[Federal Register Volume 84, Number 115 (Friday, June 14, 2019)]
[Rules and Regulations]
[Pages 27721-27734]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-11775]
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COMMISSION OF FINE ARTS
45 CFR Part 2105
Freedom of Information Act Regulations
AGENCY: Commission of Fine Arts.
ACTION: Final rule.
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SUMMARY: This rule replaces the Commission of Fine Arts (CFA) Freedom
of Information Act (FOIA) regulations, last updated in 1986, with
regulations that incorporate FOIA-related mandates since the last
update, including the FOIA Improvement Act of 2016.
DATES: This rule is effective June 14, 2019.
ADDRESSES: Please address comments concerning this rule to
[email protected].
FOR FURTHER INFORMATION CONTACT: Thomas Luebke, Secretary, (202) 504-
2200.
SUPPLEMENTARY INFORMATION: As established by Congress in 1910, the
Commission of Fine Arts (CFA) is a small independent advisory body made
up of seven presidentially appointed ``well qualified judges of the
arts'' whose primary role is architectural review of designs for
buildings, parks, monuments and memorials erected by the Federal or
District of Columbia governments in Washington, DC. In addition to
architectural review, the Commission considers and advises on the
designs for coins, medals, and U.S. memorials on foreign soil. The
Commission also advises the District of
[[Page 27722]]
Columbia government on private building projects within the Georgetown
Historic District, the Rock Creek Park perimeter, and the Monumental
Core area. The Commission advises Congress, the President, Federal
agencies, and the District of Columbia government on the general
subjects of design, historic preservation, and on orderly planning on
matters within its jurisdiction.
The Commission of Fine Arts routinely and promptly responds to
requests from concerned citizens and interested parties to review a
wide variety of agency documents. To this end, the staff regularly
posts agendas for upcoming meetings and draft documents relevant to
those meetings to the agency website (https://www.cfa.gov/). Agendas,
meeting minutes, recommendation letters, and actions taken under the
Shipstead-Luce and Old Georgetown Acts are posted on the website in a
timely manner. In that same spirit of openness and transparency, the
CFA strives to organize and fulfill Freedom of Information Act (FOIA)
requests efficiently and expediently, within the perimeters of current
legislation. The CFA published revised regulations to replace those
published in 1986 and invited public commentary. Commentary was
received, reviewed and incorporated into this final rule.
The Commission adopts the interim rule published in Federal
Register on April 16, 2019, at 84 FR 15512, as final with changes. The
changes were incorporated from the comments received on the interim
rule and for the convenience of the reader, the Commission is setting
out the part revised in its entirety. Comments received include
identification of unnecessary repetition, clarification on fee
categories specified in FOIA legislation, suggestions to highlight the
availability of a FOIA Public Liaison and other minor copy and wording
suggestions.
List of Subjects 45 CFR Part 2105
Administrative practice and procedure, Freedom of information.
For reasons stated in the preamble, the Commission of Fine Arts
revises 45 CFR part 2105 to read as follows:
PART 2105--REQUIREMENTS FOR COMPLIANCE WITH THE FREEDOM OF
INFORMATION ACT
Sec.
Subpart A--Introduction
2105.1 What should you know up front?
2105.2 What kinds of records are not covered by the regulations in
this part?
Subpart B--How To Make a Request
2105.3 Where should you send a FOIA request?
2105.4 How should you describe the records you seek?
2105.5 How will fee information affect the processing of your
request?
2105.6 What information should you include about your fee category?
2105.7 Can you ask for records to be disclosed in a particular form
or format?
2105.8 What if your request seeks records about another person?
2105.9 May you ask for the processing of your request to be
expedited?
2105.10 What contact information should your request include?
Subpart C--Processing Requests
2105.11 What should you know about how the Agency processes
requests?
2105.12 How do consultations and referrals work?
Subpart D--Timing of Responses to Requests
2105.13 In what order are responses usually made?
2105.14 What is multitrack processing and how does it affect your
request?
2105.15 What is the basic time limit for responding to a request?
2105.16 When can the Agency suspend the basic time limit?
2105.17 When may the Agency extend the basic time limit?
2105.18 When will expedited processing be provided and how will it
affect your request?
Subpart E--Responses to Requests
2105.19 How will the Agency respond to requests?
2105.20 How will the Agency grant requests?
2105.21 When will the Agency deny a request or procedural benefits?
2105.22 How will the Agency deny requests?
2105.23 What if the requested records contain both exempt and
nonexempt material?
Subpart F--Handling Confidential Information
2105.24 May submitters of possibly confidential information
designate information as confidential when making submissions?
2105.25 When will the Agency notify a submitter of a request for
their possibly confidential information?
2105.26 What information will the Agency include when it notifies a
submitter of a request for their possibly confidential information?
2105.27 When will the Agency not notify a submitter of a request for
their possibly confidential information?
2105.28 How and when may a submitter object to the disclosure of
confidential information?
2105.29 What must a submitter include in a detailed Exemption 4
objection statement?
2105.30 How will the Agency consider the submitter's objections?
2105.31 What if the Agency determines it will disclose information
over the submitter's objections?
2105.32 Will a submitter be notified of a FOIA lawsuit?
2105.33 Will you receive notification of activities involving the
submitter?
2105.34 Can an Agency release information protected by Exemption 4?
Subpart G--Fees
2105.35 What general principles govern fees?
2105.36 What are the requester fee categories?
2105.37 How does your requester category affect the fees you are
charged?
2105.38 How will fee amounts be determined?
2105.39 What search fees will you have to pay?
2105.40 What duplication fees will you have to pay?
2105.41 What review fees will you have to pay?
2105.42 What fees for other services will you have to pay?
2105.43 When will the Agency waive fees?
2105.44 When may you ask the Agency for a fee waiver?
2105.45 How will the Agency notify you if it denies your fee waiver
request?
2105.46 How will the Agency evaluate your fee waiver request?
2105.47 When will you be notified of anticipated fees?
2105.48 When will the Agency require advance payment?
2105.49 What if the Agency needs clarification about fee issues?
2105.50 How will you be billed?
2105.51 How will the Agency collect fees owed?
2105.52 When will the Agency combine or aggregate requests?
2105.53 What if other statutes require the Agency to charge fees?
Subpart H--Administrative Appeals
2105.54 When may you file an appeal?
2105.55 How long do you have to file an appeal?
2105.56 How do you file an appeal?
2105.57 Who makes decisions on appeals?
2105.58 How are decisions on appeals issued?
2105.59 When can you expect a decision on your appeal?
2105.60 Can you receive expedited processing of appeals?
2105.61 Must you submit an appeal before seeking judicial review?
Subpart I--General Information
2105.62 Where are records made available?
2105.63 What are public liaisons?
2105.64 When will the Agency make records available without a FOIA
request?
2105.65 How will FOIA materials be preserved?
2105.66 How will an Agency handle a request for federally-funded
research data?
2105.67 What definitions apply to this part?
Appendix A to Part 2105--Fee Schedule
[[Page 27723]]
Authority: 5 U.S.C. 552, as amended by Public Law 110-175, 121
Stat. 2524 and Pub. L. 114-185, 130 Stat. 538.
Subpart A--Introduction
Sec. 2105.1 What should you know up front?
(a) This part contains the rules that the Agency follows in
processing records under the Freedom of Information Act (FOIA), 5
U.S.C. 552.
(b) Definitions of terms used in this part are found at Sec.
2105.67.
(c) This part should be read in conjunction with the text of the
FOIA and the OMB Fee Guidelines.
(d) This part does not entitle any person to any service or to the
disclosure of any record that is not required under the FOIA.
(e) You are encouraged to review the Agency's FOIA libraries before
filing a FOIA request. The material you seek may be immediately
available electronically at no cost.
Sec. 2105.2 What kinds of records are not covered by the regulations
in this part?
In the event that the Agency identifies records that may be subject
to exclusion from the requirements of the FOIA pursuant to 5 U.S.C.
552(c), the agency must confer with legal counsel and the Department of
Justice, Office of Information Policy, to obtain approval to apply the
exclusion.
Subpart B--How To Make a Request
Sec. 2105.3 Where should you send a FOIA request?
(a) To make a request for Agency records, you must contact the
Agency directly.
(b) Address requests to the FOIA Officer found in the Agency
contacts at https://www.cfa.gov/foia.
Sec. 2105.4 How should you describe the records you seek?
(a) You must reasonably describe the records sought. A reasonable
description contains sufficient detail to enable Agency personnel
familiar with the subject matter of the request to locate the records
with a reasonable amount of effort.
(b) You should include as much detail as possible about the
specific records or types of records that you are seeking. This will
assist the Agency in identifying the requested records (for example,
time frames involved or specific personnel who may have the requested
records). For example, whenever possible, identify:
(1) The date, title or name, author, recipient, and subject of any
particular records you seek;
(2) The office that created the records you seek;
(3) The timeframe for which you are seeking records; and
(4) Any other information that will assist the Agency in locating
the records.
(c) The Agency's FOIA Officer or Public Liaison can assist you in
formulating or reformulating a request in an effort to better identify
the records you seek.
(d) If the Agency determines that your request does not reasonably
describe the records sought, the Agency will inform you what additional
information you need to provide in order to reasonably describe the
records that you seek so the requested records can be located with a
reasonable amount of effort. The Agency will also notify you that it
will not be able to comply with your request unless the additional
information it has requested is received from you in writing within 20
workdays after the Agency has requested it and that you may appeal its
determination. If you receive this type of notification, you may wish
to discuss it with the Agency's designated FOIA contact or the FOIA
Public Liaison (see Sec. 2105.63). If the Agency does not receive your
written response containing the additional information within 20
workdays after the Agency has requested it, the Agency will presume
that you are no longer interested in the records and will close the
file on the request.
Sec. 2105.5 How will fee information affect the processing of your
request?
(a) Your request should state that you will pay all fees associated
with processing the request, that you will pay fees up to a specified
amount, and/or that you are seeking a fee waiver.
(b) If the Agency anticipates that the fees for processing the
request will exceed the amount you have agreed to pay, or if you did
not agree in writing to pay processing fees or request a fee waiver and
the Agency anticipates the processing costs will exceed $50 (see Sec.
2105.35(g)) or will exceed your entitlements (see Sec. 2105.37), the
Agency will notify you:
(1) Of the estimated processing fees;
(2) Of its need for either an advance payment (see Sec. 2105.48)
or your written assurance that you will pay the anticipated fees (or
fees up to a specified amount); and
(3) That it will not be able to fully comply with your request
unless you provide a fee waiver request and/or the requested written
assurance or advance payment.
(c) If the Agency does not receive a written response from you
within 20 workdays after requesting the information in paragraph (b) of
this section, it will presume that you are no longer interested in the
records and will close the file on the request.
(d) If you are seeking a fee waiver, your request must include a
justification that addresses and meets the criteria in Sec. Sec.
2105.43 and 2105.46. Failure to provide sufficient justification will
result in a denial of the fee waiver request. If you are seeking a fee
waiver, you may also indicate the amount you are willing to pay if the
fee waiver is denied. This allows the Agency to process the request for
records while it considers your fee waiver request.
(e) If you are required to pay a fee and it is later determined on
appeal that you were entitled to a full or partial fee waiver, you will
receive an appropriate refund.
Sec. 2105.6 What information should you include about your fee
category?
(a) A request should indicate your fee category (that is, whether
you are a commercial-use requester, news media, educational or
noncommercial scientific institution, or other requester as described
in Sec. Sec. 2105.36 and 2105.37).
(b) If you submit a FOIA request on behalf of another person or
organization (for example, if you are an attorney submitting a request
on behalf of a client), the Agency will determine the fee category by
considering the underlying requester's identity and intended use of the
information.
(c) If your fee category is unclear, the Agency may ask you for
additional information (see Sec. 2105.49).
Sec. 2105.7 Can you ask for records to be disclosed in a particular
form or format?
(a) Generally, you may choose the form or format of disclosure for
records requested. The Agency must provide the records in the requested
form or format if the Agency can readily reproduce the record in that
form or format.
(b) The Agency may charge you the direct costs involved in
converting records to the requested format if the Agency does not
normally maintain the records in that format (see Sec. 2105.42).
Sec. 2105.8 What if your request seeks records about another person?
(a) When a request seeks records about another person, you may
receive greater access by submitting proof that the person either:
(1) Consents to the release of the records to you (for example, a
notarized authorization signed by that person); or
(2) Is deceased (for example, a copy of a death certificate or an
obituary).
(b) The Agency can require you to supply additional information if
necessary to verify that a particular
[[Page 27724]]
person has consented to disclosure or is deceased.
Sec. 2105.9 May you ask for the processing of your request to be
expedited?
You may ask for the processing of your request to be expedited. If
you are seeking expedited processing, your request must include a
justification that addresses and meets the criteria in Sec. 2105.18
and includes the certification required at Sec. 2105.18(b)(2).
Sec. 2105.10 What contact information should your request include?
A request should include your name and a way (such as a mailing or
email address) for the Agency to send responsive records to you and/or
to request additional information or clarification of your request. You
may also wish to include a daytime telephone number (or the name and
telephone number of an appropriate contact).
Subpart C--Processing Requests
Sec. 2105.11 What should you know about how the Agency processes
requests?
(a) Except as described in Sec. 2105.12, the Agency is responsible
for responding to the request and for making a reasonable effort to
search for responsive records.
(b) In determining which records are responsive to a request, the
Agency will include only records in its possession and control on the
date that it begins its search.
(c) The Agency will make reasonable efforts to search for the
requested records. As part of its reasonable efforts, the Agency will
search paper and/or electronic records (for example, emails), as
appropriate. The Agency will not search for records in an electronic
form or format if these efforts would significantly interfere with the
operation of the Agency's automated information system.
(d) If the Agency receives a request for records in its possession
that it did not create or that another Federal agency is substantially
concerned with, it may undertake consultations and/or referrals as
described in Sec. 2105.12.
Sec. 2105.12 How do consultations and referrals work?
(a) Consultations and referrals generally occur outside the Agency.
(1) Paragraphs (b) through (f) of this section address
consultations and referrals that occur outside the Agency when the
Agency has responsive records.
(2) Paragraph (g) of this section addresses what happens when the
Agency has no responsive records but believes responsive records may be
in the possession of a Federal agency outside the Agency.
(b) If, while responding to a request, the Agency locates records
that originated with another Federal agency, it usually will refer the
request and any responsive records to that other agency for a release
determination and direct response.
(c) If the Agency refers records to another agency, it will
document the referral and maintain a copy of the records that it refers
and notify you of the referral in writing. When the Agency notifies you
of the referral, it will tell you whether the referral was for part or
all of your request and provide the name and contact information for
the other agency. You may treat such a response as a denial of records
and file an appeal, in accordance with the procedures in Sec. 2105.56.
(d) The standard referral procedure is not appropriate where
disclosure of the identity of the Agency to which the referral would be
made could harm an interest protected by an applicable exemption, such
as the exemptions that protect personal privacy or national security
interests. In such instances, in order to avoid harm to an interest
protected by an applicable exemption, the Agency that received the
request will coordinate with the originating agency and seek its views
on the disclosability of the record. The release determination for the
record that is the subject of the coordination will then be conveyed to
the requester by the Agency that originally received the request.
(e) If the Agency locates records that originated with another
Federal agency while responding to a request, the Agency will make the
release determination itself (after consulting with the originating
agency) when:
(1) The record is of primary interest to the Agency (for example, a
record may be of primary interest to the Agency if it was developed or
prepared according to the Agency's regulations or directives, or in
response to an Agency request);
(2) The Agency is in a better position than the originating agency
to assess whether the record is exempt from disclosure;
(3) The originating agency is not subject to the FOIA; or
(4) It is more efficient or practical depending on the
circumstances.
(f) On receipt of any request involving classified information, the
Agency will determine whether the information is currently and properly
classified in accordance with applicable classification rules. Whenever
a request involves a record containing information that has been
classified or may be appropriate for classification by another agency
under any applicable Executive order concerning the classification of
records, the receiving agency will refer the responsibility for
responding to the request regarding that information to the agency that
classified the information, or that should consider the information for
classification. Whenever the Agency's record contains information that
has been derivatively classified (for example, when it contains
information classified by another agency), the Agency will refer the
responsibility for responding to that portion of the request to the
agency that classified the underlying information.
(g) If the Agency receives a request for records not in its
possession, but that the Agency believes may be in the possession of a
Federal agency outside the Agency, the Agency will return the request
to you, may advise you to submit it directly to the other agency, will
notify you that the Agency cannot comply with the request, and will
close the request. If you believe this response was in error, you may
file an appeal in accordance with the procedures in Sec. 2105.56.
Subpart D--Timing of Responses to Requests
Sec. 2105.13 In what order are responses usually made?
The Agency ordinarily will respond to requests according to their
order of receipt within their processing track.
Sec. 2105.14 What is multitrack processing and how does it affect
your request?
(a) Processing tracks are used to distinguish simple requests from
more complex ones on the basis of the estimated number of workdays
needed to process the request.
(b) In determining the number of workdays needed to process the
request, the Agency considers factors such as the number of pages
involved in processing the request or the need for consultations.
(c) The basic processing tracks are designated as follows:
(1) Simple: Requests in this track will take between one to five
workdays to process;
(2) Normal: Requests in this track will take between six to twenty
workdays to process;
(3) Complex: Requests in this track will take between twenty-one
workdays and sixty workdays to process; or
(4) Voluminous: Requests in this track involve very complex
processing challenges, which may include a large number of potentially
responsive
[[Page 27725]]
records, and will take over sixty workdays to process.
(d) The Agency also has a specific processing track for requests
that are granted expedited processing under the standards in Sec.
2105.18. These requests will be processed as soon as practicable.
(e) The Agency must advise you of the track into which your request
falls and, when appropriate, will offer you an opportunity to narrow
your request so that it can be placed in a different processing track.
If you request placement in a particular processing track but the
Agency places you in a different processing track, the Agency will
provide you with an explanation of why you were not placed in the
processing track you requested.
(f) The use of multitrack processing does not alter the statutory
deadline for an Agency to determine whether to comply with your FOIA
request (see Sec. 2105.15).
(g) You may inquire about the status of your request, including its
estimated processing completion date, by contacting the FOIA Public
Liaison, whose contact information may be found at https://www.cfa.gov/foia.
Sec. 2105.15 What is the basic time limit for responding to a
request?
(a) Ordinarily, the Agency has 20 workdays (including the date of
receipt) to determine whether to comply with a request, but unusual
circumstances may allow the Agency to take longer than 20 workdays (see
Sec. 2105.17).
(b) A consultation or referral under Sec. 2105.12 does not restart
the statutory time limit for responding to a request.
Sec. 2105.16 When can the Agency suspend the basic time limit?
(a) The basic time limit in Sec. 2105.15 may be temporarily
suspended for the time it takes you to respond to one written
communication from the Agency reasonably asking for clarifying
information.
(b) The basic time limit in Sec. 2105.15 may also repeatedly be
temporarily suspended for the time it takes you to respond to written
communications from the Agency that are necessary to clarify issues
regarding fee assessment (see Sec. 2105.49).
Sec. 2105.17 When may the Agency extend the basic time limit?
(a) The Agency may extend the basic time limit, if unusual
circumstances exist, by notifying you in writing of:
(1) The unusual circumstances involved; and
(2) The date by which it expects to complete processing the
request.
(b) If the processing time will extend beyond a total of 30
workdays, the Agency will:
(1) Give you an opportunity to limit the scope of the request or
agree to an alternative time period for processing; and
(2) Make available its FOIA Public Liaison (see Sec. 2105.63) to
assist in resolving any disputes between you and the Agency, and notify
you of your right to seek dispute resolution from the Office of
Government Information Services (OGIS).
(c) If the Agency extends the time limit under this section and you
do not receive a response in accordance with Sec. 2105.15(a) in that
time period, you may consider the request denied and file an appeal in
accordance with the procedures in Sec. 2105.56.
(d) Your refusal to reasonably modify the scope of a request or
arrange an alternative time frame for processing a request after being
given the opportunity to do so may be considered for litigation
purposes as a factor when determining whether exceptional circumstances
exist.
Sec. 2105.18 When will expedited processing be provided and how will
it affect your request?
(a) The Agency will provide expedited processing upon request if
you demonstrate to the satisfaction of the Agency that there is a
compelling need for the records. The following circumstances
demonstrate a compelling need:
(1) Where failure to expedite the request could reasonably be
expected to pose an imminent threat to the life or physical safety of
an individual; or
(2) Where there is an urgency to inform the public about an actual
or alleged Federal Government activity and the request is made by a
person primarily engaged in disseminating information.
(i) In most situations, a person primarily engaged in disseminating
information will be a representative of the news media.
(ii) If you are not a full time member of the news media, to
qualify for expedited processing here, you must establish that your
main professional activity or occupation is information dissemination,
although it need not be your sole occupation.
(iii) The requested information must be the type of information
which has particular value that will be lost if not disseminated
quickly; this ordinarily refers to a breaking news story of general
public interest.
(iv) Information of historical interest only or information sought
for litigation or commercial activities would not qualify, nor would a
news media deadline unrelated to breaking news.
(b) If you seek expedited processing, you must submit a statement
that:
(1) Explains in detail how your request meets one or both of the
criteria in paragraph (a) of this section; and
(2) Certifies that your explanation is true and correct to the best
of your knowledge and belief.
(c) You may ask for expedited processing of your request by writing
to the appropriate FOIA contact in the Agency that maintains the
records requested any time before the Agency issues its final response
to your request. When making a request for expedited processing of an
administrative appeal, submit the request to the appropriate deciding
official for FOIA appeals.
(d) The Agency must notify you of its decision to grant or deny
expedited processing within 10 calendar days of receiving an expedited
processing request.
(e) If expedited processing is granted, the request will be given
priority, placed in the processing track for expedited requests, and be
processed as soon as practicable.
(f) If expedited processing is denied, the Agency will:
(1) Inform you of the basis for the denial, including an
explanation of why the expedited processing request does not meet the
Agency's expedited processing criteria under this section; and
(2) Notify you of the right to appeal the decision on expedited
processing in accordance with the procedures in subpart H of this part.
(g) If you appeal the Agency's expedited processing decision, that
portion of your appeal (if it is properly formatted under Sec.
2105.56) will be processed before appeals that do not challenge
expedited processing decisions.
(h) If the Agency has not responded to the request for expedited
processing within 10 calendar days, you may file an appeal (for
nonresponse in accordance with Sec. 2105.54(a)(8)).
Subpart E--Responses to Requests
Sec. 2105.19 How will the Agency respond to requests?
(a) When the Agency informs you of its decision to comply with a
request by granting, partially granting, or denying the request, it
will do so in writing and in accordance with the deadlines in subpart D
of this part. The Agency's written response will include a statement
about the services offered by its FOIA Public Liaison. The Agency's
[[Page 27726]]
written response will also include a statement about the services
offered by the Office of Government Information Services (OGIS).
(b) If the Agency determines that your request will take longer
than 10 workdays to process, the Agency immediately will send you a
written acknowledgment that includes the request's individualized
tracking number and processing track (see Sec. 2105.14(e)). The
acknowledgement may also include a brief description of the subject of
your request.
Sec. 2105.20 How will the Agency grant requests?
(a) Once the Agency makes a determination to grant a request in
full or in part, it must notify you in writing.
(b) The notification will inform you of the availability of its
FOIA Public Liaison to offer assistance, and of any fees charged under
subpart G of this part.
(c) The Agency will release records (or portions of records) to you
promptly upon payment of any applicable fees (or before then, at its
discretion).
(d) If the records (or portions of records) are not included with
the Agency's notification, the Agency will advise you how, when, and
where the records will be released or made available.
Sec. 2105.21 When will the Agency deny a request or procedural
benefits?
(a) The Agency denies a request when it makes a decision that:
(1) A requested record is exempt, in full or in part;
(2) The request does not reasonably describe the records sought;
(3) A requested record does not exist, cannot be located, or is not
in the Agency's possession and/or control; or
(4) A requested record is not readily reproducible in the form or
format you seek.
(b) The Agency denies a procedural benefit only, and not access to
the underlying records, when it makes a decision that:
(1) A fee waiver, or another fee-related issue, will not be
granted; or
(2) Expedited processing will not be provided.
(c) The Agency must consult with legal counsel before it denies a
fee waiver request or withholds all or part of a requested record.
Sec. 2105.22 How will the Agency deny requests?
(a) The Agency must notify you in writing of any denial of your
request.
(b) The denial notification must include:
(1) The name and title or position of the person responsible for
the denial, along with an office phone number or email address;
(2) A statement of the reasons for the denial;
(3) A reference to any FOIA exemption applied by the Agency to
withhold records in full or in part, along with a statement that the
Agency reasonably foresees that disclosure would harm an interest
protected by the applied exemption(s) or disclosure is prohibited by
law;
(4) An estimate of the volume of any records withheld in full or in
part (for example, by providing the number of pages or some other
reasonable form of estimation), unless including an estimate would harm
an interest protected by an exemption used to withhold the records and
the Agency explains this harm to you;
(5) The name and title of legal counsel consulted (if the Agency is
denying a fee waiver request or withholding all or part of a requested
record);
(6) Advisement of the right to seek dispute resolution services
from the Agency's FOIA Public Liaison and the Office of Government
Information Services (OIGS); and
(7) A statement that the denial may be appealed under subpart H of
this part and a description of the procedures in subpart H of this
part.
Sec. 2105.23 What if the requested records contain both exempt and
nonexempt material?
If responsive records contain both exempt and nonexempt material,
the Agency will consult with legal counsel, as discussed in Sec.
2105.21(c). After consultation, the Agency will partially grant and
partially deny the request by:
(a) Segregating and releasing the nonexempt information, unless the
nonexempt material is so intertwined with the exempt material that
disclosure of it would leave only meaningless words and phrases;
(b) Indicating on the released portion of the record the amount of
information deleted and the FOIA exemption under which the deletion was
made, unless doing so would harm an interest protected by the FOIA
exemption used to withhold the information; and
(c) If technically feasible, indicating the amount of information
deleted and the FOIA exemption under which the deletion was made at the
place in the record where the deletion was made.
Subpart F--Handling Confidential Information
Sec. 2105.24 May submitters of possibly confidential information
designate information as confidential when making submissions?
(a) The Agency encourages, but does not require, submitters to
designate confidential information in good faith (in other words, to
identify specific information as information the submitter considers
protected from disclosure under Exemption 4 of the FOIA, found at 5
U.S.C. 552(b)(4)), at the time of submission or reasonably soon
thereafter.
(b) The designations discussed in paragraph (a) of this section
assist the Agency in identifying what information obtained from the
submitter is possibly confidential and triggers the requirement for
Agency-provided notifications under Sec. 2105.25(a)(1).
Sec. 2105.25 When will the Agency notify a submitter of a request
for their possibly confidential information?
(a) Except as outlined in Sec. 2105.27, an Agency must promptly
notify a submitter in writing when it receives a FOIA request if:
(1) The requested information has been designated by the submitter
as confidential information under Sec. 2105.24(a); or
(2) The requested information has not been designated as
confidential information by the submitter under Sec. 2105.24(a), but
the Agency identifies it as possibly confidential information.
(b) If a voluminous number of submitters are involved, the Agency
may publish a notice in a manner reasonably calculated to reach the
attention of the submitters (for example, in newspapers or newsletters,
the Agency's website, or the Federal Register) instead of providing a
written notice to each submitter.
Sec. 2105.26 What information will the Agency include when it
notifies a submitter of a request for their possibly confidential
information?
A notice to a submitter must include:
(a) Either a copy of the request, the exact language of the
request, or (for notices published under Sec. 2 105.25(b)) a general
description of the request;
(b) Either a description of the possibly confidential information
located in response to the request or a copy of the responsive records,
or portions of records, containing the information;
(c) A description of the procedures for objecting to the release of
the possibly confidential information under Sec. Sec. 2105.28 and
2105.29;
[[Page 27727]]
(d) A time limit for responding to the Agency--no less than 10
workdays from receipt or publication of the notice (as set forth in
Sec. 2105.25(b))--to object to the release and to explain the basis
for the objection;
(e) Notice that information contained in the submitter's objections
may itself be subject to disclosure under the FOIA;
(f) Notice that the Agency, not the submitter, is responsible for
deciding whether the information will be released or withheld;
(g) A request for the submitter's views on whether they still
consider the information to be confidential if the submitter designated
the material as confidential commercial or financial information 10 or
more years before the request; and
(h) Notice that failing to respond within the time frame specified
under paragraph (d) of this section will create a presumption that the
submitter has no objection to the disclosure of the information in
question.
Sec. 2105.27 When will the Agency not notify a submitter of a
request for their possibly confidential information?
The notice requirements of Sec. 2105.26 will not apply if:
(a) The information has been lawfully published or officially made
available to the public; or
(b) Disclosure of the information is required by a statute other
than the FOIA or by a regulation (other than this part) issued in
accordance with the requirements of Executive Order 12600.
Sec. 2105.28 How and when may a submitter object to the disclosure
of confidential information?
(a) If a submitter has any objections to the disclosure of
confidential information, the submitter should provide a detailed
written statement to the Agency that specifies all grounds for
withholding the particular information under any FOIA exemption (see
Sec. 2105.29 for further discussion of Exemption 4 objection
statements).
(b) A submitter who does not respond within the time period
specified under Sec. 2105.26(d) will be considered to have no
objection to disclosure of the information. Responses received by the
Agency after this time period will not be considered by the Agency
unless the appropriate Agency FOIA contact determines, in his or her
sole discretion, that good cause exists to accept the late response.
Sec. 2105.29 What must a submitter include in a detailed Exemption 4
objection statement?
If a submitter has any objections to disclosure, it should provide
the Agency a detailed written statement that specifies all grounds for
withholding the particular information under any exemption of the FOIA.
In order to rely on Exemption 4 as basis for nondisclosure, the
submitter must explain why the information constitutes a trade secret
or commercial or financial information that is confidential.
Sec. 2105.30 How will the Agency consider the submitter's
objections?
(a) The Agency must carefully consider a submitter's objections and
specific grounds for nondisclosure in deciding whether to disclose the
requested information.
(b) The Agency, not the submitter, is responsible for deciding
whether the information will be released or withheld.
Sec. 2105.31 What if the Agency determines it will disclose
information over the submitter's objections?
If the Agency decides to disclose information over the objection of
a submitter, the Agency must notify the submitter by certified mail or
other traceable mail, return receipt requested. The notification must
be sent to the submitter's last known address and must include:
(a) The specific reasons why the Agency determined that the
submitter's disclosure objections do not support withholding the
information;
(b) Copies of the records or information the Agency intends to
release; and
(c) Notice that the Agency intends to release the records or
information no less than 10 workdays after receipt of the notice by the
submitter.
Sec. 2105.32 Will a submitter be notified of a FOIA lawsuit?
If you file a lawsuit seeking to compel the disclosure of
confidential information, the Agency must promptly notify the
submitter.
Sec. 2105.33 Will you receive notification of activities involving
the submitter?
If any of the following occur, the Agency will notify you:
(a) The Agency provides the submitter with notice and an
opportunity to object to disclosure;
(b) The Agency notifies the submitter of its intent to disclose the
requested information; or
(c) A submitter files a lawsuit to prevent the disclosure of the
information.
Sec. 2105.34 Can an Agency release information protected by
Exemption 4?
If an Agency determines that the requested information is protected
from release by Exemption 4 of the FOIA, the Agency has no discretion
to release the information. Release of information protected from
release by Exemption 4 is prohibited by the Trade Secrets Act, a
criminal provision found at 18 U.S.C. 1905.
Subpart G--Fees
Sec. 2105.35 What general principles govern fees?
(a) The Agency will charge for processing requests under the FOIA
in accordance with this subpart and with the OMB Fee Guidelines.
(b) The Agency may contact you for additional information to
resolve fee issues.
(c) The Agency ordinarily will collect all applicable fees before
sending copies of records to you.
(d) You may usually pay fees by check, certified check, or money
order made payable to the ``Department of Treasury.''
(e) The Agency should ensure that it conducts searches, review, and
duplication in the most efficient and the least expensive manner so as
to minimize costs for both you and the Agency.
(f) If the Agency does not comply with any of the FOIA's statutory
time limits:
(1) Except as provided in paragraph (f)(2) of this section, the
Agency cannot assess any search fees (or, if you are in the fee
category of a representative of the news media or an educational and
noncommercial scientific institution, duplication fees).
(2)(i) If the Agency has determined that unusual circumstances
apply (as the term is defined in Sec. 2105.67) and the Agency provided
you a timely written notice to extend the basic time limit in
accordance with Sec. 2105.17, the noncompliance is excused for an
additional 10 workdays.
(ii) If the Agency has determined that unusual circumstances apply
and more than 5,000 pages are necessary to respond to the request, the
noncompliance is excused if the Agency has provided you a timely
written notice in accordance with Sec. 2105.17 and has discussed with
you via written mail, email, or telephone (or made not less than 3
good-faith attempts to do so) how you could effectively limit the scope
of the request.
(iii) If a court has determined that exceptional circumstances
exist (as that term is defined in Sec. 2105.67), the noncompliance is
excused for the length of time provided by the court order.
(g) If the fee for processing your request is less than $50, you
will not be charged unless multiple requests are
[[Page 27728]]
aggregated under Sec. 2105.52 to an amount that is $50 or more.
(h) If you fail to pay any FOIA-related fee within 30 calendar days
of the date of billing, the processing of any new or ongoing requests
and/or appeals from you shall ordinarily be suspended.
(i) If you would like to reformulate your request so it will meet
your needs at a lower cost, you may wish to seek assistance from the
Agency's designated FOIA contact or its FOIA Public Liaison (see Sec.
2105.63).
Sec. 2105.36 What are the requester fee categories?
(a) There are three categories of requesters for the purposes of
determining fees:
(1) Commercial-use;
(2) Educational and noncommercial scientific institutions and
representatives of news media; and
(3) All others.
(b) If you do not submit sufficient information in your FOIA
request for the Agency to determine your proper fee category, the
Agency may ask you to provide additional information (see Sec.
2105.49). If you request placement in a particular fee category but the
Agency places you in a different fee category, the Agency will provide
you with an explanation of why you were not placed in the fee category
you requested (for example, if you were placed in the commercial use
requester category rather than the category you requested, the Agency
will describe how the records would further your commercial, trade, or
profit interests).
(c) See Sec. 2105.67 for the definitions of each of these fee
categories.
Sec. 2105.37 How does your requester category affect the fees you
are charged?
You will be charged as shown in the following table:
Table 1 to Sec. 2105.37
----------------------------------------------------------------------------------------------------------------
Requester category Search fees Review fees Duplication fees
----------------------------------------------------------------------------------------------------------------
Commercial use requester............. Yes.................... Yes.................... Yes.
Educational and noncommercial No..................... No..................... Yes (first 100 pages,
scientific institutions and or equivalent volume,
representative of news media free).
requester.
All other requesters................. Yes (first two hours No..................... Yes (first 100 pages,
free). or equivalent volume,
free).
----------------------------------------------------------------------------------------------------------------
Sec. 2105.38 How will fee amounts be determined?
(a) The Agency will charge the types of fees discussed in this
subpart unless a waiver of fees is required under Sec. 2105.37 or has
been granted under Sec. 2105.43.
(b) Because the types of fees discussed in this subpart already
account for the overhead costs associated with a given fee type, the
Agency should not add any additional costs to those charges.
Sec. 2105.39 What search fees will you have to pay?
(a) The Agency will charge search fees for all requests, subject to
the restrictions of Sec. Sec. 2105.35(f), 2105.37, and 2105.38(a). The
Agency may charge you for time spent searching even if it does not
locate any responsive records or if it determines that the records are
entirely exempt from disclosure.
(b) For each quarter hour spent by personnel searching for
requested records, including electronic searches that do not require
new programming, the fees will be the average hourly General Schedule
(GS) base salary, plus the District of Columbia locality payment, plus
16 percent for benefits, of employees in the following three
categories, as applicable:
(1) Clerical--Based on GS-6, Step 5, pay (all employees at GS-7 and
below are classified as clerical for this purpose);
(2) Professional--Based on GS-11, Step 7, pay (all employees at GS-
8 through GS-12 are classified as professional for this purpose); and
(3) Managerial--Based on GS-14, Step 2, pay (all employees at GS-13
and above are classified as managerial for this purpose).
(c) You can review the current fee schedule for the categories
discussed in paragraph (b) of this section at https://www.cfa.gov/foia.
(d) Some requests may require retrieval of records stored at a
Federal records center operated by the National Archives and Records
Administration. For these requests, the Agency will charge additional
costs in accordance with the Transactional Billing Rate Schedule
established by the National Archives and Records Administration.
Sec. 2105.40 What duplication fees will you have to pay?
(a) The Agency will charge duplication fees, subject to the
restrictions of Sec. Sec. 2105.35(f), 2105.37, and 2105.38(a).
(b) If photocopies or scans are supplied, the Agency will provide
one copy per request at the cost determined by the table in appendix A
to this part.
(c) For other forms of duplication, the Agency will charge the
actual costs of producing the copy, including the time spent by
personnel duplicating the requested records. For each quarter hour
spent by personnel duplicating the requested records, the fees will be
the same as those charged for a search under Sec. 2105.39(b).
(d) If the Agency must scan paper records to accommodate your
preference to receive records in an electronic format or print
electronic records to accommodate your preference to receive records in
a paper format, you will pay both the per page amount noted in appendix
A to this part and the time spent by personnel scanning or printing the
requested records. For each quarter hour spent by personnel scanning or
printing the requested records, the fees will be the same as those
charged for a search under Sec. 2105.39(b).
Sec. 2105.41 What review fees will you have to pay?
(a) The Agency will charge review fees if you make a commercial-use
request, subject to the restrictions of Sec. Sec. 2105.35(f), 2105.37,
and 2105.38(a).
(b) The Agency will assess review fees in connection with the
initial review of the record (the review conducted by the Agency to
determine whether an exemption applies to a particular record or
portion of a record).
(c) The Agency will not charge for reviews at the administrative
appeal stage of exemptions applied at the initial review stage.
However, if the appellate authority determines that an exemption no
longer applies, any costs associated with the Agency's re-review of the
records to consider the use of other exemptions may be assessed as
review fees.
[[Page 27729]]
(d) The Agency will charge review fees at the same rates as those
charged for a search under Sec. 2105.39(b).
(e) The Agency can charge review fees even if the record(s)
reviewed ultimately is not disclosed.
Sec. 2105.42 What fees for other services will you have to pay?
(a) Although not required to provide special services, if the
Agency chooses to do so as a matter of administrative discretion, it
will charge you the direct costs of providing the service.
(b) Examples of these services include providing multiple copies of
the same record, converting records that are not already maintained in
a requested format to the requested format, obtaining research data
under Sec. 2105.66, sending records by means other than first class
mail, and conducting a search that requires the creation of a new
computer search program to locate the requested records.
(c) The Agency will notify you of these fees before they accrue and
will obtain your written assurance of payment or an advance payment
before proceeding (see Sec. Sec. 2105.47 and 2105.48).
Sec. 2105.43 When will the Agency waive fees?
(a) The Agency will release records responsive to a request without
charge (in other words, it will give you a full fee waiver) or at a
reduced charge (in other words, it will give you a partial fee waiver,
as discussed further in paragraph (b) of this section) if the Agency
determines, based on all available information, that you have
demonstrated (by addressing and meeting each of the criteria listed in
Sec. 2105.46) that disclosing the information is:
(1) In the public interest because it is likely to contribute
significantly to public understanding of Government operations or
activities, and
(2) Not primarily in your commercial interest.
(b) A partial fee waiver may be appropriate if some but not all of
the requested records are likely to contribute significantly to public
understanding of the operations and activities of the Government.
(c) When deciding whether to waive or reduce fees, the Agency will
rely on the fee waiver justification submitted in your request letter.
If the letter does not include sufficient justification, the Agency
will deny the fee waiver request. The Agency may, at its discretion,
request additional information from you (see Sec. 2105.49).
(d) The burden is on you to justify entitlement to a fee waiver.
Requests for fee waivers are decided on a case-by-case basis under the
criteria discussed in paragraph (a) of this section and Sec. 2105.46.
If you have received a fee waiver in the past, that does not mean you
are automatically entitled to a fee waiver for every request submitted.
(e) The Agency must not make value judgments about whether the
information at issue is ``important'' enough to be made public; it is
not the Agency's role to attempt to determine the level of public
interest in requested information.
Sec. 2105.44 When may you ask the Agency for a fee waiver?
(a) You should request a fee waiver when your request is first
submitted to the Agency (see Sec. 2105.5).
(b) You may submit a fee waiver request at a later time if the
Agency has not yet completed processing your request.
Sec. 2105.45 How will the Agency notify you if it denies your fee
waiver request?
If the Agency denies your request for a fee waiver, it will notify
you, in writing, of the following:
(a) The basis for the denial, including a full explanation of why
the fee waiver request does not meet the Agency's fee waiver criteria
in Sec. 2105.46;
(b) The name and title or position of each person responsible for
the denial;
(c) The name and title of legal counsel consulted;
(d) Advisement of the right to seek dispute resolution services
from the Agency's FOIA Public Liaison and the Office of Government
Information Services (OIGS);
(e) Your right to appeal the denial under subpart H of this part
and a description of the requirements set forth therein, within 30
workdays from the date of the fee waiver denial letter; and
(f) Your anticipated fees, in accordance with Sec. 2105.47.
Sec. 2105.46 How will the Agency evaluate your fee waiver request?
(a) In deciding whether your fee waiver request meets the
requirements of Sec. 2105.43(a)(1), the Agency will consider the
criteria listed in paragraphs (a)(1) through (4) of this section.
(1) How the records concern the operations or activities of the
Federal Government.
(2) How disclosure is likely to contribute to public understanding
of those operations or activities, including:
(i) How the contents of the records are meaningfully informative;
(ii) The logical connection between the content of the records and
the operations or activities;
(iii) How disclosure will contribute to the understanding of a
reasonably broad audience of persons interested in the subject, as
opposed to your individual understanding;
(iv) Your identity, vocation, qualifications, and expertise
regarding the requested information and information that explains how
you plan to disclose the information in a manner that will be
informative to the understanding of a reasonably broad audience of
persons interested in the subject, as opposed to your individual
understanding; and
(v) Your ability and intent to disseminate the information to a
reasonably broad audience of persons interested in the subject (for
example, how and to whom do you intend to disseminate the information).
If we have categorized you as a representative of the news media under
Sec. 2105.36, we will presume you have this ability and intent.
(3) How disclosure is likely to significantly contribute to the
understanding of a reasonably broad audience of persons interested in
the subject, as opposed to your individual understanding, including:
(i) Whether the information being requested is new;
(ii) Whether the information would confirm or clarify data that has
been released previously;
(iii) How disclosure will increase the level of public
understanding of the operations or activities of the Agency that
existed prior to disclosure; and
(iv) Whether the information is already publicly available. If the
Government previously has published the information you are seeking or
it is routinely available to the public in a library, reading room,
through the internet, or as part of the administrative record for a
particular issue, it is less likely that there will be a significant
contribution from release.
(4) How the public's understanding of the subject in question will
be enhanced to a significant extent by the disclosure.
(b) In deciding whether the fee waiver meets the requirements in
Sec. 2105.43(a)(2), the Agency will consider any commercial interest
of yours that would be furthered by the requested disclosure.
(1) You are encouraged to provide explanatory information regarding
this consideration.
(2) The Agency will not find that disclosing the requested
information will be primarily in your commercial interest where the
public interest is greater than any identified commercial interest in
disclosure.
[[Page 27730]]
(3) If you do have a commercial interest that would be furthered by
disclosure, explain how the public interest in disclosure would be
greater than any commercial interest you or your organization may have
in the documents.
(i) Your identity, vocation, and intended use of the requested
records are all factors to be considered in determining whether
disclosure would be primarily in your commercial interest.
(ii) If you are a representative of a news media organization
seeking information as part of the news gathering process, we will
presume that the public interest outweighs your commercial interest.
(iii) If you represent a business/corporation/association or you
are an attorney representing such an organization, we will presume that
your commercial interest outweighs the public interest unless you
demonstrate otherwise.
Sec. 2105.47 When will you be notified of anticipated fees?
(a) The Agency will notify you under this section unless:
(1) The anticipated fee is less than $50 (see Sec. 2105.35(g));
(2) You have been granted a full fee waiver; or
(3) You have previously agreed to pay all the fees associated with
the request.
(b) If none of the exceptions in paragraph (a) of this section
apply, the Agency will:
(1) Promptly notify you of the estimated costs for search, review,
and/or duplication;
(2) Ask you to provide written assurance within 20 workdays that
you will pay all fees or fees up to a designated amount;
(3) Notify you that it will not be able to comply with your FOIA
request unless you provide the written assurance requested; and
(4) Give you an opportunity to reduce the fee by modifying the
request.
(c) If the Agency does not receive your written response containing
the additional information that resolves any fee issues, in accordance
with paragraphs (b)(2) and/or (4) of this section, within 20 workdays
after the Agency has requested it, the Agency will presume that you are
no longer interested in the records and will close the file on the
request.
(d) After the Agency begins processing a request, if it finds that
the actual cost will exceed the amount you previously agreed to pay,
the Agency will:
(1) Stop processing the request;
(2) Promptly notify you of the higher amount and ask you to provide
written assurance of payment; and
(3) Notify you that it will not be able to fully comply with your
FOIA request unless you provide the written assurance requested; and
(4) Give you an opportunity to reduce the fee by modifying the
request.
(e) If you wish to modify your request in an effort to reduce fees,
the Agency's FOIA Officer or Public Liaison can assist you.
Sec. 2105.48 When will the Agency require advance payment?
(a) The Agency may require advance payment before starting further
work when it finds the estimated fee is over $250.
(1) When the Agency determines or estimates that a total fee to be
charged under this section will exceed $250.00, it may require that you
make an advance payment up to the amount of the entire anticipated fee
before beginning to process the request. The Agency may elect to
process the request prior to collecting fees when it receives a
satisfactory assurance of full payment from a requester with a history
of prompt payment.
(2) If you have previously failed to pay a properly charged FOIA
fee within 30 calendar days of the billing date, the Agency may require
that you pay the full amount due, plus any applicable interest on that
prior request. The Agency may require that you make an advance payment
of the full amount of any anticipated fee before it begins to process a
new request or continues to process a pending request or any pending
appeal.
(b) If the Agency believes that you did not pay a previous FOIA fee
within 30 calendar days of the date of billing, the Agency will require
you to either:
(1) Demonstrate you paid prior fee within 30 calendar days of the
date of billing; or
(2) Pay any unpaid amount of the previous fee, plus any applicable
interest penalties (see Sec. 2105.51), and pay in advance the
estimated fee for the new request.
(c) When the Agency notifies you that an advance payment is due
under paragraph (a) of this section, it will give you an opportunity to
reduce the fee by modifying the request.
(d) Your payment of the funds you owe the Agency for work it has
already completed before records are sent to you is not an advance
payment under paragraph (a) of this section.
(e) If the Agency requires advance payment, it will start further
work only after receiving the advance payment. It will also notify you
that it will not be able to comply with your FOIA request unless you
provide the advance payment. Unless you pay the advance payment within
20 workdays after the date of the Agency's fee letter, the Agency will
presume that you are no longer interested and will close the file on
the request.
Sec. 2105.49 What if the Agency needs clarification about fee
issues?
If your FOIA request does not contain sufficient information for
the Agency to determine your proper fee category or leaves another fee
issue unclear, the Agency may ask you to provide additional
clarification. If it does so, the Agency will notify you that it will
not be able to comply with your FOIA request unless you provide the
clarification requested.
Sec. 2105.50 How will you be billed?
If you are required to pay a fee associated with a FOIA request,
the Agency will send a bill for collection.
Sec. 2105.51 How will the Agency collect fees owed?
(a) The Agency may charge interest on any unpaid bill starting on
the 31st day following the billing date.
(b) The Agency will assess interest charges at the rate provided in
31 U.S.C. 3717 and interest will accrue from the billing date until the
Agency receives payment.
(c) The Agency will follow the provisions of the Debt Collection
Act of 1982 (Pub. L. 97-365, 96 Stat. 1749), as amended, and its
administrative procedures, including the use of consumer reporting
agencies, collection agencies, and offset to collect overdue amounts
and interest.
(d) This section does not apply if you are a state, local, or
tribal government.
Sec. 2105.52 When will the Agency combine or aggregate requests?
(a) The Agency may aggregate requests and charge accordingly when
it reasonably believes that you, or a group of requesters acting in
concert with you, are attempting to avoid fees by dividing a single
request into a series of requests on a single subject or related
subjects.
(1) The Agency may presume that multiple requests of this type made
within a 30-day period have been made to avoid fees.
(2) The Agency may aggregate requests separated by a longer period
only where there is a reasonable basis for determining that aggregation
is warranted in view of all the circumstances involved.
[[Page 27731]]
(b) The Agency will not aggregate multiple requests involving
unrelated matters.
Sec. 2105.53 What if other statutes require the Agency to charge
fees?
(a) The fee schedule in appendix A to this part does not apply to
fees charged under any statute that specifically requires the Agency to
set and collect fees for particular types of records.
(b) If records otherwise responsive to a request are subject to a
statutorily-based fee schedule, the Agency will inform you whom to
contact to obtain the records.
Subpart H--Administrative Appeals
Sec. 2105.54 When may you file an appeal?
(a) You may file an appeal when:
(1) The Agency withholds records, or parts of records;
(2) The Agency informs you that your request has not adequately
described the records sought;
(3) The Agency informs you that it does not possess or cannot
locate responsive records and you have reason to believe this is
incorrect or that the search was inadequate;
(4) The Agency did not address all aspects of the request for
records;
(5) You believe there is a procedural deficiency (for example, fees
are improperly calculated or you have been placed in the wrong fee
category);
(6) The Agency denied your request for a fee waiver;
(7) The Agency did not make a decision within the time limits in
Sec. 2105.15 or, if applicable, Sec. 2105.16; or
(8) The Agency denied, or was late in responding to, a request for
expedited processing filed under the procedures in Sec. 2105.18.
(b) An appeal under paragraph (a)(8) of this section relates only
to the request for expedited processing and does not constitute an
appeal of the underlying request for records. Special procedures apply
to requests for expedited processing of an appeal (see Sec. 2105.60).
(c) Before filing an appeal, you may wish to communicate with the
contact person listed in the FOIA response, the Agency's FOIA Officer,
and/or the FOIA Public Liaison to see if the issue can be resolved
informally. However, appeals must be received by the FOIA Appeals
Officer within the time limits in Sec. 2105.55 or they will not be
processed.
Sec. 2105.55 How long do you have to file an appeal?
(a) Appeals covered by Sec. 2105.54(a)(1) through (5) must be
received by the FOIA Appeals Officer no later than 90 days from the
date of the final response.
(b) Appeals covered by Sec. 2105.54(a)(6) must be received by the
FOIA Appeals Officer no later than 90 days from the date of the letter
denying the fee waiver.
(c) Appeals covered by Sec. 2105.54(a)(7) may be filed any time
after the time limit for responding to the request has passed.
(d) Appeals covered by Sec. 2105.54(a)(8) should be filed as soon
as possible.
(e) Appeals arriving or delivered after 5 p.m. Eastern Time, Monday
through Friday, will be deemed received on the next workday.
Sec. 2105.56 How do you file an appeal?
(a) You must submit the appeal in writing by mail, fax or email to
the FOIA Appeals Officer (using the address available at https://www.cfa.gov/foia/). Your failure to send an appeal directly to the FOIA
Appeals Officer may delay processing.
(b) The appeal must include:
(1) Copies of all correspondence between you and the Agency
concerning the FOIA request, including the request and the Agency's
response (if there is one); and
(2) An explanation of why you believe the Agency's response was in
error.
(c) The appeal should include your name, mailing address, daytime
telephone number (or the name and telephone number of an appropriate
contact), email address, and fax number (if available) in case the
Agency needs additional information or clarification.
(d) An appeal concerning a denial of expedited processing or a fee
waiver denial should also demonstrate fully how the criteria in Sec.
2105.18 or Sec. Sec. 2105.43 and 2105.46 are met.
(e) All communications concerning an appeal should be clearly
marked with the words: ``FREEDOM OF INFORMATION APPEAL.''
(f) The Agency will reject an appeal that does not attach all
correspondence required by paragraph (b)(1) of this section, unless the
FOIA Appeals Officer determines, in his or her sole discretion, that
good cause exists to accept the defective appeal. The time limits for
responding to an appeal will not begin to run until the correspondence
is received.
Sec. 2105.57 Who makes decisions on appeals?
(a) The FOIA Appeals Officer is the deciding official for FOIA
appeals.
(b) When necessary, the appropriate deciding official for FOIA
appeals will consult other appropriate offices, including legal
counsel, for denials of records and fee waivers.
(c) The deciding official for FOIA appeals normally will not make a
decision on an appeal if the request becomes a matter of FOIA
litigation.
Sec. 2105.58 How are decisions on appeals issued?
(a) A decision on an appeal must be made in writing.
(b) A decision that upholds the Agency's determination in whole or
in part must contain a statement that identifies the reasons for the
affirmance, including any FOIA exemptions applied. The decision must
provide you with notification of the statutory right to file a lawsuit
and will inform you of the dispute resolution services offered by the
Office of Government Information Services (OGIS) of the National
Archives and Records Administration as a non-exclusive alternative to
litigation. If the Agency's decision is remanded or modified on appeal,
the Agency will notify you of that determination in writing. The Agency
will then further process the request in accordance with that appeal
determination and will respond directly to you.
(c) Dispute resolution is a voluntary process. If the Agency agrees
to participate in the dispute resolution services provided by OGIS, it
will actively engage as a partner to the process in an attempt to
resolve the dispute.
Sec. 2105.59 When can you expect a decision on your appeal?
(a) The basic time limit for responding to an appeal is 20 workdays
after receipt of an appeal meeting the requirements of Sec. 2105.56.
(b) If the Agency is unable to reach a decision on your appeal
within the given time limit for response, the appropriate deciding
official for FOIA appeals will notify you of your statutory right to
seek review in a United States District Court.
Sec. 2105.60 Can you receive expedited processing of appeals?
(a) To receive expedited processing of an appeal, you must
demonstrate to the Agency's satisfaction that the appeal meets one of
the criteria under Sec. 2105.18 and include a statement that the need
for expedited processing is true and correct to the best of your
knowledge and belief.
(b) The appropriate deciding official for FOIA appeals will advise
you whether the Agency will grant expedited processing within 10
calendar days of receiving the appeal.
(c) If the appropriate deciding official for FOIA appeals decides
to grant expedited processing, he or she will give the appeal priority
over other pending appeals and process it as soon as practicable.
[[Page 27732]]
Sec. 2105.61 Must you submit an appeal before seeking judicial
review?
Before seeking review by a court of the Agency's adverse
determination, you generally must first submit a timely administrative
appeal.
Subpart I--General Information
Sec. 2105.62 Where are records made available?
Records that are required by the FOIA to be made proactively
available for public inspection and copying are accessible on the
Agency's website. They may also be available at the Agency's office
location.
Sec. 2105.63 What are public liaisons?
(a) The Agency has a FOIA Officer or Public Liaison who can assist
requesters who have concerns about the service they received when
seeking records or who are seeking assistance under Sec. 2105.3 or
Sec. 2105.35(i).
(b) FOIA Public Liaisons report to the Agency's Chief FOIA Officer
and you can raise concerns to them about the service you have received.
(c) FOIA Public Liaisons are responsible for assisting in reducing
delays, increasing transparency and understanding of the status of
requests, and assisting in resolving disputes.
(d) A list of the Agency's FOIA Public Liaisons is available at
https://www.cfa.gov/foia.
Sec. 2105.64 When will the Agency make records available without a
FOIA request?
(a) Each Agency must:
(1) Determine which of its records must be made publicly available
under the FOIA (for example, certain frequently requested records);
(2) Identify additional records of interest to the public that are
appropriate for public disclosure; and
(3) Post those records in FOIA libraries.
(b) Because of these proactive disclosures, you are encouraged to
review the Agency's FOIA libraries before filing a FOIA request. The
material you seek may be immediately available electronically at no
cost.
Sec. 2105.65 How will FOIA materials be preserved?
(a) Each Agency must preserve all correspondence pertaining to the
requests that it receives under subpart B of this part, as well as
copies of all requested records, until disposition or destruction is
authorized by the General Records Schedule 4.2 of the National Archives
and Records Administration (NARA) or another NARA-approved records
schedule.
(b) Materials that are identified as responsive to a FOIA request
will not be disposed of or destroyed while the request or a related
appeal or lawsuit is pending. This is true even if they would otherwise
be authorized for disposition or destruction under the General Records
Schedule 4.2 of NARA or another NARA-approved records schedule.
Sec. 2105.66 How will an Agency handle a request for federally-
funded research data?
(a) If you request research data that were used by the Federal
Government in developing certain kinds of agency actions, and the
research data relate to published research findings produced under an
award, in accordance with OMB Circular A-110:
(1) If the Agency was the awarding agency, it will request the
research data from the recipient;
(2) The recipient must provide the research data within a
reasonable time; and
(3) The Agency will review the research data to see if it can be
released under the FOIA.
(b) If the Agency obtains the research data solely in response to
your FOIA request, the Agency may charge you a reasonable fee equaling
the full incremental cost of obtaining the research data.
(1) This fee should reflect costs incurred by the Agency, the
recipient, and applicable subrecipients.
(2) This fee is in addition to any fees the Agency may assess under
the FOIA.
(c) The Agency will forward a copy of the request to the recipient,
who is responsible for searching for and reviewing the requested
information in accordance with these FOIA regulations. The recipient
will forward a copy of any responsive records that are located, along
with any recommendations concerning the releasability of the data, and
the total cost incurred in searching for, reviewing, and providing the
data.
(d) The Agency will review and consider the recommendations of the
recipient regarding the releasability of the requested research data.
However, the Agency, not the recipient, is responsible for deciding
whether the research data will be released or withheld.
Sec. 2105.67 What definitions apply to this part?
For the purposes of this part, the following definitions apply:
Agency means the Commission of Fine Arts.
Commercial interest means a commercial, trade, or profit interest
as these terms are commonly understood. Your status as profitmaking or
non-profitmaking is not the deciding factor in determining whether you
have a commercial interest.
Commercial use means a use that furthers your commercial, trade or
profit interests or that of the person on whose behalf the request is
made.
Confidential information means trade secrets or commercial or
financial information (that is privileged or confidential and obtained
by the Agency from a person) that may be protected from disclosure
under Exemption 4 of the FOIA.
Direct costs means those resources that the Agency expends in
searching for and duplicating (and, in the case of commercial-use
requests, reviewing) records to respond to a FOIA request. For example,
direct costs include the salary of the employee performing the work
(the basic rate of pay for the employee plus 16 percent of that rate to
cover benefits) and the cost of operating duplicating machinery, such
as photocopiers and scanners. Direct costs do not include overhead
expenses such as the costs of space and of heating or lighting a
facility.
Duplication means reproducing a copy of a record or of the
information contained in it necessary to respond to a FOIA request.
Copies can take the form of paper, audiovisual materials, or electronic
records, among others.
Educational institution means any school that operates a program of
scholarly research. In order to fall within this category, you must
show that the request is authorized by and made under the auspices of,
a qualifying institution and that the records are not sought for a
commercial use, but rather are sought to further scholarly research.
Exceptional circumstances means a delay that does not result from a
predictable workload of requests (unless the Agency demonstrates
reasonable progress in reducing its backlog of pending requests).
Exempt means the record in question, or a portion thereof, is not
subject to disclosure due to one or more of the FOIA's nine statutory
exemptions, found at 5 U.S.C. 552(b)(1)-(9).
Exemption means one or more of the FOIA's nine statutory
exemptions, found at 5 U.S.C. 552(b)(1)-(9).
Expedited processing means giving a FOIA request priority and
processing it ahead of other requests pending in the Agency because you
have shown a compelling need for the records.
Fee category means one of the three categories, discussed in
Sec. Sec. 2105.36 and 2105.37, that agencies place you in for the
purpose of determining whether you will be charged fees for search,
review, and duplication.
[[Page 27733]]
FOIA means the Freedom of Information Act, 5 U.S.C. 552, as
amended.
FOIA libraries means a physical or electronic compilation of
records required to be made available to the public for inspection and
copying under 5 U.S.C. 552(a)(2). It also includes a physical or
electronic compilation of records that the Agency, at its discretion,
makes available to the public for inspection and copying.
Frequently requested records means records that have been released
to any person in response to a FOIA request and that have been
requested, or that the Agency anticipates will be requested, at least
two more times under the FOIA.
Multitrack processing means placing simple requests, requiring
relatively minimal review, in one processing track and more voluminous
and complex requests in one or more other tracks. Requests in each
track are ordinarily processed on a first-in/first-out basis.
Noncommercial scientific institution means an institution that is
not operated for commerce, trade or profit, and that is operated solely
for the purpose of conducting scientific research the results of which
are not intended to promote any particular product or industry. To be
in this category, you must show that the request is authorized by and
is made under the auspices of a qualifying institution and that the
records are not sought for a commercial use but are sought to further
scientific research.
OMB Fee Guidelines means the Uniform Freedom of Information Fee
Schedule and Guidelines published by the Office of Management and
Budget on March 27, 1987.
Published means, for the purposes of Sec. 2105.66 only, when:
(1) Research findings are published in a peer-reviewed scientific
or technical journal; or
(2) A Federal agency publicly and officially cites the research
findings in support of an agency action that has the force and effect
of law.
Recipient means, for the purposes of Sec. 2105.66 only, an
organization receiving financial assistance directly from Federal
awarding agencies to carry out a project or program. The term includes
public and private institutions of higher education, public and private
hospitals, and other quasi-public and private non-profit organizations.
The term may include commercial organizations, foreign or international
organizations (such as agencies of the United Nations) which are
recipients, subrecipients, or contractors or subcontractors of
recipients or subrecipients at the discretion of the Federal awarding
agency. The term does not include Government-owned contractor-operated
facilities or research centers providing continued support for mission-
oriented, large-scale programs that are Government-owned or controlled,
or are designated as federally-funded research and development centers.
Record means an agency record that is either created or obtained by
an agency and is under agency possession and control at the time of the
FOIA request, or is maintained by an entity under Government contract
for the purposes of records management.
Representative of the news media means any person or entity that
gathers information of potential interest to a segment of the public,
uses its editorial skills to turn the raw materials into a distinct
work, and distributes that work to an audience. The term news as used
in this definition means information that is about current events or
that would be of current interest to the public. Examples of news media
entities are newspapers, television, websites, or radio stations
broadcasting to the public at large, and publishers of periodicals (but
only if such entities qualify as disseminators of news) who make their
products available for purchase by or subscription by or free
distribution to the general public. These examples are not all
inclusive. As methods of news delivery evolve, alternative
representatives of news media may come into being. A freelance
journalist will qualify as a news-media entity if he or she can
demonstrate a solid basis for expecting publication through that
entity, whether or not the journalist is actually employed by that
entity (for example, a publication contract would present a solid basis
for such an expectation).
Research data means, for the purposes of Sec. 2105.66 only, the
recorded factual material commonly accepted in the historic and/or
architectural communities as necessary to validate research findings,
but not any of the following: Preliminary analyses, drafts of
scientific papers, plans for future research, peer reviews, or
communications with colleagues. The term recorded as used in this
definition excludes physical objects (e.g., laboratory samples).
Research data also do not include:
(1) Trade secrets, commercial information, materials necessary to
be held confidential by a researcher until they are published, or
similar information which is protected under law; and
(2) Personnel and medical information and similar information the
disclosure of which would constitute a clearly unwarranted invasion of
personal privacy, such as information that could be used to identify a
particular person in a research study.
Review means the examination of a record located in response to a
request to determine whether any portion of it is exempt from
disclosure. Review time includes processing any record for disclosure,
such as doing all that is necessary to prepare the record for
disclosure, including the process of redacting the record and marking
the appropriate exemptions. Review time also includes time spent both
obtaining and considering any formal objection to disclosure made by a
confidential information submitter under subpart G of this part, but it
excludes time spent resolving general legal or policy issues regarding
the application of FOIA exemptions.
Search means the process of looking for and retrieving records
responsive to a request. Search time includes page-by-page or line-by-
line identification of information within records; and the reasonable
efforts expended to locate and retrieve electronic records.
Submitter means any person or entity outside the Federal Government
from whom the Agency obtains confidential information, directly or
indirectly. The term includes, but is not limited to individuals,
corporations, and state, local, tribal, and foreign governments.
Unusual circumstances means the need to search for and collect
requested records from field facilities or other establishments that
are separate from the office processing the request; the need to search
for, collect, and examine a voluminous amount of separate and distinct
records which are demanded in a single request; or the need for
consultation, which shall be conducted with all practicable speed, with
another agency, or among two or more components of the Agency, having a
substantial interest in the determination of the request.
Workday means a regular Federal workday. It excludes Saturdays,
Sundays, or Federal legal public holidays. Items arriving or delivered
after 5 p.m. Eastern Time will be deemed received on the next workday.
You means a person requesting records, or filing an appeal, under
the FOIA.
[[Page 27734]]
Appendix A to Part 2105--Fee Schedule
------------------------------------------------------------------------
Types of records Fee
------------------------------------------------------------------------
(1) Physical records:
Pages no larger than 8.5 x 14 inches, $.15 per page ($.30 for
when reproduced by standard office double-sided copying).
copying machines or scanned into an
electronic format.
Color copies of pages no larger than $.90 per page.
8.5 x 11 inches.
Pages larger than 8.5 x 14 inches...... Direct cost to CFA.
Color copies of pages no larger than 11 $1.50 per page.
x 17 inches.
Photographs and records requiring Direct cost to CFA.
special handling (for example, because
of age, size, or format).
(2) Electronic records:
Charges for services related to Direct cost to CFA.
processing requests for electronic
records.
(3) Certification:
Each certificate of verification $.25.
attached to authenticate copies of
records.
(4) Postage:
Charges that exceed the cost of first Postage or delivery charge.
class postage, such as express mail or
overnight delivery.
(5) Other Services:
Cost of special services or materials, Direct cost to CFA.
other than those provided for by this
fee schedule, when requester is
notified of such costs in advance and
agrees to pay them.
------------------------------------------------------------------------
Dated: May 31, 2019.
Thomas Luebke,
Secretary.
[FR Doc. 2019-11775 Filed 6-13-19; 8:45 am]
BILLING CODE P