« PreviousContinue »
conducted in the most efficient and personal privacy. In such cases the least expensive manner. Searches may record shall have attached to it a full be done manually or by computer using explanation of the deletion. existing programming.
Working days means all days except $1102.5 Availability of records on reSaturdays, Sundays, and legal public quest. holidays.
(a) In addition to the records made
available through the public reading $1102.3 Policy.
room, the Corporation will make The Corporation will make records records available to any person in acconcerning its operations, activities, cordance with paragraphs (b) and (c) of and business available to the public this section, unless it is determined upon request. Records will be withheld that such records are exempt from from the public only in accordance mandatory disclosure under the FOIA with the FOIA and this part. Records and 81102.6 of this part and that such that may be exempt from disclosure records should be withheld by the Cormay be made available as a matter of poration. discretion when disclosure is not pro (b) Requests. (1) A request will be achibited by law, and it does not appear ceptable if it identifies a record with adverse to legitimate interests of the sufficient particularity to enable offipublic, the Corporation, or any person cials of the Corporation to locate the The Corporation will attempt to pro- record with a reasonable amount of efvide assistance to requesting parties, fort. Requests seeking records within a including information about how a re reasonably specific category will be quest may be submitted. The Corpora deemed to conform to the statutory retion will act on requests for records in quirement of a request which “reasona timely manner.
ably describes" such records if profes
sional employees of the Corporation $1102.4 Public reading room.
who are familiar with the subject area (a) The Corporation will maintain in of the request would be able, with a & public reading room at its head- reasonable amount of effort, to deterquarters the materials which are re- mine which particular records are enquired by 5 U.S.C. 552(a)(2) and (5) to be compassed within the scope of the remade available for public inspection quest, and to search for, locate, and and copying, unless it is determined collect the records without unduly burthat such records should be withheld dening or materially interfering with and are exempt from mandatory disclo- operations because of the staff time sure under the FOIA and $1102.6 of this consumed or the resulting disruption of part.
files. If it is determined that a request (b) The public reading room will does not reasonably describe the maintain and make available for public records sought as specified in this parainspection and copying current indices graph, the response denying the reof the materials which are required to quest on that ground shall specify the be indexed by 5 U.S.C. 552(a)(2) or other reasons why the request failed to meet applicable statutes. Because publica- the requirements of this paragraph and tion of such indices is unnecessary and shall extend to the requester an opporimpracticable and because current ver- tunity to confer with Corporation persions thereof will be available for in- sonnel in order to attempt to reformuspection at the Corporation's public late the request in a manner that will reading room, it is determined and so meet the needs of the requester and the ordered that the Corporation will not requirements of this paragraph. publish the indices in the Federal Reg- (2) To facilitate the location of ister.
records by the Corporation, a requester (c) Certain records maintained in the should try to provide the following public reading room or otherwise made kinds of information, if known: (1) the available pursuant to this part may be specific event or action to which the "edited" by the deletion of identifying record refers; (ii) the unit or program details concerning individuals, to pre- of the Corporation which may be revent a clearly unwarranted invasion of sponsible for or may have produced the
record; (111) the date of the record or determination to the requester within the date or period to which it refers or 10 working days after receipt of such relates; (iv) the type of record such as request, except for unusual ciran application, a grant, a contract, or cumstances in which case the time a report; (v) personnel of the Corpora limit may be extended for not more tion who may have prepared or have than 10 working days by written notice knowledge of the record; and (vi) cita to the requester setting forth the reations to newspapers or publications sons for such extension and the date on which have referred to the record.
which a determination is expected to (3) The Corporation is not required to be dispatched. In determining whether create a record or to seek to acquire a to issue a notice of extension of time record from its contractors in order to for a response to a request beyond the satisfy a request.
10-day period, the Freedom of Informa(4) All requests for records under this tion Onicer shall consult with the Ofsection shall be made in writing, with fice of the General Counsel. As used the envelope and the letter clearly herein, "unusual circumstances" are marked: “Freedom of Information Re- limited to the following, but only to quest." All such requests shall be ad
the extent reasonably necessary to the dressed to the Freedom of Information
proper processing of the particular reOfficer, 2 Democracy Center, 6903
quest: Rockledge Drive, Bethesda, MD 20817.
(1) The need to search for and collect Any request not marked and addressed
the requested records from the Coras specified in this paragraph will be so
poration's field offices; marked by Corporation personnel as
(2) The need to search for, collect, soon as it is properly identified, and
and appropriately examine a volumiforwarded immediately to the Freedom
nous amount of separate and distinct of Information Officer. A request im
records which are demanded in a single properly addressed will not be deemed to have been received for purposes of
request; or the time period set forth in paragraph
(3) The need for consultation, which
shall be conducted with all practicable (c) of this section until forwarding to the appropriate office has been ef
speed, including consultation with anfected. On receipt of an improperly ad
other agency having a substantial indressed request, the Freedom of Infor
terest in the determination of the remation Officer shall notify the re
quest or among components of the Corquester of the date on which the time
poration having substantial subject period commenced to run.
matter interest therein. (5) A person desiring to secure copies
(d) If no determination has been disof records by mail should write to the
patched at the end of the 10-day period, Freedom of Information Officer. 2 De or the last extension thereof, the remocracy Center, 6903 Rockledge Drive, quester may deem the request denied, Bethesda, Maryland 20817. The request
and exercise a right of appeal in acmust identify the records of which cop
cordance with $1102.9. When no deterles are sought in accordance with the mination can be dispatched within the requirements of this section, and the applicable time limit, the Freedom of number of copies desired. Fees may be Information Officer shall nevertheless required to be paid in advance in ac continue to process the request. On excordance with $1102.10. The requester piration of the time limit, the Freedom will be advised of the estimated fee, if of Information Officer shall inform the any, as promptly as possible. If a waiv requester of the reason for the delay, of er or reduction of fees is requested, the the date on which a determination may grounds for such request should be in- be expected to be dispatched, and of the cluded in the letter.
right to treat the delay as a denial and (c) The Freedom of Information Offi to appeal to the Corporation's Chief cer, upon receipt of a request for any Executive Officer (“CEO") in accordrecords made in accordance with this ance with $1102.9. The Freedom of Insection, shall make an initial deter- formation Officer may ask the remination of whether to comply with or quester to forego appeal until a deterdeny such request and dispatch such mination is made.
(e) After it has been determined to comply with a request, the Corporation will act with diligence in providing a substantive response to the requester.
$ 1102.6 Exemptions.
(a) 5 U.S.C. 552 exempts from all of its publication and disclosure requirements matters falling within nine categories, which are described in paragraph (b) of that section.
(b) Specifically, the exemptions of 5 U.S.C. 552(b) will be applied to matters that are:
(1)(i) Specifically authorized under criteria established by an Executive Order to be kept secret in the interest of national defense or foreign policy and (ii) are in fact properly classified pursuant to such Executive Order;
(2) Related solely to the internal personnel rules and practices of an agency;
(3) Specifically exempted from disclosure by statute (other than 5 U.S.C. 552b), provided that such statute (i) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (ii) establishes particular criteria for withholding or refers to particular types of matters to be withheld, including sections 148 and 1314 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2168, 22976-13), the latter of which authorizes the Corporation to "protect trade secrets and commercial or financial information to the same extent as a privately owned corporation";
(4) Trade secrets and commercial or financial information obtained from a person and privileged or confidential;
(5) Inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the Corporation;
(6) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;
(7) Investigatory records compiled for law enforcement purposes, but only to the extent that the production of such records could reasonably be expected to (1) interfere with enforcement proceed ings, (ii) deprive a person of a right to a fair trial or an impartial adjudica tion, (iii) constitute an unwarranted
invasion of personal privacy, (iv) disclose the identity of a confidential source and, in the case of a record compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, confidential information furnished only by the confidential source, (v) disclose investigative techniques and procedures or guidelines for law enforcement investigations or prosecutions if such disclosure would risk circumvention of the law, or (vi) endanger the life or physical safety of law enforcement personnel;
(8) Contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or
(9) Geological and geophysical information and data, including maps, concerning wells.
(c) In the event that one or more of the exemptions in paragraph (b) applies, any reasonably segregable portion of a record shall be provided to the requester after deletion of the portions that are exempt. In appropriate circumstances, subject to the discretion of Corporation officials, it may be possible to provide a requester with:
(1) A summary of information in the exempt portion of a record; or
(2) An oral description of the exempt portion of a record.
(d) In determining whether any of the foregoing techniques, cited in paragraphs (c)(1) and (c)(2), should be
employed or whether an exemption should be waived in accordance with paragraph (e) of this section, Corporation officials shall consult with the Office of General Counsel. No requester shall have a right to insist that any or all of the foregoing techniques should be employed in order to satisfy a request.
(e) Records that may be exempted from disclosure pursuant to paragraph (b) of this section may be made available as a matter of discretion when disclosure is not prohibited by law, if it does not appear adverse to legitimate interests of the Corporation, the public, or any person.
8 1102.7 Officials authorized to grant quarters. The envelope and letter or deny requests for records.
should be clearly marked: “Freedom of The General Counsel shall furnish Information Appeal." An appeal need necessary advice to Corporation offi not be in any particular form, but cials and staff as to their obligations
should adequately identify the denial, under this part and shall take such if possible, by describing the requested other actions as may be necessary or
record, identifying the official who isappropriate to assure a consistent and sued the denial, and providing the date equitable application of the provisions on which the denial was issued. of this part by and within the Corpora- (b) No personal appearance, oral artion. The Freedom of Information Offi gument, or hearing will ordinarily be cer, with concurrence from the appro
permitted on appeal of a denial. Upon priate program officials of the Corpora request and a showing of special cirtion, is authorized to grant or deny re
cumstances, however, this limitation quests under this part. The Freedom of may be waived and an informal conInformation Officer shall consult with ference may be arranged with the Corthe General Counsel before denying re poration CEO, or the CEO's designated quests under this part, or before grant representative, for this purpose. ing requests for waiver or modified ap (c) The appeal decision of the CEO, or plication of an exemption or for cat the CEO's designated representative, egories of records which the General shall be in writing and, in the event Counsel determines may present spe
the denial is in whole or in part upheld, cial or unusual problems.
shall contain an explanation responsive
to the arguments advanced by the re81102.8 Denials.
quester, the matters described in (a) A denial of a written request for a
$1102.8(a) (1) through (4), and the provirecord that complies with the require- sions for judicial review of such deciments of $1102.5 shall be in writing and sion under section 552(a)(4) of the shall include the following:
FOIA. The appeal decision shall be dis(1) A reference to the applicable ex- patched to the requester within twenty emption or exemptions in 81102.6(b) working days after receipt of the apupon which the denial is based;
peal, unless an additional period is jus(2) An explanation of how the exemp. tified pursuant to $1102.5(c). The appeal tion applies to the requested records; decision shall constitute the final ac
(3) A statement explaining whether tion of the Corporation. All such decithere is any segregable nonexempt ma- sions shall be treated as final opinions terial of the record after deleting the under 5 U.S.C. 552(a)(2). exempt portions; (4) The name and title of the person
81102.10 Fees. or persons responsible for denying the (a) Records provided routinely in the request; and
normal course of doing business will be (5) An explanation of the right to approvided at no charge. peal the denial and of the procedures (b) Fees shall be limited to reasonfor submitting an appeal, including the able standard charges for document address of the official to whom appeals search, duplication, and review, when should be submitted.
records are for a commercial use re(6) Whenever the Corporation makes quest; a record available subject to the dele- (c) Fees shall be limited to reasontion of a portion of the record, such ac- able standard charges for duplication tion shall be deemed a denial of a when records are not sought through a record for purposes of paragraph (a) of commercial use request and the rethis section.
quest is made by an educational insti$1102.9 Appeals of denials.
tution or non-commercial scientific in
stitution, whose purpose is scholarly or (a) Any person whose written request scientific research, or a representative has been denied is entitled to appeal of the news media; and the denial within thirty calendar days (d) For any request not described in of issuance thereof by writing to the paragraph (b) or (c) of this section, fees CEO of the Corporation at its head- shall be limited to reasonable standard
charges for search, review and duplica- concerns “the operations or activities tion.
of the government”; (e) The schedule of charges for serv (ii) The informative value of the ices regarding the production or disclo- record to be disclosed: Whether the dissure of the Corporation's records is as closure is "likely to contribute" to an follows:
understanding of government oper(1) Whenever feasible, for manual ations or activities; searches and reviews: The basic rate(s) (iii) The contribution to an underof pay of the employee(s) making the standing of the subject by the general search and review plus 16 percent of the public likely to result from disclosure: rate(s) to cover benefits.
Whether disclosure of the requested (2) Computer time: Because of the di record will contribute to "public unversity in the types of configurations
derstanding”; and of computers which may be required in
(iv) The significance of the contriburesponding to requests for records
tion to public understanding: Whether maintained in whole or part in comput
the disclosure is likely to contribute erized form, it is not feasible to estab
"significantly" to public understandlish a uniform schedule of fees for
ing of government operations or activisearch and printout of such records.
ties. The charge for personnel time shall be
(2) In order to determine whether disthe basic rate(s) of pay of the
closure of a record "is not primarily in employee(s) involved plus 16 percent of
the commercial interest of the rethe rate(s) to cover benefits. The quester,” the Corporation will consider
rge for the computer time involved the following two factors: and for any special supplies or mate
(i) The existence and magnitude of a rials used shall not exceed the direct
commercial interest: Whether the recost to the Corporation.
quester has a commercial interest that (3) Duplication of records: A per-page
would be furthered by the requested charge for paper copy reproduction of
disclosure; and, if so, documents. At present, the charge is
(ii) The primary interest in disclo$0.10 per page.
sure: Whether the magnitude of the (4) Duplication of microform: Actual
identified commercial interest of the charges as incurred.
requester is sufficiently large, in com(5) Certification of true copies: $1.00
parison with the public interest in dis
closure, that disclosure is “primarily each,
in the commercial interest of the re(6) Packing and mailing records: AC
quester." tual charges as incurred.
(3) A denial of a request for a waiver (7) Special delivery or express mail: or reduction of fees will be subject to Actual charges as incurred.
appeal in the same manner as appeals (1) A record shall be furnished with from denial of a request for informaout any charge or at a charge reduced tion under $1102.9. below the fees established under para (8) No fee will be charged under this graph (e) of this section if disclosure of sectionthe record is in the public interest be (1) If the costs of routine collection cause it is likely to contribute signifi- and processing of the fee are likely to cantly to public understanding of the equal or exceed the amount of the fee; operations or activities of the govern
or ment and is not primarily in the com (2) For any request described in paramercial interest of the requester.
graph (b), (c), or (d) of this section for (1) In order to determine whether dis- the first two hours of search time and closure of the record “is in the public for the first one hundred pages of dupliinterest because it is likely to contrib cation. ute significantly to public understand- (h) No requester will be required to ing of the operations or activities of make an advance payment of any fee the government,” the Corporation will unless the requester has previously consider the following four criteria: failed to pay fees in a timely fashion or
(1) The subject of the request: Wheth the Corporation has determined that er the subject of the requested records the fee will exceed $250.