part may be specific event or action to which the "edited” by the deletion of identifying record refers; (ii) the unit or program details concerning individuals, to pre- of the Corporation which may be revent a clearly unwarranted invasion of sponsible for or may have produced the



record; (iii) the date of the record or determination to the requester within the date or period to which it refers or 10 working days after receipt of such relates; (iv) the type of record such as request, except for unusual ciran application, a grant, a contract, or cumstances in which case the time a report; (v) personnel of the Corpora- limit may be extended for not more tion who may have prepared or have than 10 working days by written notice knowledge of the record; and (vi) cita- to the requester setting forth the reations to newspapers or publications sons for such extension and the date on which have referred to the record. which a determination is expected to

(3) The Corporation is not required to be dispatched. In determining whether create a record or to seek to acquire a to issue a notice of extension of time record from its contractors in order to

for a response to a request beyond the satisfy a request.

10-day period, the Freedom of Informa(4) All requests for records under this

tion Officer shall consult with the Ofsection shall be made in writing, with fice of the General Counsel. As used the envelope and the letter clearly herein, "unusual circumstances” are marked: “Freedom of Information Re

limited to the following, but only to quest." All such requests shall be ad

the extent reasonably necessary to the dressed to the Freedom of Information

proper processing of the particular reOfficer, 2 Democracy Center, 6903

quest: Rockledge Drive, Bethesda, MD 20817.

(1) The need to search for and collect Any request not marked and addressed

the requested records from the Coras specified in this paragraph will be so

poration's field offices; marked by Corporation personnel as soon as it is properly identified, and

(2) The need to search for, collect,

and appropriately examine a volumiforwarded immediately to the Freedom

nous amount of separate and distinct of Information Officer. A request im

records which are demanded in a single properly addressed will not be deemed to have been received for purposes of

request; or the time period set forth in paragraph

(3) The need for consultation, which (c) of this section until forwarding to

shall be conducted with all practicable the appropriate office has been ef

speed, including consultation with anfected. On receipt of an improperly ad

other agency having a substantial indressed request, the Freedom of Infor

terest in the determination of the remation Officer shall notify the re

quest or among components of the Corquester of the date on which the time poration having substantial subject period commenced to run.

matter interest therein. (5) A person desiring to secure copies

(d) If no determination has been disof records by mail should write to the patched at the end of the 10-day period, Freedom of Information Officer, 2 De- or the last extension thereof, the remocracy Center, 6903 Rockledge Drive, quester may deem the request denied, Bethesda, Maryland 20817. The request

and exercise a right of appeal in acmust identify the records of which cop- cordance with $1102.9. When no deterles are sought in accordance with the mination can be dispatched within the requirements of this section, and the applicable time limit, the Freedom of number of copies desired. Fees may be Information Officer shall nevertheless required to be paid in advance in ac- continue to process the request. On excordance with $1102.10. The requester piration of the time limit, the Freedom will be advised of the estimated fee, if of Information Officer shall inform the any, as promptly as possible. If a waiv- requester of the reason for the delay, of er or reduction of fees is requested, the the date on which a determination may grounds for such request should be in- be expected to be dispatched, and of the cluded in the letter.

right to treat the delay as a denial and (c) The Freedom of Information Offi- to appeal to the Corporation's Chief cer, upon receipt of a request for any Executive Officer (“CEO") in accordrecords made in accordance with this ance with $1102.9. The Freedom of Insection, shall make an initial deter- formation Officer may ask the remination of whether to comply with or quester to forego appeal until a deterdeny such request and dispatch such mination is made.

(e) After it has been determined to comply with a request, the Corporation will act with diligence in providing a substantive response to the requester. $ 1102.6 Exemptions.

(a) 5 U.S.C. 552 exempts from all of its publication and disclosure requirements matters falling within nine categories, which are described in paragraph (b) of that section.

(b) Specifically, the exemptions of 5 U.S.C. 552(b) will be applied to matters that are:

(1)(i) Specifically authorized under criteria established by an Executive Order to be kept secret in the interest of national defense or foreign policy and (ii) are in fact properly classified pursuant to such Executive Order;

(2) Related solely to the internal personnel rules and practices of an agency;

(3) Specifically exempted from disclosure by statute (other than 5 U.S.C. 552b), provided that such statute (i) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (ii) establishes particular criteria for withholding or refers to particular types of matters to be withheld, including sections 148 and 1314 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2168, 22976-13), the latter of which authorizes the Corporation to “protect trade secrets and commercial or financial information to the same extent as a privately owned corporation”;

(4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential;

(5) Inter-agency intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the Corporation;

(6) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarrante invasion of personal privacy;

(7) Investigatory records compiled for law enforcement purposes, but only to the extent that the production of such records could reasonably be expected to (1) interfere with enforcement proceedings, (ii) deprive a person of a right to a fair trial or an impartial adjudication, (iii) constitute an unwarranted

invasion of personal privacy, (iv) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, confidential information furnished only by the confidential source, (v) disclose investigative techniques and procedures or guidelines for law enforcement investigations or prosecutions if such disclosure would risk circumvention of the law, or (vi) endanger the life or physical safety of law enforcement personnel;

(8) Contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or

(9) Geological and geophysical information and data, including maps, concerning wells.

(c) In the event that one or more of the exemptions in paragraph (b) applies, any reasonably segregable portion of a record shall be provided to the requester after deletion of the portions that are exempt. In appropriate circumstances, subject to the discretion of Corporation officials, it may be possible to provide a requester with:

(1) A summary of information in the exempt portion of a record; or

(2) An oral description of the exempt portion of a record.

(d) In determining whether any of the foregoing techniques, cited in paragraphs (c)(1) and (c)(2), should be employed or whether an exemption should be waived in accordance with paragraph (e) of this section, Corporation officials shall consult with the Office of General Counsel. No requester shall have a right to insist that any or all of the foregoing techniques should be employed in order to satisfy a request.

(e) Records that may be exempted from disclosure pursuant to paragraph (b) of this section may be made available as a matter of discretion when disclosure is not prohibited by law, if it does not appear adverse to legitimate interests of the Corporation, the public, or any person.


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 offi

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 isappropriate to assure a consistent and

sued the denial, and providing the date equitable application of the provisions

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 re81102.8 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 g 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 apupon which the denial is based;

peal, unless an additional period is jus(2) An explanation of how the exemp

tified pursuant to $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

$ 1102.10 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$ 1102.9 Appeals of denials.

tution or non-commercial scientific in

stitution, whose purpose is 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”;

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

(iii) 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 “is not primarily in the commercial interest of the requester," the Corporation will consider the following two factors:

(i) 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,

(ii) 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.

« ForrigeFortsett »