Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes, 41432-41436 [2015-17179]

Download as PDF 41432 Federal Register / Vol. 80, No. 135 / Wednesday, July 15, 2015 / Rules and Regulations limited to commercial or for-profit organizations. For example, the term ‘‘any other organized group of persons’’ may encompass labor unions, academic institutions, charitable organizations or any group of persons who are organized in some manner. The term corporation is not limited to publicly traded corporations or corporations that exist for the purpose of making a profit. Survey. A questionnaire or other request for information that collects detailed information and data to support both the assessment of a particular industrial sector or technology and the development of a corresponding study. mstockstill on DSK4VPTVN1PROD with RULES Supplement No. 1 to Part 702—General Survey Information This supplement provides general information about surveys and the content of the typical survey. The content of this supplement is purely an example of a typical survey, and in no way limits the content that may appear in a specific Bureau of Industry and Security (BIS)-issued survey. Procedures and content vary from survey to survey, and as such, there is no set template to follow. Nonetheless, BIS is offering this information as a basic guide to some elements of a survey. Survey Structure Most surveys include the following sections: Cover Page; Table of Contents; General Instructions; Glossary of Terms; Organizational Information, and sectorspecific sections. —The cover page typically includes the title of the survey, its scope, an explanation of the legal requirement to comply, the burden estimate for compliance with the survey, the Office of Management and Budget (OMB) control number, and the survey date of expiration. —The General Instructions section normally includes process steps necessary for a person’s survey submittal. These include but are not limited to instructions for survey completion, survey support staff pointof-contact information, the name and address of the presiding BIS official, and instructions for both survey certification and submittal. —The Glossary of Terms section explains terms contained in the survey. Terms contained in the survey may be unique to the subject matter of the industry assessment, and therefore may change in meaning from survey to survey. Therefore, it is important to follow the specific instructions and defined terms contained in the specific survey you receive, regardless of any previous survey you might have completed. VerDate Sep<11>2014 16:42 Jul 14, 2015 Jkt 235001 —The Organization Information section requests information related to the person in receipt of the survey, including address information, the source level of response (e.g., facility, business unit, division, corporate consolidated, etc.), point of contact details, and other pertinent contact information. The survey is generally organized in a question and answer format and is presented on an electronic survey system. Each survey is specially tailored to collect the specific information requested. Therefore, specific detailed information is what should be submitted in response to a survey requesting such information. —For example, if we ask for a listing of your customers that order widget A, your response should not be a listing of your entire customer base. Only the information pertaining to customers’ ordering widget A is responsive to that kind of question. Also note that your reply to a survey request is compulsory, unless you meet the criteria for exemption set forth in the body of the regulation. Therefore, any non-disclosure agreements or similar agreements you may have with your customers or clients are not applicable to a survey’s request for information. Compliance with the survey is required by the DPA. Accordingly, compliance with that statutory requirement is paramount to any private agreement you have with your customers or other parties. In addition to the aforementioned sections, each survey contains sections tailored to the specific scope of the study, including but not limited to Facility Locations, Products and Services, Inventories, Suppliers and Customers, Challenges and Organizational Outlook, Employment, Operations, Financial Statements, Sales, Research and Development, and Capital Expenditures. Examples of survey terms. Certification: A section of the survey in which a person (an authorizing official) certifies that the information supplied in response to the survey is complete and correct, to the best of the person’s knowledge. Facility: A building or the minimum complex of buildings or parts of buildings in which a person operates to serve a particular function, producing revenue and incurring costs for the person. A facility may produce an item of tangible or intangible property or may perform a service. It may encompass a floor or group of floors within a building, a single building, or a group of buildings or structures. Often, a facility is a group of related locations at which PO 00000 Frm 00024 Fmt 4700 Sfmt 4700 employees work, together constituting a profit-and-loss center for the person, and it may be identified by a unique Dun and Bradstreet number. Sole source: An organization that is the only source for the supply of parts, components, materials, or services. No alternative U.S. or non-U.S. based supplier exists other than the current supplier. Survey template: The data collection instrument supplied by BIS to persons by which survey information is recorded and submitted to BIS. The survey is generally organized in a question and answer format and is presented on an electronic survey system. Supplier: An entity from which your organization obtains inputs. A supplier may be another firm with which you have a contractual relationship, or it may be another facility owned by the same parent organization. The inputs may be materials, products or services. Dated: July 10, 2015. Kevin J. Wolf, Assistant Secretary for Export Administration. [FR Doc. 2015–17388 Filed 7–14–15; 8:45 am] BILLING CODE 3510–33–P SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 [Release No. 34–75388; File No. S7–07–14] RIN 3235–AL58 Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes Securities and Exchange Commission. ACTION: Final rule. AGENCY: The Securities and Exchange Commission (‘‘Commission’’) is adopting amendments to its regulations under the Freedom of Information Act (‘‘FOIA’’) to allow the Commission to collect fees that reflect its actual costs, add an appeals time frame that will create a more practical and systematic administrative process and clarify other issues in the regulations. DATES: Effective Date: August 14, 2015. FOR FURTHER INFORMATION CONTACT: John Livornese, FOIA/PA Officer, Office of FOIA Services, (202) 551–3831; Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–5041. SUPPLEMENTARY INFORMATION: The Commission is adopting amendments to SUMMARY: E:\FR\FM\15JYR1.SGM 15JYR1 Federal Register / Vol. 80, No. 135 / Wednesday, July 15, 2015 / Rules and Regulations its FOIA regulations at 17 CFR 200.80 and 17 CFR 200.80e. I. Introduction On June 20, 2014 the Commission proposed amendments to its regulations under the Freedom of Information Act.1 The proposed amendments would amend the Commission’s FOIA fee schedule for searching and reviewing records; establish an appeals time frame; allow for submission of appeals by additional methods; and allow the Commission’s Office of FOIA Services to issue responses to FOIA requests indicating that no records were located. The proposing release requested comment on all aspects of the proposal. The Commission received three comments regarding the proposed amendments to its regulations under the Freedom of Information Act.2 One commenter wholly supported the Commission’s amendment of the regulations related to its FOIA fee schedule. The other two commenters disagreed with the proposed time frame for FOIA appeals, and one also objected to the proposed fee amendments. The comments are discussed in more detail below. In adopting this final rule, the Commission has reviewed and considered all of the comments received. II. Discussion of the Final Rules As discussed in further detail below, the Commission is adopting the rules largely as proposed, with the exception of the provision concerning the FOIA appeals time frame, which has been revised in response to comments received. mstockstill on DSK4VPTVN1PROD with RULES A. Changes to Fee Regulations The fees the Commission charges for searching, reviewing, and duplicating records pursuant to FOIA requests are currently set forth in 17 CFR 200.80e, Appendix E—Schedule of fees for records services. The Commission is updating the fee schedule for searching and reviewing records in accordance with Uniform Freedom of Information Act Fee Schedule and Guidelines promulgated by the Office of Management and Budget.3 1 See Freedom of Information Act Regulations: Fee Schedule, Addition of Appeal Time Frame and Miscellaneous Administrative Changes, Release No. 34–72440 (June 20, 2014), 79 FR 36443 (June 27, 2014). 2 See letter from Sheldon Mark Patnett (July 14, 2014) (the Patnett letter); letter from the National Archives and Records Administration’s Office of Government Information Services (July 28, 2014) (the OGIS letter), and letter from David K. Colapinto of Kohn, Kohn & Colapinto, LLP (July 28, 2014) (the Colapinto letter). 3 See 52 FR 10011 (March 27, 1987). VerDate Sep<11>2014 16:42 Jul 14, 2015 Jkt 235001 The OMB Guidelines, pursuant to the Freedom of Information Reform Act of 1986, require that each agency’s fees be based upon its ‘‘direct reasonable operating costs of providing FOIA services.’’ 4 The guidelines state that ‘‘[a]gencies should charge fees that recoup the full allowable direct costs they incur.’’ 5 Direct costs include ‘‘the salary of the employee performing work (the basic rate of pay for the employee plus 16 percent of that rate to cover benefits).’’ 6 OMB recognized that costs would necessarily vary from agency to agency and directed that each agency promulgate regulations specifying the charges for search, review, and duplication. The OMB Guidelines state that ‘‘agencies should charge at the salary rate[s] [i.e. basic pay plus 16 percent] of the employee[s] making the search’’ or, ‘‘where a homogeneous class of personnel is used exclusively . . . agencies may establish an average rate for the range of grades typically involved.’’ 7 The Commission’s current regulation contains set rates for FOIA request search and review activities: $16/hour for grade 11 and below; and $28/hour for grade 12 and above. The Commission proposed to revise this regulation to reflect the formula contained in the OMB Guidelines (basic pay plus 16 percent) rather than setting forth a fixed price. The proposal would establish a representative rate for each of the three different groups of grades typically involved: Personnel in grades SK–8 or below; personnel in grades SK– 9 to SK–13; and personnel in grades SK–14 or above.8 The Commission’s Web site will contain current rates for search and review fees for each class. The rates will be updated as salaries change and will be determined by using the formula in the regulation. For the current calendar year, the fees would be assessed as follows: SK–8 or below: $29/ hour; SK–9 to 13: $61/hour; and SK–14 or above: $89/hour.9 The proposed at 10015. at 10018. 6 Id. at 10017. 7 Id. at 10018. 8 In the proposing release, while the preamble set forth these three groupings, the draft rule text erroneously listed the groupings as: Grades SK–9 or below; Grades SK–10 to SK–14; and Grades SK–15 or above. That was a typographical error and was inconsistent with the text of the preamble of the proposal. Only one commenter addressed the specific amount of the fees, and in making its comment, that commenter used the correct grouping as stated in the preamble of the proposing release. 9 The SK–8 and below rate is estimated using the maximum and minimum annual salary of a Washington, DC-based SK–6 staffer. For 2014 this is [($41,619 + $63,307)/2][1/2087 hours per year][1.16 OMB markup factor] = $29 per hour. PO 00000 4 Id. 41433 regulation would allow the Commission to charge FOIA requesters in quarterhour increments at the rates established by reference to the OMB Guidelines.10 The Commission also proposed to remove the first sentence of 17 CFR 200.80(e)(1) which provides that up to one half hour of staff time devoted to searching for and reviewing Commission records will be provided without charge. One commenter asserted, without providing any data, that increasing FOIA fees would make it more difficult for individuals to obtain information from the SEC and will ‘‘put the FOIA process out of reach of the average citizen.’’ 11 All changes to the Commission’s FOIA fee schedule are in conformity with the FOIA and guidance set forth by the Office of Management and Budget. The OMB Guidelines, pursuant to the Freedom of Information Reform Act of 1986, require that each agency’s fees be based upon its ‘‘direct reasonable operating costs of providing FOIA services.’’ The Commission has not increased its fees for processing FOIA requests in over 20 years, despite increased costs to the agency. Under the proposal, fees would not be charged under either the FOIA or the Privacy Act where the costs of collecting and processing the fee are likely to equal or exceed the amount of the fee or where the requester has met the requirements for a statutory fee waiver. The new language is based upon that of 5 U.S.C. 552(a)(4)(A)(iv) (providing that no fee may be charged if the fee exceeds the costs of collecting and processing the fee). No comments addressed this provision, and the Commission is adopting the amendments as proposed. Currently, the cost of the average fee collection activity is $20, so no fee will be charged of $20 or less. One commenter also recommended that the Commission allow documents to be released generally without any charge or at a reduced charge at its discretion and/or if disclosure of the information is in the public interest 5 Id. Frm 00025 Fmt 4700 Sfmt 4700 Similarly, the SK–9 through SK–13 category is estimated by using the maximum and minimum annual salary of a Washington, DC-based SK–12 staffer, who typically does most of the work of a FOIA request. For 2014 this is [($82,037 + $138,211)/2][1/2087 hours/year][1.16 OMB markup factor] = $61/hour. Finally, the SK–14 and above category is estimated by using the maximum and minimum salary of a Washington, DC-based SK–15 supervisor. For 2014 this is [($118,743 + $200,033)/ 2][1/2087 hours per year][1.16 OMB markup factor] = $89/hour. 10 As per the OMB Guidelines, fees for searches of computerized records will continue to be based on the actual cost to the Commission which includes machine and operator time. 17 CFR 200.80(e)(9)(i). 11 See Colapinto letter. E:\FR\FM\15JYR1.SGM 15JYR1 41434 Federal Register / Vol. 80, No. 135 / Wednesday, July 15, 2015 / Rules and Regulations mstockstill on DSK4VPTVN1PROD with RULES because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requester.12 17 CFR 200.80(e)(4)(i) allows the Commission’s Office of Freedom of Information and Privacy Act [Services] to waive or reduce search, review, and duplication fees if: (1) Disclosure of the requested records is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government; and (2) Disclosure is not primarily in the commercial interest of the requester. Thus, much of what the commenter suggested is already allowed by existing rules. Possible changes to that section, including allowing for purely discretionary waivers or reduction of fees as suggested by the commenter, are not the subject of this rulemaking. This portion of the rule will be adopted as proposed. B. Changes to FOIA Appeals Time Frames The FOIA requires federal agencies to notify requesters of their right to appeal any adverse determination. 5 U.S.C. 552(a)(6)(A)(i). Although the FOIA does not require agencies to establish an appeals time frame, neither does it preclude them from doing so. The Commission proposed to establish an appeals time frame of 30 days in order to allow more efficient and improved appeals processing by the Commission’s Office of the General Counsel. Under the proposal, an appeal from an adverse decision ‘‘must be received within thirty (30) calendar days of the date of the adverse decision.’’ The proposing release noted that the implementation of a 30 day appeals time frame is consistent with the practices of a number of other federal agencies. Commission staff has reviewed the practices at twenty-two separate federal agencies. Of these, ten have a FOIA appeals time frame of 30 days, one has a 30 business day time frame, one has a 35 day time frame, two have a 45 day time frame, seven have a 60 day time frame and one has a 90 day time frame.13 Two comment letters opposed the 30 day time frame. One suggested that the Commission consider allowing a 60 day time frame for appeals.14 The sole reason offered was the commenter’s observation that mail screening by 12 See OGIS letter. financial agencies comparable to the SEC (CFTC and FTC) have 30 calendar day appeals time frames. The FDIC has a 30 business day appeals time frame. 14 See OGIS letter. 13 Independent VerDate Sep<11>2014 16:42 Jul 14, 2015 Jkt 235001 Federal agencies can slow the amount of time it takes appeals to reach their destination. Another commenter similarly objected to the imposition of a 30 day time frame in which to file an appeal as too short and asserted that it ‘‘does not afford individuals (such as whistleblowers and individual investors) sufficient time to find legal representation or to file a substantive appeal.’’ 15 The commenter also noted that the likelihood of missing the 30 day deadline ‘‘is high.’’ In response to these concerns, the Office of FOIA Services staff referred to the above-referenced review of the FOIA appeals procedures at twenty-two federal agencies. It was noted that over half of those agencies have appeals time frames longer than 30 days. To permit FOIA requesters ample opportunity to fully address any complex issues related to their appeal, the Commission has determined to adopt a 90 day time frame for filing an appeal. The longer time frame should also obviate any concerns about delays resulting from mail screening. The 90 day time frame being adopted today is among the longest of those identified at other federal agencies. Accordingly, the Commission believes that an appeals time frame of 90 days is appropriate. C. Submission of FOIA Appeals by Email and Facsimile The Commission proposed to revise 17 CFR 200.80(d)(6)(ii) to allow appeals to be submitted by facsimile or email as well as through the mail. No commenter addressed this issue, and the Commission is adopting it as proposed. D. Responses to FOIA Requests Indicating No Records Could Be Located The Commission proposed to amend 17 CFR 200.80(d)(5)(i) by adding a sentence to provide for responses to FOIA requests that indicate that no responsive records were located.16 This proposed amendment would make clear that a possible response to a FOIA request is that no responsive records could be located. No commenter addressed this issue, and the new sentence would be adopted as proposed. III. Economic Analysis The Commission is sensitive to the economic effects, including the costs and benefits, that result from its rules, and Section 23(a)(2) of the Exchange Act requires the Commission, in making Colapinto letter. draft amended rule text of 17 CFR 200.80(d)(5)(i) published in the proposed rule inadvertently omitted the penultimate sentence from existing paragraph (d)(5)(i). That language is included in amendatory text of this final rule. PO 00000 15 See 16 The Frm 00026 Fmt 4700 Sfmt 4700 rules pursuant to any provision of the Exchange Act, to consider among other matters the impact any such rule would have on competition. As the Commission explained in the proposal, the rules are intended to help align the Commission’s fees related to FOIA requests with its direct reasonable operating costs of providing FOIA services and to allow more efficient processing of requests. In the proposal, the Commission explained that although the Commission believed that the proposed rules were unlikely to have a significant impact on the economy, the proposed rules would benefit the Commission and the public. In particular, compared to the baseline, which includes the current fee structure outlined above, the Commission believed that the proposed rules would permit the Commission to charge fees that more closely reflect the direct costs the Commission incurs to provide FOIA services. Additionally, as the Commission explained, the proposed rules would provide increased flexibility to FOIA requesters by expressly permitting appeals by email and facsimile and would also improve efficiency in the appeal process by establishing a time frame for FOIA appeals that, in light of potential alternatives, is consistent with the practice of other federal agencies. The Commission also recognized in the proposal that the proposed rules may impose costs. Specifically, the Commission explained that the proposed rules may impose additional costs on individuals who wish to obtain access to Commission records and may impose a burden on requesters who would be required to appeal a decision within 30 days. The Commission noted, however, that those costs would be insignificant. Additionally, the Commission noted that the proposed rules would not burden competition and that the Commission believed that any potential burden on competition imposed by the proposed rules would be appropriate in furtherance of purposes of the Exchange Act. The Commission requested comment on all aspects of the benefits and costs of the proposal, including any anticipated impacts on competition. No commenter addressed the economic analysis contained in the proposal, although, as discussed above, one commenter noted that the proposed rules would increase costs for FOIA requesters. After reviewing the comments, the Commission continues to believe that the rules will result in the economic effects described in the proposal and notes that the 90 day appeal time frame will likely impose E:\FR\FM\15JYR1.SGM 15JYR1 Federal Register / Vol. 80, No. 135 / Wednesday, July 15, 2015 / Rules and Regulations less of a burden on requesters compared to the proposed 30 day time frame. In addition, the Commission continues to believe that the rules will have a minimal economic effect and that any potential burden on competition imposed by the amended rules would be appropriate in furtherance of purposes of the Exchange Act. IV. Regulatory Flexibility Act Certification Pursuant to Section 605(b) of the Regulatory Flexibility Act,17 the Commission certified that, when adopted, the amendments to 17 CFR 200.80 would not have a significant economic impact on a substantial number of small entities. This certification, including our basis for the certification, was included in the proposing release. The Commission solicited comments on the appropriateness of its certification, but received none. The Commission is adopting the final rules as proposed. Accordingly, there have been no changes to the proposal that would alter the basis upon which the certification was made. V. Other Administrative Law Matters These amendments do not contain any collection of information requirement as defined by the Paperwork Reduction Act of 1995, as amended.18 VI. Statutory Authority and Text of Rule Amendments The amendments contained herein have been made under the authority set forth in 5 U.S.C. 552 and 15 U.S.C. 78d– 1. List of Subjects in 17 CFR Part 200 Administrative practice and procedure, Freedom of information. Text of Amendments For the reasons stated in the preamble, title 17, chapter II of the Code of Federal Regulations is amended as follows: PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS mstockstill on DSK4VPTVN1PROD with RULES Subpart D—Information and Requests 1. The authority citation for part 200, subpart D, is revised to read, in part, as follows: ■ Authority: 5 U.S.C. 552, as amended, 15 U.S.C. 77f(d), 77s, 77ggg(a), 77sss, 78m(F)(3), 17 5 U.S.C. 605(b). U.S.C. 3501–3520. 18 44 VerDate Sep<11>2014 16:42 Jul 14, 2015 Jkt 235001 78w, 80a–37, 80a–44(a), 80a–44(b), 80b– 10(a), and 80b–11, unless otherwise noted. * * * * * 2. Amend § 200.80 by: a. Revising paragraphs (d)(5)(i), (d)(6)(i) and (ii), and (e) introductory text; and ■ b. Removing the first sentence of paragraph (e)(1). The revisions read as follows: ■ ■ § 200.80 Commission records and information. * * * * * (d) * * * (5) Initial determination; multi-track processing, and denials—(i) Time within which to respond. When a request complies with the procedures in this section for requesting records under the Freedom of Information Act, a response shall be sent within 20 business days from the date the Office of FOIA Services receives the request, except as described in paragraphs (d)(5)(ii) and (iii) of this section. If that Office has identified the requested records, the response shall state that the records are being withheld, in whole or in part, under a specific exemption or are being released. If that Office cannot locate any requested records, the response shall advise the requester accordingly. * * * * * (6) * * * (i) Time limits and content of appeal. Appeals shall be clearly and prominently identified at the top of the first page with the legend ‘‘Freedom of Information Act Appeal’’ and shall provide the assigned request number. Copies of the request and the SEC’s response, if any, should be included with the appeal. If an appeal is from an adverse decision, it must be received within ninety (90) calendar days of the date of the adverse decision. If only a portion of the decision is appealed, the requester must specify which part of the decision is being appealed. An appeal from an adverse decision should also identify the name of the deciding official, the date of the decision, and the precise subject matter of the appeal. An appeal is not perfected until the SEC receives the information identified in this paragraph (d)(6)(i). (ii) How to file and address a written appeal. The appeal must be sent to both the General Counsel and the Office of FOIA Services at 100 F Street NE., Washington, DC 20549. The SEC accepts facsimiles (faxes) and emails as written FOIA appeals. Information regarding where to fax or email a FOIA appeal is available on the SEC’s FOIA home page on the Commission’s Web site at https:// www.sec.gov/foia.shtml. A legible return PO 00000 Frm 00027 Fmt 4700 Sfmt 4700 41435 address must be included with the FOIA appeal. The requester may also include other contact information, such as a telephone number and/or an email address. * * * * * (e) Fees for records services. Information pertaining to search and review services, including locating, reviewing, and making records available, attestations and copying, appears in appendix E to this subpart, § 200.80e. A schedule of fees is located at the Commission’s Web site at https:// www.sec.gov/foia/feesche.htm. * * * * * 3. Amend § 200.80e by: ■ a. Adding introductory text; and ■ b. Revising the paragraph that begins, ‘‘Search and review services:’’. The addition and revision read as follows: ■ § 200.80e Appendix E—Schedule of fees for records services. The requester will be charged search, review, and duplication fees according to his or her fee category. In addition, the SEC will charge the requester for any special handling or services performed in processing the request and/or appeal. Duplication fees also are applicable to records provided in response to requests made under the Privacy Act. Fees will not be charged under either the FOIA or the Privacy Act where the costs of collecting and processing the fee are likely to equal or exceed the amount of the fee or where the requester has met the requirements for a statutory fee waiver. Fees will be determined as follows: Search and review services (review applies to commercial-use requesters only): (1) The Commission will establish and charge average rates for the groups of grades typically involved in search and review. Those groups will consist of employees at: (i) Grades SK–8 or below; (ii) Grades SK–9 to SK–13; and (iii) Grades SK–14 or above. (2) The average rates will be based on the hourly salary (i.e., basic salary plus locality payment), plus 16 percent for benefits, of employees who routinely perform those services. Fees will be charged in quarter-hour increments. The average hourly rates are listed on the Commission’s Web site at https:// www.sec.gov/foia/feesche.htm and will be updated as salaries change. * * * * * By the Commission. E:\FR\FM\15JYR1.SGM 15JYR1 41436 Federal Register / Vol. 80, No. 135 / Wednesday, July 15, 2015 / Rules and Regulations Dated: July 8, 2015. Brent J. Fields, Secretary. [FR Doc. 2015–17179 Filed 7–14–15; 8:45 am] BILLING CODE 8011–01–P DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Part 161 [Docket No. FDA–2015–N–0011] Canned Pacific Salmon; Technical Amendment AGENCY: Food and Drug Administration, HHS. Final rule; technical amendment. ACTION: The Food and Drug Administration (FDA or we) is amending a regulation pertaining to canned Pacific salmon. The amendment removes a paragraph that contains an obsolete cross-reference. DATES: This rule is effective July 15, 2015. SUMMARY: mstockstill on DSK4VPTVN1PROD with RULES FOR FURTHER INFORMATION CONTACT: Loretta Carey, Center for Food Safety and Applied Nutrition (HFS–820), Food and Drug Administration, 5100 Paint Branch Pkwy., College Park, MD 20740– 3835, 240–402–2371. SUPPLEMENTARY INFORMATION: Our regulations at 21 CFR part 161 (‘‘Fish and Shellfish’’) establish requirements for specific standardized fish and shellfish. One provision, at § 161.170, pertains to canned Pacific salmon, and § 161.170(a)(5)(ii)(b) states that when the form of the pack and the words describing the pack are declared on the label, the label must ‘‘bear the statements required by § 105.69 of this chapter.’’ (The regulation, at § 161.170(a)(3), describes various ‘‘forms of pack;’’ one form of pack, for example, is named ‘‘regular’’ and is described as where the sections or steaks are cut transversely from the fish and filled vertically into the can.) Section 105.69 was entitled ‘‘Foods used to regulate sodium intake.’’ In the Federal Register of June 3, 1996 (61 FR 27771), we revoked § 105.69 as part of a ‘‘Reinventing Government’’ initiative, and the revocation became effective on July 3, 1996 (see 61 FR 43963; August 27, 1996) (confirming the effective date for the revocation of various food regulations)). However, the revocation inadvertently omitted a corresponding change to § 161.170(a)(5)(ii)(b). VerDate Sep<11>2014 16:42 Jul 14, 2015 Jkt 235001 Consequently, through this document, we are amending § 161.170 by removing paragraph (a)(5)(ii)(b) entirely and redesignating paragraph (a)(5)(ii)(a) as paragraph (a)(5)(ii). Publication of this document constitutes final action of these changes under the Administrative Procedure Act (5 U.S.C. 553). These amendments eliminate an obsolete reference to a rule that we revoked in 1996. FDA, therefore, for good cause, finds under 5 U.S.C. 553(b)(3)(B) and (d)(3) that notice and public comment are unnecessary. FDA has determined, under 21 CFR 25.30(i), that this final rule is of a type that does not individually or cumulatively have a significant effect on the human environment. Therefore, neither an environmental assessment nor an environmental impact statement is required. In addition, FDA has determined that this final rule contains no new collections of information. Therefore, clearance by the Office of Management and Budget under the Paperwork Reduction Act of 1995 is not required. List of Subjects in 21 CFR Part 161 Food grades and standards, Frozen foods, Seafood. Therefore, under the Federal Food, Drug, and Cosmetic Act and under authority delegated to the Commissioner of Food and Drugs, 21 CFR part 161 is amended as follows: PART 161—FISH AND SHELLFISH 1. The authority citation for 21 CFR part 161 continues to read as follows: ■ Authority: 21 U.S.C. 321, 341, 343, 348, 371, 379e. § 161.170 [Amended] 2. Amend § 161.170 by removing paragraph (a)(5)(ii)(b) and redesignating paragraph (a)(5)(ii)(a) as paragraph (a)(5)(ii). ■ Dated: July 9, 2015. Leslie Kux, Associate Commissioner for Policy. [FR Doc. 2015–17249 Filed 7–14–15; 8:45 am] BILLING CODE 4164–01–P PENSION BENEFIT GUARANTY CORPORATION 29 CFR Part 4022 Benefits Payable in Terminated SingleEmployer Plans; Interest Assumptions for Paying Benefits Pension Benefit Guaranty Corporation. AGENCY: PO 00000 Frm 00028 Fmt 4700 Sfmt 4700 ACTION: Final rule. This final rule amends the Pension Benefit Guaranty Corporation’s regulation on Benefits Payable in Terminated Single-Employer Plans to prescribe interest assumptions under the regulation for valuation dates in August 2015. The interest assumptions are used for paying benefits under terminating single-employer plans covered by the pension insurance system administered by PBGC. DATES: Effective August 1, 2015. FOR FURTHER INFORMATION CONTACT: Catherine B. Klion (Klion.Catherine@ pbgc.gov), Assistant General Counsel for Regulatory Affairs, Pension Benefit Guaranty Corporation, 1200 K Street NW., Washington, DC 20005, 202–326– 4024. (TTY/TDD users may call the Federal relay service toll-free at 1–800– 877–8339 and ask to be connected to 202–326–4024.) SUPPLEMENTARY INFORMATION: PBGC’s regulation on Benefits Payable in Terminated Single-Employer Plans (29 CFR part 4022) prescribes actuarial assumptions—including interest assumptions—for paying plan benefits under terminating single-employer plans covered by title IV of the Employee Retirement Income Security Act of 1974. The interest assumptions in the regulation are also published on PBGC’s Web site (https://www.pbgc.gov). PBGC uses the interest assumptions in Appendix B to Part 4022 to determine whether a benefit is payable as a lump sum and to determine the amount to pay. Appendix C to Part 4022 contains interest assumptions for private-sector pension practitioners to refer to if they wish to use lump-sum interest rates determined using PBGC’s historical methodology. Currently, the rates in Appendices B and C of the benefit payment regulation are the same. The interest assumptions are intended to reflect current conditions in the financial and annuity markets. Assumptions under the benefit payments regulation are updated monthly. This final rule updates the benefit payments interest assumptions for August 2015.1 The August 2015 interest assumptions under the benefit payments regulation will be 1.50 percent for the period during which a benefit is in pay status and 4.00 percent during any years preceding the benefit’s placement in pay SUMMARY: 1 Appendix B to PBGC’s regulation on Allocation of Assets in Single-Employer Plans (29 CFR part 4044) prescribes interest assumptions for valuing benefits under terminating covered single-employer plans for purposes of allocation of assets under ERISA section 4044. Those assumptions are updated quarterly. E:\FR\FM\15JYR1.SGM 15JYR1

Agencies

[Federal Register Volume 80, Number 135 (Wednesday, July 15, 2015)]
[Rules and Regulations]
[Pages 41432-41436]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-17179]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 200

[Release No. 34-75388; File No. S7-07-14]
RIN 3235-AL58


Freedom of Information Act Regulations: Fee Schedule, Addition of 
Appeals Time Frame, and Miscellaneous Administrative Changes

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (``Commission'') is 
adopting amendments to its regulations under the Freedom of Information 
Act (``FOIA'') to allow the Commission to collect fees that reflect its 
actual costs, add an appeals time frame that will create a more 
practical and systematic administrative process and clarify other 
issues in the regulations.

DATES: Effective Date: August 14, 2015.

FOR FURTHER INFORMATION CONTACT: John Livornese, FOIA/PA Officer, 
Office of FOIA Services, (202) 551-3831; Securities and Exchange 
Commission, 100 F Street NE., Washington, DC 20549-5041.

SUPPLEMENTARY INFORMATION: The Commission is adopting amendments to

[[Page 41433]]

its FOIA regulations at 17 CFR 200.80 and 17 CFR 200.80e.

I. Introduction

    On June 20, 2014 the Commission proposed amendments to its 
regulations under the Freedom of Information Act.\1\ The proposed 
amendments would amend the Commission's FOIA fee schedule for searching 
and reviewing records; establish an appeals time frame; allow for 
submission of appeals by additional methods; and allow the Commission's 
Office of FOIA Services to issue responses to FOIA requests indicating 
that no records were located. The proposing release requested comment 
on all aspects of the proposal.
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    \1\ See Freedom of Information Act Regulations: Fee Schedule, 
Addition of Appeal Time Frame and Miscellaneous Administrative 
Changes, Release No. 34-72440 (June 20, 2014), 79 FR 36443 (June 27, 
2014).
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    The Commission received three comments regarding the proposed 
amendments to its regulations under the Freedom of Information Act.\2\ 
One commenter wholly supported the Commission's amendment of the 
regulations related to its FOIA fee schedule. The other two commenters 
disagreed with the proposed time frame for FOIA appeals, and one also 
objected to the proposed fee amendments. The comments are discussed in 
more detail below. In adopting this final rule, the Commission has 
reviewed and considered all of the comments received.
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    \2\ See letter from Sheldon Mark Patnett (July 14, 2014) (the 
Patnett letter); letter from the National Archives and Records 
Administration's Office of Government Information Services (July 28, 
2014) (the OGIS letter), and letter from David K. Colapinto of Kohn, 
Kohn & Colapinto, LLP (July 28, 2014) (the Colapinto letter).
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II. Discussion of the Final Rules

    As discussed in further detail below, the Commission is adopting 
the rules largely as proposed, with the exception of the provision 
concerning the FOIA appeals time frame, which has been revised in 
response to comments received.

A. Changes to Fee Regulations

    The fees the Commission charges for searching, reviewing, and 
duplicating records pursuant to FOIA requests are currently set forth 
in 17 CFR 200.80e, Appendix E--Schedule of fees for records services. 
The Commission is updating the fee schedule for searching and reviewing 
records in accordance with Uniform Freedom of Information Act Fee 
Schedule and Guidelines promulgated by the Office of Management and 
Budget.\3\
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    \3\ See 52 FR 10011 (March 27, 1987).
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    The OMB Guidelines, pursuant to the Freedom of Information Reform 
Act of 1986, require that each agency's fees be based upon its ``direct 
reasonable operating costs of providing FOIA services.'' \4\ The 
guidelines state that ``[a]gencies should charge fees that recoup the 
full allowable direct costs they incur.'' \5\ Direct costs include 
``the salary of the employee performing work (the basic rate of pay for 
the employee plus 16 percent of that rate to cover benefits).'' \6\ OMB 
recognized that costs would necessarily vary from agency to agency and 
directed that each agency promulgate regulations specifying the charges 
for search, review, and duplication. The OMB Guidelines state that 
``agencies should charge at the salary rate[s] [i.e. basic pay plus 16 
percent] of the employee[s] making the search'' or, ``where a 
homogeneous class of personnel is used exclusively . . . agencies may 
establish an average rate for the range of grades typically involved.'' 
\7\
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    \4\ Id. at 10015.
    \5\ Id. at 10018.
    \6\ Id. at 10017.
    \7\ Id. at 10018.
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    The Commission's current regulation contains set rates for FOIA 
request search and review activities: $16/hour for grade 11 and below; 
and $28/hour for grade 12 and above. The Commission proposed to revise 
this regulation to reflect the formula contained in the OMB Guidelines 
(basic pay plus 16 percent) rather than setting forth a fixed price. 
The proposal would establish a representative rate for each of the 
three different groups of grades typically involved: Personnel in 
grades SK-8 or below; personnel in grades SK-9 to SK-13; and personnel 
in grades SK-14 or above.\8\ The Commission's Web site will contain 
current rates for search and review fees for each class. The rates will 
be updated as salaries change and will be determined by using the 
formula in the regulation. For the current calendar year, the fees 
would be assessed as follows: SK-8 or below: $29/hour; SK-9 to 13: $61/
hour; and SK-14 or above: $89/hour.\9\ The proposed regulation would 
allow the Commission to charge FOIA requesters in quarter-hour 
increments at the rates established by reference to the OMB 
Guidelines.\10\ The Commission also proposed to remove the first 
sentence of 17 CFR 200.80(e)(1) which provides that up to one half hour 
of staff time devoted to searching for and reviewing Commission records 
will be provided without charge.
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    \8\ In the proposing release, while the preamble set forth these 
three groupings, the draft rule text erroneously listed the 
groupings as: Grades SK-9 or below; Grades SK-10 to SK-14; and 
Grades SK-15 or above. That was a typographical error and was 
inconsistent with the text of the preamble of the proposal. Only one 
commenter addressed the specific amount of the fees, and in making 
its comment, that commenter used the correct grouping as stated in 
the preamble of the proposing release.
    \9\ The SK-8 and below rate is estimated using the maximum and 
minimum annual salary of a Washington, DC-based SK-6 staffer. For 
2014 this is [($41,619 + $63,307)/2][1/2087 hours per year][1.16 OMB 
markup factor] = $29 per hour. Similarly, the SK-9 through SK-13 
category is estimated by using the maximum and minimum annual salary 
of a Washington, DC-based SK-12 staffer, who typically does most of 
the work of a FOIA request. For 2014 this is [($82,037 + $138,211)/
2][1/2087 hours/year][1.16 OMB markup factor] = $61/hour. Finally, 
the SK-14 and above category is estimated by using the maximum and 
minimum salary of a Washington, DC-based SK-15 supervisor. For 2014 
this is [($118,743 + $200,033)/2][1/2087 hours per year][1.16 OMB 
markup factor] = $89/hour.
    \10\ As per the OMB Guidelines, fees for searches of 
computerized records will continue to be based on the actual cost to 
the Commission which includes machine and operator time. 17 CFR 
200.80(e)(9)(i).
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    One commenter asserted, without providing any data, that increasing 
FOIA fees would make it more difficult for individuals to obtain 
information from the SEC and will ``put the FOIA process out of reach 
of the average citizen.'' \11\ All changes to the Commission's FOIA fee 
schedule are in conformity with the FOIA and guidance set forth by the 
Office of Management and Budget. The OMB Guidelines, pursuant to the 
Freedom of Information Reform Act of 1986, require that each agency's 
fees be based upon its ``direct reasonable operating costs of providing 
FOIA services.'' The Commission has not increased its fees for 
processing FOIA requests in over 20 years, despite increased costs to 
the agency.
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    \11\ See Colapinto letter.
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    Under the proposal, fees would not be charged under either the FOIA 
or the Privacy Act where the costs of collecting and processing the fee 
are likely to equal or exceed the amount of the fee or where the 
requester has met the requirements for a statutory fee waiver. The new 
language is based upon that of 5 U.S.C. 552(a)(4)(A)(iv) (providing 
that no fee may be charged if the fee exceeds the costs of collecting 
and processing the fee). No comments addressed this provision, and the 
Commission is adopting the amendments as proposed. Currently, the cost 
of the average fee collection activity is $20, so no fee will be 
charged of $20 or less.
    One commenter also recommended that the Commission allow documents 
to be released generally without any charge or at a reduced charge at 
its discretion and/or if disclosure of the information is in the public 
interest

[[Page 41434]]

because it is likely to contribute significantly to public 
understanding of the operations or activities of the government and is 
not primarily in the commercial interest of the requester.\12\ 17 CFR 
200.80(e)(4)(i) allows the Commission's Office of Freedom of 
Information and Privacy Act [Services] to waive or reduce search, 
review, and duplication fees if: (1) Disclosure of the requested 
records is in the public interest because it is likely to contribute 
significantly to public understanding of the operations or activities 
of the government; and (2) Disclosure is not primarily in the 
commercial interest of the requester. Thus, much of what the commenter 
suggested is already allowed by existing rules. Possible changes to 
that section, including allowing for purely discretionary waivers or 
reduction of fees as suggested by the commenter, are not the subject of 
this rulemaking. This portion of the rule will be adopted as proposed.
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    \12\ See OGIS letter.
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B. Changes to FOIA Appeals Time Frames

    The FOIA requires federal agencies to notify requesters of their 
right to appeal any adverse determination. 5 U.S.C. 552(a)(6)(A)(i). 
Although the FOIA does not require agencies to establish an appeals 
time frame, neither does it preclude them from doing so. The Commission 
proposed to establish an appeals time frame of 30 days in order to 
allow more efficient and improved appeals processing by the 
Commission's Office of the General Counsel. Under the proposal, an 
appeal from an adverse decision ``must be received within thirty (30) 
calendar days of the date of the adverse decision.'' The proposing 
release noted that the implementation of a 30 day appeals time frame is 
consistent with the practices of a number of other federal agencies. 
Commission staff has reviewed the practices at twenty-two separate 
federal agencies. Of these, ten have a FOIA appeals time frame of 30 
days, one has a 30 business day time frame, one has a 35 day time 
frame, two have a 45 day time frame, seven have a 60 day time frame and 
one has a 90 day time frame.\13\
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    \13\ Independent financial agencies comparable to the SEC (CFTC 
and FTC) have 30 calendar day appeals time frames. The FDIC has a 30 
business day appeals time frame.
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    Two comment letters opposed the 30 day time frame. One suggested 
that the Commission consider allowing a 60 day time frame for 
appeals.\14\ The sole reason offered was the commenter's observation 
that mail screening by Federal agencies can slow the amount of time it 
takes appeals to reach their destination. Another commenter similarly 
objected to the imposition of a 30 day time frame in which to file an 
appeal as too short and asserted that it ``does not afford individuals 
(such as whistleblowers and individual investors) sufficient time to 
find legal representation or to file a substantive appeal.'' \15\ The 
commenter also noted that the likelihood of missing the 30 day deadline 
``is high.''
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    \14\ See OGIS letter.
    \15\ See Colapinto letter.
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    In response to these concerns, the Office of FOIA Services staff 
referred to the above-referenced review of the FOIA appeals procedures 
at twenty-two federal agencies. It was noted that over half of those 
agencies have appeals time frames longer than 30 days. To permit FOIA 
requesters ample opportunity to fully address any complex issues 
related to their appeal, the Commission has determined to adopt a 90 
day time frame for filing an appeal. The longer time frame should also 
obviate any concerns about delays resulting from mail screening. The 90 
day time frame being adopted today is among the longest of those 
identified at other federal agencies. Accordingly, the Commission 
believes that an appeals time frame of 90 days is appropriate.

C. Submission of FOIA Appeals by Email and Facsimile

    The Commission proposed to revise 17 CFR 200.80(d)(6)(ii) to allow 
appeals to be submitted by facsimile or email as well as through the 
mail. No commenter addressed this issue, and the Commission is adopting 
it as proposed.

D. Responses to FOIA Requests Indicating No Records Could Be Located

    The Commission proposed to amend 17 CFR 200.80(d)(5)(i) by adding a 
sentence to provide for responses to FOIA requests that indicate that 
no responsive records were located.\16\ This proposed amendment would 
make clear that a possible response to a FOIA request is that no 
responsive records could be located. No commenter addressed this issue, 
and the new sentence would be adopted as proposed.
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    \16\ The draft amended rule text of 17 CFR 200.80(d)(5)(i) 
published in the proposed rule inadvertently omitted the penultimate 
sentence from existing paragraph (d)(5)(i). That language is 
included in amendatory text of this final rule.
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III. Economic Analysis

    The Commission is sensitive to the economic effects, including the 
costs and benefits, that result from its rules, and Section 23(a)(2) of 
the Exchange Act requires the Commission, in making rules pursuant to 
any provision of the Exchange Act, to consider among other matters the 
impact any such rule would have on competition.
    As the Commission explained in the proposal, the rules are intended 
to help align the Commission's fees related to FOIA requests with its 
direct reasonable operating costs of providing FOIA services and to 
allow more efficient processing of requests. In the proposal, the 
Commission explained that although the Commission believed that the 
proposed rules were unlikely to have a significant impact on the 
economy, the proposed rules would benefit the Commission and the 
public. In particular, compared to the baseline, which includes the 
current fee structure outlined above, the Commission believed that the 
proposed rules would permit the Commission to charge fees that more 
closely reflect the direct costs the Commission incurs to provide FOIA 
services. Additionally, as the Commission explained, the proposed rules 
would provide increased flexibility to FOIA requesters by expressly 
permitting appeals by email and facsimile and would also improve 
efficiency in the appeal process by establishing a time frame for FOIA 
appeals that, in light of potential alternatives, is consistent with 
the practice of other federal agencies.
    The Commission also recognized in the proposal that the proposed 
rules may impose costs. Specifically, the Commission explained that the 
proposed rules may impose additional costs on individuals who wish to 
obtain access to Commission records and may impose a burden on 
requesters who would be required to appeal a decision within 30 days. 
The Commission noted, however, that those costs would be insignificant. 
Additionally, the Commission noted that the proposed rules would not 
burden competition and that the Commission believed that any potential 
burden on competition imposed by the proposed rules would be 
appropriate in furtherance of purposes of the Exchange Act.
    The Commission requested comment on all aspects of the benefits and 
costs of the proposal, including any anticipated impacts on 
competition. No commenter addressed the economic analysis contained in 
the proposal, although, as discussed above, one commenter noted that 
the proposed rules would increase costs for FOIA requesters. After 
reviewing the comments, the Commission continues to believe that the 
rules will result in the economic effects described in the proposal and 
notes that the 90 day appeal time frame will likely impose

[[Page 41435]]

less of a burden on requesters compared to the proposed 30 day time 
frame. In addition, the Commission continues to believe that the rules 
will have a minimal economic effect and that any potential burden on 
competition imposed by the amended rules would be appropriate in 
furtherance of purposes of the Exchange Act.

IV. Regulatory Flexibility Act Certification

    Pursuant to Section 605(b) of the Regulatory Flexibility Act,\17\ 
the Commission certified that, when adopted, the amendments to 17 CFR 
200.80 would not have a significant economic impact on a substantial 
number of small entities. This certification, including our basis for 
the certification, was included in the proposing release. The 
Commission solicited comments on the appropriateness of its 
certification, but received none. The Commission is adopting the final 
rules as proposed. Accordingly, there have been no changes to the 
proposal that would alter the basis upon which the certification was 
made.
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    \17\ 5 U.S.C. 605(b).
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V. Other Administrative Law Matters

    These amendments do not contain any collection of information 
requirement as defined by the Paperwork Reduction Act of 1995, as 
amended.\18\
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    \18\ 44 U.S.C. 3501-3520.
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VI. Statutory Authority and Text of Rule Amendments

    The amendments contained herein have been made under the authority 
set forth in 5 U.S.C. 552 and 15 U.S.C. 78d-1.

List of Subjects in 17 CFR Part 200

    Administrative practice and procedure, Freedom of information.

Text of Amendments

    For the reasons stated in the preamble, title 17, chapter II of the 
Code of Federal Regulations is amended as follows:

PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND 
REQUESTS

Subpart D--Information and Requests

0
1. The authority citation for part 200, subpart D, is revised to read, 
in part, as follows:

    Authority: 5 U.S.C. 552, as amended, 15 U.S.C. 77f(d), 77s, 
77ggg(a), 77sss, 78m(F)(3), 78w, 80a-37, 80a-44(a), 80a-44(b), 80b-
10(a), and 80b-11, unless otherwise noted.
* * * * *

0
2. Amend Sec.  200.80 by:
0
a. Revising paragraphs (d)(5)(i), (d)(6)(i) and (ii), and (e) 
introductory text; and
0
b. Removing the first sentence of paragraph (e)(1).
    The revisions read as follows:


Sec.  200.80  Commission records and information.

* * * * *
    (d) * * *
    (5) Initial determination; multi-track processing, and denials--(i) 
Time within which to respond. When a request complies with the 
procedures in this section for requesting records under the Freedom of 
Information Act, a response shall be sent within 20 business days from 
the date the Office of FOIA Services receives the request, except as 
described in paragraphs (d)(5)(ii) and (iii) of this section. If that 
Office has identified the requested records, the response shall state 
that the records are being withheld, in whole or in part, under a 
specific exemption or are being released. If that Office cannot locate 
any requested records, the response shall advise the requester 
accordingly.
* * * * *
    (6) * * *
    (i) Time limits and content of appeal. Appeals shall be clearly and 
prominently identified at the top of the first page with the legend 
``Freedom of Information Act Appeal'' and shall provide the assigned 
request number. Copies of the request and the SEC's response, if any, 
should be included with the appeal. If an appeal is from an adverse 
decision, it must be received within ninety (90) calendar days of the 
date of the adverse decision. If only a portion of the decision is 
appealed, the requester must specify which part of the decision is 
being appealed. An appeal from an adverse decision should also identify 
the name of the deciding official, the date of the decision, and the 
precise subject matter of the appeal. An appeal is not perfected until 
the SEC receives the information identified in this paragraph 
(d)(6)(i).
    (ii) How to file and address a written appeal. The appeal must be 
sent to both the General Counsel and the Office of FOIA Services at 100 
F Street NE., Washington, DC 20549. The SEC accepts facsimiles (faxes) 
and emails as written FOIA appeals. Information regarding where to fax 
or email a FOIA appeal is available on the SEC's FOIA home page on the 
Commission's Web site at https://www.sec.gov/foia.shtml. A legible 
return address must be included with the FOIA appeal. The requester may 
also include other contact information, such as a telephone number and/
or an email address.
* * * * *
    (e) Fees for records services. Information pertaining to search and 
review services, including locating, reviewing, and making records 
available, attestations and copying, appears in appendix E to this 
subpart, Sec.  200.80e. A schedule of fees is located at the 
Commission's Web site at https://www.sec.gov/foia/feesche.htm.
* * * * *

0
3. Amend Sec.  200.80e by:
0
a. Adding introductory text; and
0
b. Revising the paragraph that begins, ``Search and review services:''.
    The addition and revision read as follows:


Sec.  200.80e  Appendix E--Schedule of fees for records services.

    The requester will be charged search, review, and duplication fees 
according to his or her fee category. In addition, the SEC will charge 
the requester for any special handling or services performed in 
processing the request and/or appeal. Duplication fees also are 
applicable to records provided in response to requests made under the 
Privacy Act. Fees will not be charged under either the FOIA or the 
Privacy Act where the costs of collecting and processing the fee are 
likely to equal or exceed the amount of the fee or where the requester 
has met the requirements for a statutory fee waiver. Fees will be 
determined as follows:
    Search and review services (review applies to commercial-use 
requesters only): (1) The Commission will establish and charge average 
rates for the groups of grades typically involved in search and review. 
Those groups will consist of employees at:
    (i) Grades SK-8 or below;
    (ii) Grades SK-9 to SK-13; and
    (iii) Grades SK-14 or above.
    (2) The average rates will be based on the hourly salary (i.e., 
basic salary plus locality payment), plus 16 percent for benefits, of 
employees who routinely perform those services. Fees will be charged in 
quarter-hour increments. The average hourly rates are listed on the 
Commission's Web site at https://www.sec.gov/foia/feesche.htm and will 
be updated as salaries change.
* * * * *

    By the Commission.


[[Page 41436]]


    Dated: July 8, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-17179 Filed 7-14-15; 8:45 am]
 BILLING CODE 8011-01-P
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