[Federal Register Volume 80, Number 127 (Thursday, July 2, 2015)]
[Rules and Regulations]
[Pages 37997-38001]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-16101]
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FEDERAL MARITIME COMMISSION
46 CFR Part 503
[Docket No. 15-05]
[RIN 3072-AC60]
Amendments to Regulations Governing Access to Commission
Information and Records; Freedom of Information Act
AGENCY: Federal Maritime Commission.
ACTION: Direct final rule; and request for comments.
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SUMMARY: The Federal Maritime Commission amends its regulations
governing access to Commission information and records and its
regulations implementing the Freedom of Information Act (FOIA). The
revisions update and consolidate the provisions identifying records
available without the need for a FOIA request, including records
available on the Commission's public Web site; revise
[[Page 37998]]
response time procedures for processing FOIA requests; affirmatively
indicate that the Commission uses a multitrack system for processing
FOIA requests; and modify the criteria for a FOIA request to qualify
for expedited processing.
DATES: This rule is effective without further action on September 1,
2015, unless significant adverse comment is received by August 3, 2015.
If significant adverse comment is received, the Federal Maritime
Commission will publish a timely withdrawal of the rule in the Federal
Register.
ADDRESSES: You may submit comments, identified by the docket number in
the heading of this document, by any of the following methods:
Email: [email protected]. Include in the subject line:
``Docket No. 15-05, Comments on Amendments to Regulations Governing
Access to Commission Information and Records; Freedom of Information
Act.'' Comments should be attached to the email as a Microsoft Word or
text-searchable PDF document. Comments containing confidential
information should not be submitted by email.
Mail: Karen V. Gregory, Secretary, Federal Maritime
Commission, 800 North Capitol Street NW., Washington, DC 20573-0001.
Docket: For access to the docket to read background
documents or comments received, go to: http://www.fmc.gov/15-05/.
FOR FURTHER INFORMATION CONTACT: Karen V. Gregory, Secretary, Federal
Maritime Commission, 800 North Capitol Street NW., Washington, DC
20573-0001. Phone: (202) 523-5725. Email: [email protected].
SUPPLEMENTARY INFORMATION: The Federal Maritime Commission amends its
regulations governing access to Commission information and records and
its regulations implementing the Freedom of Information Act, 5 U.S.C.
552, found in part 503 of title 46 of the Code of Federal Regulations.
The provisions in part 503 are designed to facilitate public
availability of information; thereby furthering the spirit of FOIA in
ensuring an informed citizenry. The Commission last revised part 503 in
1998 to reflect requirements of the Electronic Freedom of Information
Act Amendments of 1996 (Pub. L. 04-231). On December 31, 2007, the OPEN
Government Act of 2007 (Pub. L. 110-175) amended procedural aspects of
FOIA and established new agency requirements for processing FOIA
requests. On October 28, 2009, the OPEN FOIA Act of 2009 (Pub. L. 110-
175) further amended FOIA.
The amendments to part 503 update the Commission's regulations to
reflect its practices and provisions of the OPEN Government Act of 2007
and the OPEN FOIA Act of 2009.
The Commission is making the following revisions to the subparts of
part 503: revise Subpart A--General, Statement of Policy to repurpose
this subpart to state the purpose and scope of the rules contained in
part 503; update Subpart B--Publication in the Federal Register to
recognize that in addition to publishing records in the Federal
Register, the Commission also posts records listed in this Subpart on
its Web site (www.fmc.gov); revise Subpart C--Records, Information and
Materials Generally Available to the Public Without Resort to Freedom
of Information Act Procedures to describe records available to the
public without the need for a FOIA request, including records available
on the Commission's public Web site; amend Subpart D--Requests for
Records under the Freedom of Information Act to include procedures for
tolling response times, processing FOIA requests under the
multitracking system, and expedited processing of FOIA requests; and
revise Subpart H--Public Observation of Federal Maritime Commission
Meetings and Public Access to Information Pertaining to Commission
Meetings to amend a subpart reference.
Subpart A--General
The Commission revises the heading and language in Sec. 503.1 to
use this section to describe the scope and purpose of the provisions
contained in part 503. Specifically, the Commission changes the section
heading from ``Statement of Policy'' to ``Scope and Purpose.'' The
Commission also amends this section to include a list of the subparts
contained in part 503.
Subpart B--Publication in the Federal Register
To promote greater access to information and records, the
Commission amends and updates Sec. 503.11 to inform the public that
the Commission posts records listed in this subpart on its Web site
(www.fmc.gov), in addition to publishing these records in the Federal
Register.
Subpart C--Records, Information and Materials Generally Available to
the Public Without Resort to Freedom of Information Act Procedures
Sections 503.21 to 503.24 describe records available to the public
without the need for a FOIA request. The Commission last revised these
sections in 1998 and further revises these sections to reflect the
availability of information on the Commission's Web site, eliminate
outdated information, and remove duplicative language.
Subpart D--Requests for Records Under the Freedom of Information Act
Section 503.31 provides information on the process for requesting
records. The Commission is adding a new paragraph encouraging
requesters to review the records on the Commission's public Web site
prior to initiating a FOIA request. In addition, the Commission amends
this section to include requirements for submitting FOIA requests
electronically.
Tolling
FOIA, as amended, allows an agency to make one reasonable request
for information from the FOIA requester and stop, or toll, the 20-day
clock for responding to a FOIA requester while the agency is waiting
for the requested information from the FOIA requester. 5 U.S.C.
552(a)(6)(A)(ii)(I). Agencies may also toll the 20-day response clock
as many times as necessary in order to clarify any issues with fee
assessment. 5 U.S.C. 552(a)(6)(A)(ii)(II).
Section 503.32 sets forth procedures for responding to requests
made under FOIA. This section does not currently include a provision
for tolling the statutory 20-day FOIA response period should the
Commission need to contact the FOIA requestor to clarify or narrow the
scope of the FOIA request. The Commission is adding language that would
allow for tolling of response times to implement the Commission's
authority to stop the 20-day clock should the Commission need
information from the requestor or to clarify issues with fee
assessment.
The Commission is adding two new paragraphs, (b)(4) and (5) to
Sec. 503.32 to reflect Commission processes used to work with a
requestor to clarify or narrow the scope of a FOIA request, and to
confirm that the requestor understands and authorizes the assessment of
fees. The new paragraphs require the Commission to submit its request
to clarify the scope of records requested or fee assessments in writing
to the requestor.
Multitrack Processing of Requests
FOIA expressly authorizes agencies to promulgate regulations
providing for ``multitrack processing'' of FOIA requests and allows
agencies to process requests on a first-in, first-out basis within each
track. 5 U.S.C. 552(a)(6)(D). During FY 2012, the Commission
[[Page 37999]]
initiated a multitrack processing system for FOIA requests to better
manage and more efficiently respond to FOIA requests. The Commission
revises Sec. 503.32(d) to reflect the Commission's current practices
regarding multitrack processing of FOIA requests in which the
Commission labels requests as either ``simple'' or ``complex''. The
rephrasing of the section clarifies the Commission's current practices
and provides that a request may be considered ``simple'' if the type of
records being requested are routinely requested and readily available.
Initiating a simple track process has permitted the Commission to
respond to relatively simple requests more quickly than requests
involving complex and/or voluminous records.
Expedited Processing of Requests
Section 503.32(e) currently provides for expedited processing of a
FOIA request when (1) the person requesting the records can demonstrate
a compelling need; or (2) in other cases, in the Secretary's
discretion. The Commission deletes paragraph (2) from Sec. 503.32(e).
This revision simplifies the Commission's criteria for determining
which FOIA requests qualify for expedited processing and establish a
practice consistent with other Federal agencies that only provide
expedited processing when a ``compelling need'' can be demonstrated.
To ensure timely responses to requests for expedited processing,
the Commission revises Sec. 503.32(e)(4) to change ``working days'' to
``calendar days'' to coincide with FOIA.
Annual Report
The Commission must submit an annual report on its FOIA related
activities to the Attorney General. The Commission revises Sec. 502.23
to reference the activities cited in FOIA, 5 U.S.C. 552(e), rather than
list out all activities reported upon.
Subpart I--Public Observation of Federal Maritime Commission Meetings
and Public Access to Information Pertaining to Commission Meetings
A technical revision and update of Sec. 503.87(b) accounts for a
recent redesignation of subparts with the addition of new subpart E.
Regulatory Analysis and Notices
Regulatory Flexibility Act
This direct final rule is not a ``major rule'' under 5 U.S.C.
804(2). No notice of proposed rulemaking is required; therefore, the
provisions of the Regulatory Flexibility Act, 5 U.S.C. 601 et seq., do
not apply.
The Regulatory Flexibility Act, 5 U.S.C. 601-612, requires an
agency to review regulations to assess their impact on small entities
and prepare an initial regulatory flexibility analysis (IRFA), unless
the agency determines that a rule is not expected to have a significant
impact on a substantial number of small entities. This rulemaking will
affect only persons who file FOIA requests, and therefore, the Chairman
certifies that this rulemaking will not have a significant or negative
economic impact on a substantial number of small entities.
Paperwork Reduction Act
The Paperwork Reduction Act of 1995, 44 U.S.C. 3501-3521, requires
an agency to seek and receive approval from the Office of Management
and Budget (OMB) before making most requests for information if the
agency is requesting information from more than ten persons. 44 U.S.C.
3507. The agency must submit collections of information in rules to OMB
in conjunction with the publication of the rulemaking. 5 CFR 1320.11.
The Commission is not proposing any collections of information, as
defined by 44 U.S.C. 3502(3) and 5 CFR 1320.3(c), as part of this rule.
Regulation Identifier Number
The Commission assigns a regulation identifier number (RIN) to each
regulatory action listed in the Unified Agenda of Federal Regulatory
and Deregulatory Actions (Unified Agenda). The Regulatory Information
Service Center publishes the Unified Agenda in April and October of
each year. You may use the RIN contained in the heading at the
beginning of this document to find this action in the Unified Agenda,
available at: http://www.reginfo.gov/public/do/eAgendaMain.
Direct Final Rule Justification
The Commission expects the amendments to be noncontroversial.
Therefore, pursuant to 5 U.S.C. 553, notice and comment are not
required and this rule may become effective after publication in the
Federal Register unless the Commission receives significant adverse
comments within the specified period. The Commission recognizes that
parties may have information that could impact the Commission's views
and intentions with respect to the revised regulations, and the
Commission intends to consider any comments filed. The Commission will
withdraw the rule if it receives significant adverse comments. Filed
comments that are not adverse may be considered for modifications to
part 503 at a future date. If no significant adverse comment is
received, the rule will become effective without additional action.
List of Subjects in 46 CFR Part 503
Administrative practices and procedures, Archives and records,
Classified information, Confidential business information, Freedom of
information, Information, Privacy, Records, Reporting and recordkeeping
requirements, Sunshine Act.
For the reasons set forth in the preamble, the Federal Maritime
Commission amends 46 CFR part 503 as follows:
PART 503--PUBLIC INFORMATION
0
1. The authority citation for part 503 is revised to read:
Authority: 5 U.S.C. 552, 552a, 552b, 553; 31 U.S.C. 9701; E.O.
13526, 75 FR 707, 3 CFR, 2009 Comp., p. 298.
Subpart A--General
0
2. Revise Sec. 503.1 to read as follows:
Sec. 503.1 Scope and purpose.
This part implements the Freedom of Information Act (FOIA), 5
U.S.C. 552, as amended, the Privacy Act of 1974, 5 U.S.C. 552a, and the
Government in the Sunshine Act (1976), 5 U.S.C. 552b; and sets forth
the Commission's regulations governing:
(a) Public availability of Commission information and records at
its Office of the Secretary, published in the Federal Register, or
posted on the Commission's public Web site (www.fmc.gov);
(b) Procedures for requests for testimony by current or former FMC
employees relating to official information and production of official
Commission records in litigation;
(c) The type of services and amount of fees charged for certain
Commission services; and
(d) The Commission's Information Security Program.
Subpart B--Publication in the Federal Register
0
3. Amend Sec. 503.11 by revising the introductory text to read as
follows:
Sec. 503.11 Materials to be published.
The Commission shall separately state and concurrently publish the
following materials in the Federal Register or on its public Web site
(www.fmc.gov) for the guidance of the public:
* * * * *
[[Page 38000]]
Subpart C--Records, Information and Materials Generally Available
to the Public Without Resort to Freedom of Information Act
Procedures
0
4. Amend Sec. 503.21 by revising paragraphs (a) introductory text and
(c) to read as follows:
Sec. 503.21 Mandatory public records.
(a) The Commission, as required by the Freedom of Information Act,
5 U.S.C. 552, makes the following materials available for public
inspection and copying in its Office of the Secretary, or on its Web
site at www.fmc.gov:
* * * * *
(c) The Commission maintains and makes available for public
inspection at the Office of the Secretary, Federal Maritime Commission,
Washington, DC 20573, or on its public Web site at www.fmc.gov, a
current log or index providing identifying information for the public
as to any matter which is issued, adopted, or promulgated, and which is
required by paragraph (a) of this section to be made available or
published.
(1) No final order, opinion, statement of policy, interpretation,
or staff manual or instruction that affects any member of the public
will be relied upon, used, or cited as precedent by the Commission
against any private party unless:
(i) It has been logged or indexed and either made available or
published on its public Web site as provided by this subpart; or
(ii) That private party shall have actual and timely notice of the
terms thereof.
(2) [Reserved]
* * * * *
0
5. Revise Sec. 503.22 to read as follows:
Sec. 503.22 Records available through the Commission's Web site or at
the Office of the Secretary.
The following records are also available without the requirement of
a FOIA request on the Commission's Web site or by contacting the Office
of the Secretary, Federal Maritime Commission, 800 North Capitol St.,
NW., Washington, DC 20573, [email protected]. Access to requested
records may be delayed if they have been sent to archives. Certain fees
may be assessed for duplication of records made available by this
section as prescribed in subpart F of this part.
(a) Proposed and final rules and regulations of the Commission
including general substantive rules, statements of policy and
interpretations, and rules of practice and procedure.
(b) Federal Maritime Commission reports.
(c) Official docket files in all formal proceedings including, but
not limited to, orders, final decisions, notices, pertinent
correspondence, transcripts, exhibits, and briefs, except for materials
which are the subject of a protective order.
(d) News releases, consumer alerts, Commissioner statements, and
speeches.
(e) Approved summary minutes of Commission actions showing final
votes, except for minutes of closed Commission meetings which are not
available until the Commission publicly announces the results of such
deliberations.
(f) Annual reports of the Commission.
(g) Agreements filed or in effect pursuant to section 5 (46 U.S.C.
40301(d)-(e), 40302-40303, 40305) and section 6 (46 U.S.C. 40304,
40306, 41307(b)-(d)) of the Shipping Act of 1984.
(h) List of FMC-licensed and bonded ocean transportation
intermediaries.
(i) Notification of ocean transportation intermediaries license
applications, revocations, and suspensions.
(j) General descriptions of the functions, bureaus, and offices of
the Commission, phone numbers and email addresses, as well as locations
of Area Representatives.
(k) Information about how to file a complaint alleging violations
of the Shipping Act, and how to seek mediation or alternative dispute
resolution services.
(l) Commonly used forms.
(m) Final and pending proposed rules.
(n) Access to statements of policy and interpretations as published
in part 545 of this chapter.
(o) Lists of the location of all common carrier and conference
tariffs and publically available terminal schedules of marine terminal
operators.
Sec. Sec. 503.23 and 503.24 [Removed and Reserved]
0
6. Remove and reserve Sec. Sec. 503.23 and 503.24.
0
7. Revise subpart D heading to read as follows:
Subpart D--Requests for Records Under the Freedom of Information
Act
* * * * *
0
8. Amend Sec. 503.31 by revising paragraphs (a) and (d) to read as
follows:
Sec. 503.31 Records available upon written request under the Freedom
of Information Act.
(a) Generally. Many documents are available on the Commission's
public Web site and the Commission encourages requesters visit the Web
site before making a request for records under FOIA.
(1) Electronic or written requests. A member of the public may
request permission to inspect, copy or be provided with any Commission
record not described in subpart C of this part or posted on the
Commission's Web site at www.fmc.gov. Such a request must:
(i) Reasonably describe the record or records sought;
(ii) Be submitted electronically to [email protected] or in writing to
the Secretary, Federal Maritime Commission, 800 North Capitol Street,
NW., Washington, DC 20573.
(iii) Be clearly marked on the subject line of an email or on the
exterior of the envelope with the term ``FOIA.''
(2) [Reserved]
* * * * *
(d) Certain fees may be assessed for processing requests under this
subpart as prescribed in subpart F of this part.
0
9. Amend Sec. 503.32 by revising paragraphs (a)(1), (a)(3)(i)(B),
(a)(3)(ii), (d), and (e)(1) and (4) and adding paragraphs (b)(4) and
(5) to read as follows:
Sec. 503.32 Procedures for responding to requests made under the
Freedom of Information Act.
(a) * * *
(1) Such determination shall be made by the Secretary within twenty
(20) business days after receipt of such request, except as provided in
paragraphs (b) and (e)(4) of this section.
* * * * *
(3)(i) * * *
(B) Be filed not later than ten (10) business days following
receipt of notification of full or partial denial of records requested.
(ii) The Chairman or the Chairman's specific delegate, in his or
her absence, shall make a determination with respect to that appeal
within twenty (20) business days after receipt of such appeal, except
as provided in paragraph (b) of this section.
* * * * *
(b) * * *
(4) The Secretary may make an initial written request to the
requestor for information to clarify the request which will toll the
20-day processing period until such information has been received. The
20-day processing period will recommence after receipt of the requested
information.
(5) The Secretary may also make written requests to clarify issues
regarding fee assessments. Such written requests will toll the 20-day
processing
[[Page 38001]]
period until such information has been received from the requestor. The
20-day processing period will recommence after receipt of the requested
information.
* * * * *
(d) Multitrack processing of requests. The Secretary uses
multitrack processing of FOIA requests. Requests which seek and are
granted expedited processing are put on the expedited track. All other
requests are designated either simple or complex requests based on the
amount of time and/or complexity needed to process the request. A
request may be considered simple if it involves records that are
routinely requested and readily available.
(e) Expedited processing of requests. (1) The Secretary will
provide for expedited processing of requests for records when the
person requesting the records can demonstrate a compelling need.
* * * * *
(4) The Secretary shall determine whether to provide expedited
processing, and provide notice of the determination to the person
making the request, within ten (10) calendar days after the receipt
date of the request.
* * * * *
0
10. Amend Sec. 503.34 by revising paragraph (a) to read as follows:
Sec. 503.34 Annual report of public information request activity.
(a) On or before February 1 of each year, the Commission must
submit to the Attorney General of the United States, in the format
required by the Attorney General, a report on FOIA activities which
shall cover the preceding fiscal year pursuant to 5 U.S.C. 552(e).
* * * * *
Subpart I--Public Observation of Federal Maritime Commission
Meetings and Public Access to Information Pertaining to Commission
Meetings
0
11. Amend Sec. 503.87 by revising paragraph (b) to read as follows:
Sec. 503.87 Effect of provisions of this subpart on other subparts.
* * * * *
(b) Nothing in this subpart shall permit the withholding from any
individual to whom a record pertains any record required by this
subpart to be maintained by the agency which record is otherwise
available to such an individual under the provisions of subpart H of
this part.
By the Commission.
Karen V. Gregory,
Secretary.
[FR Doc. 2015-16101 Filed 7-1-15; 8:45 am]
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