[Federal Register Volume 63, Number 150 (Wednesday, August 5, 1998)]
[Rules and Regulations]
[Pages 41707-41709]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-20876]



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 Rules and Regulations
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  Federal Register / Vol. 63, No. 150 / Wednesday, August 5, 1998 / 
Rules and Regulations  

[[Page 41707]]


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FEDERAL RETIREMENT THRIFT INVESTMENT BOARD

5 CFR Part 1631


Availability of Records

AGENCY: Federal Retirement Thrift Investment Board.

ACTION: Final rule.

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SUMMARY: The Executive Director of the Federal Retirement Thrift 
Investment Board (Board) is publishing a final rule amending the 
Board's Freedom of Information Act regulations to implement the 
Electronic Freedom of Information Act Amendments of 1996. The rule 
provides for expedited processing of certain requests and enlarges the 
time for responding to initial requests. The rule also provides the 
address for the Board's electronic reading room and adds a category of 
documents to be made available in the reading room. In addition, the 
rule updates the fees charged to search for records.

EFFECTIVE DATES: September 4, 1998.

FOR FURTHER INFORMATION CONTACT: Thomas L. Gray, Federal Retirement 
Thrift Investment Board, 1250 H Street, NW, Washington, DC 20005; (202) 
942-1662; FAX (202) 942-1676.

SUPPLEMENTARY INFORMATION: Section 4 of the Electronic Freedom of 
Information Act Amendments of 1996 (EFOIA), Pub. L. 104-231, section 4, 
110 Stat. 3048, 3049, amended 5 U.S.C. 552(a)(2) to require Federal 
agencies to make documents available in electronic form. In accordance 
with this requirement, the rule amends 5 CFR 1631.4 to provide the 
address of the Board's electronic reading room. The Board maintains a 
reading area with paper documents that is open to the public. The Board 
also maintains a business Web site at http://www.frtib.gov which 
contains, in addition to business information, its electronic reading 
room. The Board maintains a Web site at http://www.tsp.gov to provide 
program information about the Thrift Savings Plan, and that site is 
linked to the business site. Both Web sites contain documents in 
readily accessible electronic form which can be downloaded by the 
requester. In accordance with the EFOIA, the Board will add to its 
reading area and Web site those records that it determines are 
repeatedly requested under the Freedom of Information Act (FOIA). A 
list of such records will be maintained on the Board's business Web 
site.
    Section 3 of the EFOIA, 110 Stat. at 3051-52, amended 5 U.S.C. 
552(a)(E)(6) to require Federal agencies to promulgate rules on 
expedited processing of FOIA requests in cases of compelling need or in 
other cases determined by the agency. To implement this requirement, 
the rule adds new paragraphs (f) and (g) to 5 CFR 1631.6 to set forth 
the circumstances under which the Board will honor a request for 
expedited processing and establishes procedures for expediting 
requests. The rule amends 5 CFR 1631.8(a) to advise that a 
determination whether to provide expedited processing of a request will 
be made within 10 work days. The Board normally processes FOIA requests 
on a first-in, first-out basis. If a request for expedited processing 
is approved, that request will be processed ahead of other requests. In 
addition, the rule amends 5 CFR 1631.8(b) and (c) to implement the new 
20-day time limit for responding to initial requests for records and to 
provide procedures the Board will follow if additional time is needed 
to process a request for records.
    The rule amends 5 CFR 1631.10 to provide procedures for processing 
appeals of requests for expedited processing, to distinguish procedures 
for handling a request for expedited processing from procedures for 
processing an appeal of a request for records, and to state that an 
appeal from the denial of a request for expedited processing will be 
handled within five work days of receipt in the Office of General 
Counsel.
    The rule also amends 5 CFR 1631.11 and 1631.14 to increase the 
benefits factor which, along with the employee's salary, determines the 
amount the Board will charge to search for records. Sections 1631.11 
and 1631.14 currently provide for charging the salary rate of the 
employee who conducts the search plus 16 percent for benefits. The 
benefits factor was set at 16 percent based on an Office of Management 
and Budget FOIA fee schedule and guidelines published in the Federal 
Register on March 27, 1987 (52 FR 10012, 10013), and it has not been 
revised since that time. For Board employees, the current benefits rate 
is 23.5 percent. Included in this rate are retirement contributions, 
Social Security taxes, health and life insurance premiums, and lump sum 
awards and bonuses.
    Finally, 5 CFR 1631.18 is amended to address the new annual 
reporting requirement imposed by section 10 of the EFOIA, 110 Stat. at 
3053-54, which will be codified at 5 U.S.C. 552(e).
    In the June 1, 1998, Federal Register (63 FR 29672), the Board 
published a proposed rule with these amendments. No comments were 
received; therefore, the Board is publishing this rule as a final rule 
without change.

Regulatory Flexibility Act

    I certify that these regulations will not have a significant 
economic impact on a substantial number of small entities. They require 
the Board to disclose information in certain instances and to address 
when and the form in which information will be disclosed.

Paperwork Reduction Act

    I certify that these regulations do not require additional 
reporting under the criteria of the Paperwork Reduction Act of 1980.

Unfunded Mandates Reform Act of 1995

    Under the Unfunded Mandates Reform Act of 1995, section 201, Pub. 
L. 104-4, 109 Stat. 48, 64, the effect of these regulations on State, 
local, and tribal governments and on the private sector has been 
assessed. These regulations will not compel the expenditure in any one 
year of $100 million or more by any State, local, and tribal 
governments in the aggregate or by the private sector. Therefore, a 
statement under section 202, 109 Stat. 48, 64-65, is not required.

[[Page 41708]]

List of Subjects in 5 CFR Part 1631

    Administrative practice and procedure, Courts, Freedom of 
information, Government employees.
Roger W. Mehle,
Executive Director, Federal Retirement Thrift Investment Board.

    For the reasons set out in the preamble, 5 CFR Part 1631 is amended 
to read as follows:

PART 1631--AVAILABILITY OF RECORDS

    1. The authority citation for part 1631 is revised to read as 
follows:

    Authority: 5 U.S.C. 552.

    2. Section 1631.4 is amended by revising paragraph (a) to read as 
follows:


Sec. 1631.4  Public reference facilities and current index.

    (a) The Board maintains a public reading area located in room 4308 
at 1250 H Street, NW, Washington, DC. Reading area hours are from 9:00 
A.M. to 5:00 P.M., Monday through Friday, exclusive of Federal 
holidays. Electronic reading room documents are available through 
http://www.frtib.gov. In the reading area and through the Web site, the 
Board makes available for public inspection, copying, and downloading 
materials required by 5 U.S.C. 552(a)(2), including documents published 
by the Board in the Federal Register which are currently in effect.
* * * * *
    3. Section 1631.6 is amended by adding new paragraphs (f) and (g) 
to read as follows:


Sec. 1631.6  How to request records--form and content.

* * * * *
    (f) When a person requesting expedited access to records has 
demonstrated a compelling need, or when the Board has determined that 
it is appropriate to expedite its response, the Board will process the 
request ahead of other requests.
    (g) To demonstrate compelling need in accordance with paragraph (f) 
of this section, the requester must submit a written statement that 
contains a certification that the information provided therein is true 
and accurate to the best of the requester's knowledge and belief. The 
statement must demonstrate that:
    (1) The failure to obtain the record on an expedited basis could 
reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (2) The requester is a person primarily engaged in the 
dissemination of information, and there is an urgent need to inform the 
public concerning an actual or alleged Federal Government activity that 
is the subject of the request.
    4. Section 1631.8 is revised to read as follows:


Sec. 1631.8  Prompt response.

    (a)(1) When the FOIA Officer receives a request for expedited 
processing, he or she will determine within 10 work days whether to 
process the request on an expedited basis.
    (2) When the FOIA Officer receives a request for records which he 
or she, in good faith, believes is not reasonably descriptive, he or 
she will so advise the requester within 5 work days. The time limit for 
processing such a request will not begin until receipt of a request 
that reasonably describes the records being sought.
    (b) The FOIA Officer will either approve or deny a reasonably 
descriptive request for records within 20 work days after receipt of 
the request, unless additional time is required for one of the 
following reasons:
    (1) It is necessary to search for and collect the requested records 
from other establishments that are separate from the office processing 
the request (e.g., the record keeper);
    (2) It is necessary to search for, collect, and examine a 
voluminous amount of records which are demanded in a single request;
    (3) It is necessary to consult with another agency which has a 
substantial interest in the determination of the request or to consult 
with two or more offices of the Board which have a substantial subject 
matter interest in the records; or
    (4) It is necessary to devote resources to the processing of an 
expedited request under Sec. 1631.6(f).
    (c) When additional time is required for one of the reasons stated 
in paragraph (b) of this section, the FOIA Officer will extend this 
time period for an additional 10 work days by written notice to the 
requester. If the Board will be unable to process the request within 
this additional time period, the requester will be notified and given 
the opportunity to--
    (1) Limit the scope of the request; or
    (2) Arrange with the FOIA Officer an alternative time frame for 
processing the request.
    5. Section 1631.10 is revised to read as follows:


Sec. 1631.10  Appeals to the General Counsel from initial denials.

    (a) When the FOIA Officer has denied a request for expedited 
processing or a request for records, in whole or in part, the person 
making the request may, within 30 calendar days of receipt of the 
response of the FOIA Officer, appeal the denial to the General Counsel. 
The appeal must be in writing, addressed to the General Counsel, 
Federal Retirement Thrift Investment Board, 1250 H Street, NW, 
Washington, DC 20005, and be clearly labeled as a ``Freedom of 
Information Act Appeal.''
    (b)(1) The General Counsel will act upon the appeal of a denial of 
a request for expedited processing within 5 work days of its receipt.
    (2) The General Counsel will act upon the appeal of a denial of a 
request for records within 20 work days of its receipt.
    (c) The General Counsel will decide the appeal in writing and mail 
the decision to the requester.
    (d) If the appeal concerns an expedited processing request and the 
decision is in favor of the person making the request, the General 
Counsel will order that the request be processed on an expedited basis. 
If the decision concerning a request for records is in favor of the 
requester, the General Counsel will order that the subject records be 
promptly made available to the person making the request.
    (e) If the appeal of a request for expedited processing of records 
is denied, in whole or in part, the General Counsel's decision will set 
forth the basis for the decision. If the appeal of a request for 
records is denied, in whole or in part, the General Counsel's decision 
will set forth the exemption relied on and a brief explanation of how 
the exemption applies to the records withheld and the reasons for 
asserting it, if different from the reasons described by the FOIA 
Officer under Sec. 1631.9. The denial of a request for records will 
state that the person making the request may, if dissatisfied with the 
decision on appeal, file a civil action in Federal court. (A Federal 
court does not have jurisdiction to review a denial of a request for 
expedited processing after the Board has provided a complete response 
to the request.)
    (f) No personal appearance, oral argument, or hearing will 
ordinarily be permitted in connection with an appeal of a request for 
expedited processing or an appeal for records.
    (g) On appeal of a request concerning records, the General Counsel 
may reduce any fees previously assessed.


Sec. 1631.11  [Amended]

    6. In section 1631.11 amend paragraph (a)(4) by removing the phrase 
``plus 16 percent'' in the second sentence and adding the phrase ``plus 
23.5 percent'' in its place.

[[Page 41709]]

Sec. 1631.13  [Amended]

    7. In section 1631.13 amend paragraph (c) by removing the number 
``10'' and adding in its place the number ``20''.


Sec. 1631.14  [Amended]

    8. In section 1631.14 amend the first sentence of paragraph (a) and 
the second sentence of paragraph (b) by removing the phrase ``plus 16 
percent'' and adding the phrase ``plus 23.5 percent'' in its place.
    9. Section 1631.18 is revised to read as follows:


Sec. 1631.18  Annual report.

    The Executive Director will submit annually, on or before February 
1, a Freedom of Information report covering the preceding fiscal year 
to the Attorney General of the United States. The report will include 
matters required by 5 U.S.C. 552(e).

[FR Doc. 98-20876 Filed 8-4-98; 8:45 am]
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