Freedom of Information Act Implementation, 13743-13752 [2017-04910]
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Federal Register / Vol. 82, No. 49 / Wednesday, March 15, 2017 / Rules and Regulations
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proposal was made available through
the internet by USDA and the Office of
the Federal Register. A 15-day comment
period ending December 8, 2016, was
provided for interested persons to
respond to the proposal. One comment
was received. The commenter opposes
the assessment rate and stated the
government should not raise the
assessment. The marketing order for
Florida tomatoes was established at the
request of the industry and is locally
administered by the Committee, which
is made up of growers nominated by
their peers. The Committee requires
funds to operate the program. The
current assessment rate will not provide
sufficient funds to cover anticipated
expenses and the Committee voted
unanimously to increase the assessment
rate. Accordingly, no changes will be
made to the rule as proposed, based on
the comment received.
A small business guide on complying
with fruit, vegetable, and specialty crop
marketing agreements and orders may
be viewed at: https://www.ams.usda.gov/
rules-regulations/moa/small-businesses.
Any questions about the compliance
guide should be sent to Richard Lower
at the previously mentioned address in
the FOR FURTHER INFORMATION CONTACT
section.
After consideration of all relevant
material presented, including the
information and recommendation
submitted by the Committee and other
available information, it is hereby found
that this rule, as hereinafter set forth,
will tend to effectuate the declared
policy of the Act.
Pursuant to 5 U.S.C. 553, it is also
found and determined that good cause
exists for not postponing the effective
date of this rule until 30 days after
publication in the Federal Register
because handlers are already receiving
2016–17 crop tomatoes from growers.
The crop year began August 1, 2016,
and the marketing order requires that
the rate of assessment for each fiscal
period apply to all assessable Florida
tomatoes handled during such fiscal
period. Also, the Committee incurs
expenses on a continuing basis. Further,
handlers are aware of this rule, which
was unanimously recommended at a
public meeting, and a 15-day comment
period was provided for in the proposed
rule.
List of Subjects in 7 CFR Part 966
Marketing agreements, Reporting and
recordkeeping requirements, Tomatoes.
For the reasons set forth in the
preamble, 7 CFR part 966 is amended as
follows:
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PART 966—TOMATOES GROWN IN
FLORIDA
1. The authority citation for 7 CFR
part 966 continues to read as follows:
■
Authority: 7 U.S.C. 601–674.
2. Section 966.234 is revised to read
as follows:
■
§ 966.234
Assessment rate.
On and after August 1, 2016, an
assessment rate of $0.035 per 25-pound
carton is established for Florida
tomatoes.
Dated: March 9, 2017.
Bruce Summers,
Acting Administrator, Agricultural Marketing
Service.
[FR Doc. 2017–04979 Filed 3–14–17; 8:45 am]
BILLING CODE 3410–02–P
FEDERAL HOUSING FINANCE
AGENCY
12 CFR Part 1202
RIN 2590–AA86
Freedom of Information Act
Implementation
Federal Housing Finance
Agency.
ACTION: Interim final rule with request
for comments.
AGENCY:
The Federal Housing Finance
Agency (FHFA) is issuing this interim
final rule to amend its existing Freedom
of Information Act (FOIA) regulation.
The amendments incorporate the
requirements of the FOIA Improvement
Act of 2016 by giving notice of the
circumstances under which FHFA may
extend the time limit for responding to
a FOIA request due to unusual
circumstance; notifying a requester of
their right to seek dispute resolution
services; affording a requester a
minimum of 90 days to file an
administrative appeal; and clarifying
and updating the existing regulation.
DATES: The interim final rule is effective
on March 15, 2017. FHFA will accept
written comments on the interim final
rule on or before May 15, 2017. For
additional information, see
SUPPLEMENTARY INFORMATION.
ADDRESSES: You may submit your
comments on the interim final rule,
identified by ‘‘RIN 2590–AA86,’’ by any
of the following methods:
• Agency Web site: www.fhfa.gov/
open-for-comment-or-input.
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments. If
you submit your comment to the
SUMMARY:
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Federal eRulemaking Portal, please also
send it by email to FHFA at
RegComments@fhfa.gov to ensure
timely receipt by FHFA. Include the
following information in the subject line
of your submission: ‘‘Comments/RIN
2590–AA86.’’
• Hand Delivery/Courier to: Alfred M.
Pollard, General Counsel, Attention:
Comments/RIN 2590–AA86, Federal
Housing Finance Agency, 400 Seventh
Street SW., Eighth Floor, Washington,
DC 20219. The package must be logged
at the Guard Desk, First Floor, on
business days between 9 a.m. and 5 p.m.
• U.S. Mail Service, United Parcel
Service, Federal Express, or other
commercial delivery service to: Alfred
M. Pollard, General Counsel, Attention:
Comments/RIN 2590–AA86, Federal
Housing Finance Agency, 400 Seventh
Street SW., Eighth Floor, Washington,
DC 20219. Please note that all mail sent
to FHFA via the U.S. Mail service is
routed through a national irradiation
facility, a process that may delay
delivery by approximately two weeks.
For any time-sensitive correspondence,
please plan accordingly.
FOR FURTHER INFORMATION CONTACT:
David A. Lee, Chief FOIA Officer, (202)
649–3803, or Stacy J. Easter, FOIA
Officer (202) 649–3803, (not toll free
numbers), Federal Housing Finance
Agency, 400 Seventh Street SW., Eighth
Floor, Washington, DC 20219, or FOIA@
fhfa.gov. The telephone number for the
Telecommunications Device for the Deaf
is (800) 877–8339.
SUPPLEMENTARY INFORMATION:
I. Comments
FHFA is amending its FOIA
regulation at 12 CFR part 1202 to
incorporate changes made to the FOIA,
5 U.S.C. 552, by the FOIA Improvement
Act of 2016, Public Law 114–185, 130
Stat. 538 (June 30, 2016) (Act). The
primary changes to the FOIA made by
the Act include codifying the
foreseeable harm standard when making
a determination whether to release
agency records under Exemption 5;
notifying requesters of the availability of
dispute resolutions services at various
times throughout the FOIA process;
providing a minimum of 90 days for
requesters to file an administrative
appeal; incorporating the new statutory
restrictions on charging fees in certain
circumstances, and reflecting recent
developments in the case law.
FHFA invites comments on all aspects
of the interim final rule and will take all
relevant comments into consideration
before issuing the final regulation. All
submissions received must include the
agency name or Regulatory Information
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Number (RIN) for this rulemaking. All
comments received will be posted
without change on the FHFA Internet
Web site, https://www.fhfa.gov, and will
include any personal information
provided, such as name, address
(mailing and email), and telephone
numbers. In addition, copies of all
comments received will be available for
public inspection on business days
between the hours of 10 a.m. and 3 p.m.
at the Federal Housing Finance Agency,
400 Seventh Street SW., Eighth Floor,
Washington, DC 20219. To make an
appointment to inspect comments,
please call the Office of General Counsel
at (202) 649–3804.
II. Effective Date and Request for
Comments
FHFA has concluded that good cause
exists, under 5 U.S.C. 553(b)(B) and
(d)(3), to waive the notice-and-comment
and delayed effective date requirements
of the Administrative Procedure Act and
to proceed with this interim final rule.
The amendments to part 1202 primarily
address how FHFA will implement the
changes made under the Act, make
clarifying and general updates to the
existing regulation, and add two
appendices indicating where to send
FOIA requests and appeals to FHFA and
FHFA Office of Inspector General, but
do not fundamentally alter or change
the regulation’s nature or scope.
Further, in light of the significant need
for immediate guidance regarding the
changes made under the Act, FHFA has
determined that notice-and-comment
rulemaking is impracticable and
contrary to public policy.
Nevertheless, FHFA is providing the
public with a 60-day period following
publication of the interim final rule to
submit comments. Any comments
received will be considered prior to
issuing a final regulation.
III. Background
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A. Establishment of the Federal Housing
Finance Agency
The Housing and Economic Recovery
Act of 2008 (HERA), Public Law 110–
289, 122 Stat. 2654, amended the
Federal Housing Enterprises Financial
Safety and Soundness Act of 1992
(Safety and Soundness Act) (12 U.S.C.
4501 et seq.) and the Federal Home
Loan Bank Act (12 U.S.C. 1421 et seq.)
to establish FHFA as an independent
agency of the Federal Government to
ensure that the Federal National
Mortgage Association, the Federal Home
Loan Mortgage Corporation, and the
Federal Home Loan Banks (collectively,
the regulated entities) are capitalized
adequately; foster liquid, efficient,
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competitive and resilient national
housing finance markets; operate in a
safe and sound manner; comply with
the Safety and Soundness Act and all
rules, regulations, guidelines and orders
issued under the Safety and Soundness
Act, and the regulated entities’
respective authorizing statutes; carry out
their missions through activities
consistent with the aforementioned
authorities; and the activities and
operations of the regulated entities are
consistent with the public interest.
B. Issuance of FOIA Regulation
In 2011, FHFA issued a final FOIA
regulation at 12 CFR part 1202 that
provided the procedures and guidelines
under which FHFA would implement
the FOIA, and added provisions to
include its newly created component,
the Office of Inspector General (FHFA–
OIG). This interim final rule amends the
existing FOIA regulation at part 1202 to
implement the changes made by the
Act, remove individual component
procedures from the body of the
regulation adding them to the newly
created appendices, as well as to make
clarifying technical amendments.
IV. Analysis of Sections Affected by the
Act
Section 1202.2 What do the terms in
this regulation mean?
This section is amended to include
new and revised terms. It is also
amended to conform to recent decisions
of the D.C. Circuit Court of Appeals
addressing two FOIA Fee categories:
‘‘educational institution’’ and
‘‘representative of the news media.’’ See
Cause of Action v. FTC, 799 F.3d 1108
(D.C. Cir. 2015; and Sack v. DOD, 823
F.3d 687 (D.C. Cir. 2016). In Cause of
Action, 799 F.3d at 1125, the court held
that a representative of the news media
need not work for an entity that is
‘‘organized and operated’’ to publish or
broadcast news. Therefore, the
definition of ‘‘representative of the news
media’’ is amended to remove the
‘‘organized and operated’’ requirement.
The definition of ‘‘educational
institution’’ is amended to reflect the
holding in Sack, 823 F.3d at 688, which
held that students who make FOIA
requests in furtherance of their
coursework or other school-sponsored
activities may qualify under this
requester category. The amended
definition now states that a requester
under this category need only to show
that the request is made in connection
with his or her role at the educational
institution.
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Section 1202.3 What information can I
obtain through the FOIA?
Paragraph (b) is amended to reflect
the changes made to the FOIA by the
Act, regarding proactive disclosures of
records by making them available for
public inspection and copying in
FHFA’s electronic reading room.
Section 1202.4 What information is
exempt from disclosure?
Paragraph (a) is amended to reflect the
changes made to the FOIA by the Act
regarding adding the foreseeable harm
standard to the statute. This amendment
informs the public how FHFA will use
the foreseeable harm standard when
determining whether or not to disclose
requested information.
Section 1202.5 How do I request
information from FHFA under the
FOIA?
Paragraph (a) is amended to reflect the
addition of two appendices with
information on where to file FOIA
requests and appeals for each FHFA
component (FHFA-Headquarters and
FHFA–OIG).
Section 1202.7 How will FHFA
respond to my FOIA request?
Paragraph (b) is amended to include
a standard for how FHFA will
determine the cut-off date for FOIA
searches. Also, as required by the Act,
paragraph (g)(2) is amended to make
available FHFA’s FOIA Public Liaison
whenever a request is placed in the
complex track. Lastly, paragraph (g)(3)
is amended to add an explanation on
how, why and when FHFA will
aggregate a request.
Section 1202.9 How do I appeal a
response denying my FOIA request?
As required by the Act, paragraph (b)
is amended to extend the time to file an
administrative appeal to 90 days after an
adverse determination. Paragraph (g) is
also amended to include a requirement
that FHFA notify requesters of the
availability of assistance from FHFA’s
FOIA Public Liaison and the Office of
Government Information Services when
providing requesters with a response to
their requests.
Section 1202.11 What will it cost to get
the records I requested?
Paragraph (c) is amended to update
FHFA’s fee schedule. Specifically, a
detailed formula on how FHFA’s fee
schedule is calculated has been added.
Going forward fees will be based on this
formula and will be published and
updated, as required, on FHFA’s Web
site. Also, as required by the Act,
paragraph (j), which discusses
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restrictions on charging fees when the
FOIA’s time limits are not met, is
amended to reflect changes made by the
Act. These changes reflect that agencies
may not charge search fees (or
duplication fees for representatives of
the news media and educational/noncommercial scientific institution
requesters) when the agency fails to
comply with the FOIA’s time limits. The
restriction on charging fees is excused
and the agency may charge fees as usual
when it satisfies one of three exceptions
as detailed at 5 U.S.C.
552(a)(4)(A)(vii)(II).
Appendices to Part 1202
These appendices are new and have
been added to describe each FHFA
component. Each appendix provides
specific information regarding that
component to notify the public where to
submit a FOIA request for records held
or maintained at each component and
where to file an appeal.
V. Regulatory Impacts
Paperwork Reduction Act
This interim final rule does not
contain any information collection
requirement that requires the approval
of OMB under the Paperwork Reduction
Act (44 U.S.C. 3501 et seq.).
Regulatory Flexibility Act
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The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires that a
regulation that has a significant
economic impact on a substantial
number of small entities, small
businesses, or small organizations must
include an initial regulatory flexibility
analysis describing the regulation’s
impact on small entities. Such an
analysis need not be undertaken if the
agency has certified that the regulation
does not have a significant economic
impact on a substantial number of small
entities (5 U.S.C. 605(b)). FHFA has
considered the impact of this interim
final rule under the Regulatory
Flexibility Act. FHFA certifies that the
regulation is not likely to have a
significant economic impact on a
substantial number of small business
entities because the regulation is
applicable only to the internal
operations and legal obligations of
FHFA.
List of Subjects in 12 CFR Part 1202
Appeals, Confidential commercial
information, Disclosure, Exemptions,
Fees, Final action, Freedom of
Information Act, Judicial review,
Records, Requests.
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Authority and Issuance
Accordingly, for the reasons stated in
the Preamble, FHFA is revising part
1202 of Chapter XII of title 12 of the
Code of Federal Regulations to read as
follows:
PART 1202—FREEDOM OF
INFORMATION ACT
Sec.
1202.1 Why did FHFA issue this part?
1202.2 What do the terms in this part
mean?
1202.3 What information can I obtain
through the FOIA?
1202.4 What information is exempt from
disclosure?
1202.5 How do I request information from
FHFA under the FOIA?
1202.6 What if my request does not have all
the information FHFA requires?
1202.7 How will FHFA respond to my
FOIA request?
1202.8 If the requested records contain
confidential commercial information,
what procedures will FHFA follow?
1202.9 How do I appeal a response denying
my FOIA request?
1202.10 Will FHFA expedite my request or
appeal?
1202.11 What will it cost to get the records
I requested?
1202.12 Is there anything else I need to
know about FOIA procedures?
Appendix A to Part 1202—FHFA
Headquarters
Appendix B to Part 1202—FHFA Office of
Inspector General
Authority: Pub. L. 110–289, 122 Stat.
2654; 5 U.S.C. 301, 552; 12 U.S.C. 4526; E.O.
12600, 52 FR 23781, 3 CFR, 1987 Comp., p.
235; E.O. 13392, 70 FR 75373–75377, 3 CFR,
2006 Comp., p. 216–200.
§ 1202.1
Why did FHFA issue this part?
The Federal Housing Finance Agency
(FHFA) issued this regulation to comply
with the Freedom of Information Act
(FOIA) (5 U.S.C. 552).
(a) The Freedom of Information Act
(FOIA) (5 U.S.C. 552), is a Federal law
that requires the Federal Government to
disclose certain Federal Government
records to the public.
(b) This part explains the rules that
the FHFA will follow when processing
and responding to requests for records
under the FOIA. It also explains what
you must do to request records from
FHFA under the FOIA. You should read
this part together with the FOIA, which
explains in more detail your rights and
the records FHFA may release to you.
(c) If you want to request information
about yourself that is contained in a
system of records maintained by FHFA,
you may do so under the Privacy Act of
1974, as amended (5 U.S.C. 552a). This
is considered a first-party or Privacy Act
request under the Privacy Act, and you
must file your request following FHFA’s
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Privacy Act regulation at part 1204 of
this title. If you file a request for
information about yourself, FHFA will
process your request under both the
FOIA and Privacy Act in order to give
you the greatest degree of access to any
responsive material.
(d) Notwithstanding the FOIA and
this part, FHFA may routinely publish
or disclose to the public information
without following these procedures.
§ 1202.2
mean?
What do the terms in this part
Some of the terms you need to
understand while reading this
regulation are—
Aggregating means combing multiple
requests for documents that could
reasonably have been the subject of a
single request and which occur within
a 30-day period, by a single requester or
by a group of requesters acting in
concert that would otherwise involve
unusual circumstances.
Appeals Officer or FOIA Appeals
Officer means a person designated by
FHFA who processes appeals of denied
FOIA requests for FHFA records.
Chief FOIA Officer means the
designated high-level official within
FHFA (FHFA–OIG does not have a
separate Chief FOIA Officer) who has
overall responsibility for the agency’s
FOIA program and compliance with the
FOIA.
Confidential commercial information
means records provided to the Federal
Government by a submitter that contain
material exempt from release under
Exemption 4 of the FOIA, 5 U.S.C.
552(b)(4), because disclosure could
reasonably be expected to cause
substantial competitive harm.
Days, unless stated as ‘‘calendar
days,’’ are working days and do not
include Saturdays, Sundays, and
Federal holidays. If the last day of any
period prescribed herein falls on a
Saturday, Sunday, or Federal holiday,
the last day of the period will be the
next working day that is not a Saturday,
Sunday, or Federal holiday.
Discretionary release means
disclosure of records or information that
would otherwise be exempt from
disclosure under the FOIA.
Direct costs means the expenses,
including contract services and
retrieving documents from the National
Archives and Records Administration,
incurred by FHFA, in searching for,
reviewing and/or duplicating records to
respond to a request for information. In
the case of a commercial use request,
the term also means those expenditures
FHFA actually incurs in reviewing
records to respond to the request. Direct
costs include the cost of the time of the
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employee performing the work, the cost
of any computer searches, and the cost
of operating duplication equipment.
Direct costs do not include overhead
expenses such as costs of space, and
heating or lighting the facility in which
the records are stored.
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.
Employee, for the purposes of this
regulation, means any person holding
an appointment to a position of
employment with FHFA, or any person
who formerly held such an
appointment; any conservator appointed
by FHFA; or any agent or independent
contractor acting on behalf of FHFA,
even though the appointment or
contract has terminated.
Fee Waiver means the waiver or
reduction of fees if the requester can
demonstrate that certain statutory
standards are met.
FHFA means each separate
component designated by the agency as
a primary organizational unit that is
responsible for processing FOIA
requests, as specified in Appendices A
and B to this part. FHFA has two
components: Federal Housing Finance
Agency Headquarters (FHFA–HQ) and
FHFA Office of Inspector General
(FHFA–OIG).
FOIA Officer, FOIA Official and Chief
FOIA Officer are persons designated by
FHFA to process and respond to
requests for FHFA records under the
FOIA.
FOIA Public Liaison is a person
designated by FHFA who is responsible
for assisting requesters with their
requests.
Proactive disclosure means records
that are required by the FOIA to be
made publicly available, as well as
additional records identified as being of
interest to the public that are
appropriate for public disclosure, and
for posting and indexing such records.
Readily reproducible means that the
requested record or records exist in
electronic format and can be
downloaded or transferred intact to a
computer disk, tape, or another
electronic medium with equipment and
software currently in use by FHFA.
Record means information or
documentary material FHFA maintains
in any form or format, including
electronic, which FHFA—
(1) Created or received under Federal
law or in connection with the
transaction of public business;
(2) Preserved or determined is
appropriate for preservation as evidence
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of operations or activities of FHFA, or
because of the value of the information
it contains; and
(3) Controls at the time it receives a
request under the FOIA.
Regulated entities means the Federal
Home Loan Mortgage Corporation, the
Federal National Mortgage Association,
and the Federal Home Loan Banks.
Requester means any person seeking
access to FHFA records under the FOIA.
A requester falls into one of three
categories for the purpose of
determining what fees may be charged.
The three categories are—
(1) Commercial—A request that asks
for information for a use or a purpose
that furthers a commercial, trade, or
profit interest, which can include
furthering those interests through
litigation. A decision to place a
requester in the commercial use
category will be made on a case-by-case
basis based on the requester’s intended
use of the information;
(2) Noncommercial—Three distinct
subcategories—
(i) Educational institution—Any
school that operates a program of
scholarly research. A requester in this
fee category must show that the request
is authorized by, and is made under the
auspices of, an educational institution
and that the records are not sought for
a commercial use, but rather are sought
to further scholarly research. To fall
with this fee category, the request must
serve the scholarly research goals of the
institution rather than an individual
research goal. A student who makes a
request in furtherance of their
coursework or other school-sponsored
activities and provides a copy of a
course syllabus or other reasonable
documentation to indicate the research
purpose for the request would qualify as
part of this fee category;
(ii) Noncommercial scientific
institution—An institution that is not
operated on a ‘‘commercial’’ basis, as
defined in this section 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. A request in this category
must show that the request is authorized
by and is made under the auspices of a
qualifying institution and that the
records are sought to further scientific
research and are not for a commercial
use; or
(iii) Representative of the news
media—Any person or entity that
publishes or broadcasts news to the
public, actively gathers information of
potential interest to a segment of the
public, uses its editorial skills to turn
the raw materials into distinct work,
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and distributes that work to an
audience. The term ‘‘news’’ means
information that is about current events
or that would be of current interest to
the public; and
(3) Other—All requesters who do not
fall within either of the preceding two
categories.
Requester Service Centers serve as the
primary contacts for a requester when
the requester has questions, is seeking
information about how the FOIA works,
or to check the status of their request.
Review means the examination of a
record located in response to a request
in order 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 costs
are properly charged even if a record
ultimately is not disclosed. Review time
also includes time spent both obtaining
and considering any formal objection to
disclosure made by a confidential
commercial information submitter
under § 1202.8(f) of this part.
Search means the process of looking
for and retrieving records or information
responsive to a request, whether
manually or by electronic means. Search
time includes a page-by-page or line-byline identification of information within
a record and the reasonable efforts
expanded to locate and retrieve
information from electronic records.
Submitter means any person or entity
providing confidential information to
the Federal Government. The term
‘‘submitter’’ includes, but is not limited
to corporations, state governments, and
foreign governments.
Unusual circumstances means the
need to—
(1) Search for and collect records from
agencies, offices, facilities, or locations
that are separate from the office
processing the request;
(2) Search for, collect, and
appropriately examine a voluminous
amount of separate and distinct records
in order to process a single request; or
(3) Consult with another agency or
among two or more components of the
FHFA that have a substantial interest in
the determination of a request.
§ 1202.3 What information can I obtain
through the FOIA?
(a) General. You may request that
FHFA disclose to you its records on a
subject of interest to you. The FOIA
only requires the disclosure of records.
It does not require FHFA to create
compilations of information or to
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provide narrative responses to questions
or queries.
(b) Proactive disclosure. FHFA will
make available for public inspection
and copying in its electronic reading
room the following records:
(1) Final opinions or orders made in
the adjudication of cases;
(2) Statements of policy and
interpretation adopted by FHFA that are
not published in the Federal Register;
(3) Administrative staff manuals and
instructions to staff that affect a member
of the public and are not exempt from
disclosure under the FOIA;
(4) Copies of all records, regardless of
form or format, that have been released
to any person under 5 U.S.C. 552(a)(3),
that because of the nature of their
subject matter, FHFA determines have
become or are likely to become the
subject of subsequent requests for
substantially the same records, or that
have been requested 3 or more times;
and
(5) A general index of the records
referred to in paragraph (b)(4) of this
section.
(c) Reading rooms. FHFA maintains
an electronic reading room. FHFA will
ensure that its reading room is reviewed
and updated on an ongoing basis. See
the Appendices to this part for location
and contact information for FHFA–HQ
and FHFA–OIG respective reading
rooms.
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§ 1202.4 What information is exempt from
disclosure?
(a) General. Unless the Director of
FHFA or his or her designee, or any
regulation or statute specifically
authorizes disclosure, FHFA will not
release records if it reasonably foresees
that disclosure would harm an interest
protected by one or more of the
following—
(1) Specifically authorized under
criteria established by an Executive
Order to be kept secret in the interest of
national defense or foreign policy, and
in fact is properly classified pursuant to
such Executive Order;
(2) Related solely to FHFA’s internal
personnel rules and practices;
(3) Specifically exempted from
disclosure by statute (other than 5
U.S.C. 552a), 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;
(4) Trade secrets and commercial or
financial information obtained from a
person and privileged or confidential;
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(5) Contained in inter-agency or intraagency memoranda or letters that would
not be available by law to a private party
in litigation with FHFA; provided that
the deliberative process privilege shall
not apply to records created 25 years or
more before the date on which the
records were requested.
(6) Contained in personnel, medical
or similar files (including financial files)
the disclosure of which would
constitute a clearly unwarranted
invasion of personal privacy;
(7) Compiled for law enforcement
purposes, but only to the extent that the
production of such law enforcement
records or information—
(i) Could reasonably be expected to
interfere with enforcement proceedings;
(ii) Would deprive a person of a right
to fair trial or an impartial adjudication;
(iii) Could reasonably be expected to
constitute an unwarranted invasion of
personal privacy;
(iv) Could reasonably be expected to
disclose the identity of a confidential
source, including a State, local, or
foreign agency or authority or any
private institution or an entity that is
regulated and examined by FHFA that
furnished information on a confidential
basis, 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, information
furnished by a confidential source;
(v) Would disclose techniques and
procedures for law enforcement
investigations or prosecutions, or would
disclose guidelines for law enforcement
investigations or prosecutions if such
disclosure could reasonably be expected
to risk circumvention of the law; or
(vi) Could reasonably be expected to
endanger the life or physical safety of
any individual.
(8) Contained in or related to
examination, operating, or condition
reports that are 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.
(b) Discretion to apply exemptions.
Although records or parts of records
may be exempt from disclosure, FHFA
may elect under the circumstances of
any particular request not to apply an
exemption. This election does not
generally waive the exemption and it
does not have precedential effect. FHFA
may still apply an exemption to any
other records or portions of records,
regardless of when the request is
received.
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(c) Redacted portion. If a requested
record contains exempt information and
information that can be disclosed and
the portions can reasonably be
segregated from each other, the
disclosable portion of the record will be
released to the requester after FHFA
deletes the exempt portions. If it is
technically feasible, FHFA will indicate
the amount of the information deleted at
the place in the record where the
deletion is made and include a notation
identifying the exemption that was
applied, unless including that
indication would harm an interest
protected by an exemption.
(d) Exempt and redacted material.
FHFA is not required to provide an
itemized index correlating each
withheld document (or redacted
portion) with a specific exemption
justification.
(e) Disclosure to Congress. This
section does not allow FHFA to
withhold any information from, or to
prohibit the disclosure of any
information to, Congress or any
Congressional committee or
subcommittee.
§ 1202.5 How do I request information
from FHFA under the FOIA?
(a) Where to send your request. FHFA
has a decentralized system for
processing FOIA requests, made up of
two components. To make a request for
FHFA records, the FOIA request must
be in writing. A requester must write
directly to the FOIA office of the
component that maintains the records
being sought. The Appendices to this
part contain the respective location and
contact information for submitting a
FOIA request for each FHFA
component.
(b) Provide your name and address.
Your request must include your full
name, your address and, if different, the
address at which the component is to
notify you about your request, a
telephone number at which you can be
reached during normal business hours,
and an electronic mail address, if any.
(c) Request is under the FOIA. Your
request must have a statement
identifying it as being made under the
FOIA.
(d) Your FOIA status. Your request
should include a statement specifically
identifying your status as a ‘‘commercial
use’’ requester, an ‘‘educational
institution’’ requester, a ‘‘noncommercial scientific institution’’
requester, or a ‘‘representative of the
news media’’ for the purposes of the fee
provisions of the FOIA.
(e) Describing the records you request.
You must describe the records that you
seek in enough detail to enable FHFA to
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search for and locate the records with a
reasonable amount of effort. Your
request must include as much specific
information as possible that you know
about each record in your request, such
as the date, title, name, author,
recipient, subject matter, file
designations, or the description of the
record.
(f) How you want the records
produced to you. Your request must
state in what form or format you want
FHFA to furnish the releasable records,
e.g., hardcopy, electronic, etc.
(g) Agreement to pay fees. In your
FOIA request you must agree to pay all
applicable fees charged under § 1202.11
of this part, up to $100.00, unless you
seek a fee waiver. When making a
request, you may specify a higher or
lower amount you will pay without
consultation. Your inability to pay a fee
does not justify granting a fee waiver.
The fact that FHFA withholds all
responsive documents or does not locate
any documents responsive to your
request, does not mean that you are not
responsible for paying applicable fees.
Your FOIA request will not be
considered received by FHFA until your
fee agreement, in writing, is received.
(h) Valid requests. FHFA will only
process valid requests. A valid request
must meet all the requirements of this
part.
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§ 1202.6 What if my request does not have
all the information FHFA requires?
If FHFA determines that your request
does not reasonably describe the records
you seek, is overly broad, unduly
burdensome to process, cannot yet be
processed for reasons related to fees, or
lacks required information, you will be
informed in writing why your request
cannot be processed. You will be given
15 calendar days to modify your request
to meet all requirements. This request
for additional information tolls the time
period for FHFA to respond to your
request under § 1202.7 of this part.
(a) If you respond with all the
necessary information, FHFA will
process this response as a new request
and the time period for FHFA to
respond to your request will start from
the date the additional information is
actually received by FHFA.
(b) If you do not respond or provide
additional information within the time
allowed, or if the additional information
you provide is still incomplete or
insufficient, FHFA will consider your
request withdrawn and will notify you
that it will not be processed.
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§ 1202.7 How will FHFA respond to my
FOIA request?
(a) Authority to grant or deny
requests. The FOIA Officer, FOIA
Official, and the Chief FOIA Officer are
authorized to grant or deny any request
for FHFA records.
(b) Designated standard ‘‘cut-off’’ date
for searches. In determining which
records are responsive to a request,
FHFA will include only records in its
possession as of the date the FOIA
request is received.
(c) Multi-Track request processing.
FHFA uses a multi-track system to
process FOIA requests. This means that
a FOIA request is processed based on its
complexity. When FHFA receives your
request, it is assigned to a Standard
Track or Complex Track. FHFA will
notify you if your request is assigned to
the Complex Track as described in
paragraph (g) of this section.
(1) Standard Track. FHFA assigns
FOIA requests that are routine and
require little or no search time, review,
or analysis to the Standard Track. FHFA
responds to these requests in the order
in which they are received and normally
responds within 20 days after receipt. If
FHFA determines while processing your
Standard Track request, that it is more
appropriately a Complex Track request,
it will be reassigned to the Complex
Track and you will be notified as
described in paragraph (g) of this
section.
(2) Complex Track. (i) FHFA assigns
requests that are non-routine to the
Complex Track. Complex Track requests
are those to which FHFA determines
that the request and/or response may—
(A) Be voluminous;
(B) Involve two or more FHFA
components or units;
(C) Require consultation with other
agencies or entities;
(D) Require searches of archived
documents;
(E) Seek confidential commercial
information as described in § 1202.8 of
this part;
(F) Require an unusually high level of
effort to search for, review and/or
duplicate records; or
(G) Cause undue disruption to the
day-to-day activities of FHFA in
regulating and supervising the regulated
entities or in carrying out its statutory
responsibilities.
(ii) FHFA will respond to Complex
Track requests as soon as reasonably
possible, regardless of the date of
receipt.
(d) Referrals to other agencies. If you
submit a FOIA request that seeks
records originating in another Federal
Government agency, FHFA will refer
your request or a portion of your
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request, as applicable, to the other
agency for response. FHFA will provide
you notice of the referral, what portion
of the request was referred, and the
name of the other agency and relevant
contact information.
(e) Responses to FOIA requests. FHFA
will respond to your request by granting
or denying it in full, or by granting and
denying it in part. The response will be
in writing. In determining which
records are responsive to your request,
FHFA will conduct a search for records
in its possession as of the date of your
request.
(1) Requests that are granted. If FHFA
grants your request, the response will
include the requested records or details
about how FHFA will provide them to
you and the amount of any fees charged.
(2) Requests that are denied, or
granted and denied in part. If FHFA
denies your request in whole or in part
because a requested record does not
exist or cannot be located, is not readily
reproducible in the form or format you
sought, is not subject to the FOIA, or is
exempt from disclosure, the written
response will include the requested
releasable records, if any, the amount of
any fees charged, the reasons for denial,
and a notice and description of your
right to file an administrative appeal
under § 1202.9 of this part.
(f) Format and delivery of disclosed
records. If FHFA grants, in whole or in
part, your request for disclosure of
records under the FOIA, the records
may be made available to you in the
form or format you requested, if they are
readily reproducible in that form or
format. The records will be sent to the
address you provided by regular U.S.
mail or by electronic mail unless
alternate arrangements are made by
mutual agreement, such as your
agreement to pay express or expedited
delivery service fees, or to pick up
records at FHFA offices.
(g) Extensions of time. (1) In unusual
circumstances, FHFA may extend the
Standard Track time limit in paragraph
(c)(1) of this section for no more than 10
days and notify you of—
(i) The reason for the extension; and
(ii) The date on which the
determination is expected.
(2) For requests in the Complex Track,
FHFA will make available its FOIA
Public Liaison or other FOIA contact to
assist you in modifying or reformulating
your request so that it may be processed
on the Standard Track. If the request
cannot be modified or reformulated to
permit processing on the Standard
Track, FHFA will notify you regarding
an alternative time period for processing
the request.
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(3) For the purpose of satisfying
unusual circumstances under the FOIA,
FHFA may aggregate requests in cases
where it reasonably appears that
multiple requests, submitted either by a
requester or by a group of requesters
acting in concert, constitute a single
request that would otherwise involve
unusual circumstances. FHFA will not
aggregate multiple requests that involve
unrelated matters.
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§ 1202.8 If the requested records contain
confidential commercial information, what
procedures will FHFA follow?
(a) General. FHFA will not disclose
confidential commercial information in
response to your FOIA request except as
described in this section.
(b) Designation of confidential
commercial information. Submitters of
commercial information must use goodfaith efforts to designate, by appropriate
markings or written request, either at
the time of submission or at a
reasonable time thereafter, those
portions of the information they deem to
be protected under 5 U.S.C. 552(b)(4)
and § 1202.4(a)(4) of this part. Any such
designation will expire 10 years after
the records are submitted to the Federal
Government, unless the submitter
requests, and provides reasonable
justification for a designation period of
longer duration.
(c) Pre-Disclosure Notification. Except
as provided in paragraph (e) of this
section, if your FOIA request
encompasses confidential commercial
information, FHFA will, prior to
disclosure of the information and to the
extent permitted by law, provide
prompt written notice to a submitter
that confidential commercial
information was requested when—
(1) The submitter has in good faith
designated the information as
confidential commercial information
protected from disclosure under 5
U.S.C. 552(b)(4) and § 1202.4(a)(4) of
this part; or
(2) FHFA has reason to believe that
the request seeks confidential
commercial information, the disclosure
of which may result in substantial
competitive harm to the submitter.
(d) Content of Pre-Disclosure
Notification. When FHFA sends a PreDisclosure Notification to a submitter, it
will contain—
(1) A description of the confidential
commercial information requested or
copies of the records or portions thereof
containing the confidential business
information; and
(2) An opportunity to object to
disclosure within 10 days or such other
time period that FHFA may allow by
providing to FHFA a detailed written
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statement demonstrating all reasons the
submitter opposes disclosure.
(e) Exceptions to Pre-Disclosure
Notification. FHFA is not required to
send a Pre-Disclosure Notification if—
(1) FHFA determines that information
should not be disclosed;
(2) The information has been
published lawfully or has been made
officially available to the public;
(3) Disclosure of the information is
required by law, other than the FOIA;
(4) The information requested is not
designated by the submitter as
confidential commercial information
pursuant to this section; or
(5) The submitter’s designation, under
paragraph (b) of this section, appears on
its face to be frivolous; except that
FHFA will provide the submitter with
written notice of any final decision to
disclose the designated confidential
commercial information within a
reasonable number of days prior to a
specified disclosure date.
(f) Submitter’s objection to disclosure.
A submitter may object to disclosure
within 10 days after the date of the PreDisclosure Notification, or such other
time period that FHFA may allow, by
delivering to FHFA a written statement
demonstrating all grounds on which it
opposes disclosure, and all reasons
supporting its contention that the
information should not be disclosed.
The submitter’s objection must contain
a certification by the submitter, or an
officer or authorized representative of
the submitter, that the grounds and
reasons presented are true and correct to
the best of the submitter’s knowledge.
The submitter’s objection may itself be
subject to disclosure under the FOIA.
(g) Notice of Intent to disclose
information. FHFA will carefully
consider all grounds and reasons
provided by a submitter objecting to
disclosure. If FHFA decides to disclose
the information over the submitter’s
objection, the submitter will be
provided with a written Notice of Intent
to disclose at least 10 days before the
date of disclosure. The written Notice of
Intent will contain—
(1) A statement of the reasons why the
information will be disclosed;
(2) A description of the information to
be disclosed; and
(3) A specific disclosure date.
(h) Notice to requester. FHFA will
give a requester whose request
encompasses confidential commercial
information—
(1) A written notice that the request
encompasses confidential commercial
information that may be exempt from
disclosure under 5 U.S.C. 552(b)(4) and
§ 1202.4(a)(4) of this part and that the
submitter of the information has been
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given a Pre-Disclosure Notification with
the opportunity to comment on the
proposed disclosure of the information;
and
(2) A written notice that a Notice of
Intent to disclose has been provided to
the submitter, and that the submitter has
10 days, or such other time period that
FHFA may allow, to respond.
(i) Notice of FOIA lawsuit. FHFA will
promptly notify the submitter whenever
a requester files suit seeking to compel
disclosure of the submitter’s
confidential commercial information.
FHFA will promptly notify the requester
whenever a submitter files suit seeking
to prevent disclosure of information.
§ 1202.9 How do I appeal a response
denying my FOIA request?
(a) Right of appeal. If FHFA denied
your request in whole or in part, you
may appeal the denial by writing
directly to the appropriate FHFA
component specified in the Appendices
to this part.
(b) Timing, form, content, and receipt
of an appeal. Your written appeal must
be postmarked or submitted within 90
calendar days of the date of the decision
by FHFA denying, in whole or in part,
your request. Your appeal must include
a copy of the initial request, a copy of
the letter denying the request in whole
or in part, and a statement of the
circumstances, reasons, or arguments
you believe support disclosure of the
requested record(s). FHFA will not
consider an improperly addressed
appeal to have been received for the
purposes of the 20-day time period of
paragraph (d) of this section until it is
actually received by the correct FHFA
component.
(c) Extensions of time to appeal. If
you need more time to file your appeal,
you may request, in writing, an
extension of time of no more than 10
calendar days in which to file your
appeal, but only if your request is made
within the original 90-calendar day time
period for filing the appeal. Granting
such an extension is in the sole
discretion of the designated component
Appeals Officer.
(d) Final action on appeal. FHFA’s
determination on your appeal will be in
writing, signed by the designated
component Appeals Officer, and sent to
you within 20 days after the appeal is
received, or by the last day of the last
extension under paragraph (e) of this
section. The determination of an appeal
is the final action of FHFA on a FOIA
request. A determination may—
(1) Affirm, in whole or in part, the
initial denial of the request and may
include a brief statement of the reason
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or reasons for the decision, including
each FOIA exemption relied upon;
(2) Reverse, in whole or in part, the
denial of a request in whole or in part,
and require the request to be processed
promptly in accordance with the
decision; or
(3) Remand a request to FHFA, as
appropriate, for re-processing.
(e) Notice of delayed determinations
on appeal. If FHFA cannot send a final
determination on your appeal within
the 20-day time limit, the designated
component Appeals Officer will
continue to process the appeal and upon
expiration of the time limit, will inform
you of the reason(s) for the delay and
the date on which a determination may
be expected. In this notice of delay, the
appropriate FHFA component Appeals
Officer may request that you forebear
seeking judicial review until a final
determination is made.
(f) Judicial review. If the denial of
your request for records is upheld in
whole or in part, or if a determination
on your appeal has not been sent at the
end of the 20-day period in paragraph
(d) of this section, or the last extension
thereof, you may seek judicial review
under 5 U.S.C. 552(a)(4). Before seeking
review by a court of FHFA’s adverse
determination, a requester generally
must first submit a timely
administrative appeal.
(g) Additional resource. To aid the
requester, the FOIA Public Liaison is
available and will assist in the
resolution of any disputes. Also, the
National Archives and Records
Administration (NARA), Office of
Government Information Services
(OGIS) offers non-compulsory, nonbinding mediation services to resolve
FOIA disputes. If you need information
regarding the OGIS and/or the services
it offers, please contact OGIS directly at
Office of Government Information
Services, National Archives and Records
Administration, 8601 Adelphi RoadOGIS, College Park, MD 20740–6001;
email: ogis@nara.gov; phone: (202) 741–
5770; toll-free: 1–(877) 684–6448; or
facsimile at (202) 741–5769. This
information is provided as a public
service only. By providing this
information, FHFA does not commit to
refer disputes to OGIS, or to defer to
OGIS’ mediation decisions in particular
cases.
§ 1202.10 Will FHFA expedite my request
or appeal?
(a) Request for expedited processing.
You may request, in writing, expedited
processing of an initial request or of an
appeal. FHFA may grant expedited
processing, and give your request or
appeal priority if your request for
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expedited processing demonstrates a
compelling need by establishing one or
more of the following—
(1) Circumstances in which the lack of
expedited treatment could reasonably be
expected to pose an imminent threat to
the life or physical safety of an
individual;
(2) An urgency to inform the public
about an actual or alleged Federal
Government activity if you are a person
primarily engaged in disseminating
information;
(3) The loss of substantial due process
or rights;
(4) A matter of widespread and
exceptional media interest in which
there exists possible questions about the
Federal Government’s integrity,
affecting public confidence; or
(5) Humanitarian need.
(b) Certification of compelling need.
Your request for expedited processing
must include a statement certifying that
the reason(s) you present demonstrate a
compelling need are true and correct to
the best of your knowledge.
(c) Determination on request. FHFA
will notify you within 10 days of receipt
of your request whether expedited
processing has been granted. If a request
for expedited treatment is granted, the
request will be given priority and will
be processed as soon as practicable. If a
request for expedited processing is
denied, any appeal of that decision
under § 1202.9 of this part will be acted
on expeditiously.
§ 1202.11 What will it cost to get the
records I requested?
(a) Assessment of fees, generally.
FHFA will assess you for fees covering
the direct costs of responding to your
request and costs for duplicating
records, except as otherwise provided in
a statute with respect to the
determination of fees that may be
assessed for disclosure, search time, or
review of particular records.
(b) Assessment of fees, categories of
requesters. The fees that FHFA may
assess vary depending on the type of
request or the type of requester you
are—
(1) Commercial use. If you request
records for a commercial use, the fees
that FHFA may assess are limited to
FHFA’s operating costs incurred for
document search, review, and
duplication.
(2) Educational institution,
noncommercial scientific institution, or
representative of the news media. If you
are not requesting records for
commercial use and you are an
educational institution or a
noncommercial scientific institution,
whose purpose is scholarly or scientific
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research, or a representative of the news
media, the fees that may be assessed are
limited to standard reasonable charges
for duplication in excess of 100 pages or
an electronic equivalent of 100 pages.
(3) Other. If neither paragraph (b)(1)
nor paragraph (b)(2) of this section
applies, the fees assessed are limited to
the costs for document searching in
excess of two hours and duplication in
excess of 100 pages, or an electronic
equivalent of 100 pages.
(c) Fee schedule. FHFA will charge
fees for processing requests under the
FOIA in accordance with the provisions
of this section and OMB guidelines
(basic pay plus 16 percent). There are
three different groups of grades typically
involved in processing FOIA requests:
Personnel in grades EL–6 to EL–9;
personnel in grades EL–10 to EL–13;
and personnel EL–14 and above.
FHFA’s Web site, www.fhfa.gov, will
contain current rates for search and
review fees for each group. The rates
will be updated as salaries change and
will be determined by using the formula
in this regulation. The formula is the
sum of the mid-point of each grade
divided by the number of grades in each
category divided by 2088 and then
multiplied by 1.16.1 Fees for searches of
computerized records are based on the
actual cost to FHFA. For requests that
require the retrieval of records stored by
FHFA at a Federal records center
operated by the National Archives and
Records Administration, FHFA will
charge additional costs in accordance
with the Transaction Billing Rate
Schedule established by NARA.
(d) Notice of anticipated fees in excess
of $100.00. When FHFA determines or
estimates that the fees chargeable to you
will exceed $100.00, you will be
notified of the actual or estimated
amount of fees you will incur, unless
you earlier indicated your willingness to
pay fees as high as those anticipated.
When you are notified that the actual or
estimated fees exceed $100.00, your
request will be tolled until you agree to
pay, in writing, the anticipated total fee.
(e) Advance payment of fees. FHFA
may request that you pay estimated fees
or a deposit in advance of responding to
your request. If FHFA requests advance
payment or a deposit, your request will
not be considered received by FHFA
until the advance payment or deposit is
received. FHFA will request advance
payment or a deposit if—
(1) The fees are likely to exceed
$500.00. FHFA will notify you of the
1 Example of the rate formula is as follows: For
2016, EL–6 to EL–9 is [($55,769 + $63,554 +
$71,816 + $81,152)/4][1/2088 hours per year][1.16
OMB markup factor] = $37.82 per hour.
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likely cost and obtain from you
satisfactory assurance of full payment if
you have a history of prompt payment
of FOIA fees to FHFA;
(2) You do not have a history of
payment, or if the estimate of fees
exceeds $1,000.00, FHFA may require
an advance payment of fees in an
amount up to the full estimated charge
that will be incurred;
(3) You previously failed to pay a fee
to FHFA in a timely fashion, i.e., within
30 calendar days of the date of a billing,
FHFA may require you to make advance
payment of the full amount of the fees
anticipated before processing a new
request or finishing processing of a
pending request; or
(4) You have an outstanding balance
due from a prior request. FHFA may
require you to pay the full amount owed
plus any applicable interest, as provided
in paragraph (f) of this section, or
demonstrate that the fee owed has been
paid, as well as payment of the full
amount of anticipated fees before
processing your request.
(f) Interest. FHFA may charge you
interest on an unpaid bill starting on the
31st calendar day following the day on
which the bill was sent. Once a fee
payment has been received by FHFA,
even if not processed, FHFA will stay
the accrual of interest. Interest charges
will be assessed at the rate prescribed by
31 U.S.C. 3717 and will accrue from the
date of the billing.
(g) FHFA assistance to reduce costs. If
FHFA notifies you of estimated fees
exceeding $100.00 or requests advance
payment or a deposit, you will have an
opportunity to consult with FHFA FOIA
staff to modify or reformulate your
request to meet your needs at a lower
cost.
(h) Fee waiver requests. You may
request a fee waiver in accordance with
the FOIA and this regulation. Requests
for a waiver of fees should be made at
the time you submit your FOIA request.
FHFA may grant your fee waiver request
if disclosure of the information is in the
public interest because it is likely to
contribute significantly to public
understanding of the operations or
activities of the Federal Government
and is not primarily in the commercial
interest of the requester. In submitting a
fee waiver request, you must address the
following six factors—
(1) Whether the subject of the
requested records concerns the
operations or activities of the Federal
Government;
(2) Whether the disclosure is likely to
contribute to an understanding of
Federal Government operations or
activities;
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(3) Whether disclosure of the
requested information will contribute to
public understanding;
(4) Whether the disclosure is likely to
contribute significantly to public
understanding of Federal Government
operations or activities;
(5) Whether the requester has a
commercial interest that would be
furthered by the requested disclosure;
and
(6) Whether the magnitude of the
identified commercial interest of the
requester is sufficiently large, in
comparison with the public interest in
disclosure, that disclosure is primarily
in the commercial interest of the
requester.
(i) Fee Waiver determination. FHFA
will notify you within 20 days of receipt
of your request whether the fee waiver
has been granted. A request for fee
waiver that is denied may only be
appealed when a final decision has been
made on the initial FOIA request.
(j) Restrictions on charging fees. If
FHFA fails to comply with the time
limits in which to respond to a request,
and if no unusual or exceptional
circumstances, as those terms are
defined by the FOIA, apply to the
processing of the request, FHFA may
not charge search fees, or in the instance
of requests from requesters described in
paragraph (b)(2) of this section, may not
charge duplication fees. See 5 U.S.C.
552(a)(4)(A)(viii).
(k) The FOIA Public Liaison or other
FOIA contact is available to assist any
requester in modifying or reformulating
a request to meet the requester’s needs
at a lower cost.
§ 1202.12 Is there anything else I need to
know about FOIA procedures?
This FOIA regulation does not and
shall not be construed to create any
right or to entitle any person, as of right,
to any service or to the disclosure of any
record to which such person is not
entitled under the FOIA. This regulation
only provides procedures for requesting
records under the FOIA.
Appendix A to Part 1202—FHFA
Headquarters
1. This Appendix applies to the Federal
Housing Finance Agency’s Headquarters
Office.
2. Reading room. FHFA Headquarters
maintains an electronic reading room. The
electronic reading room is located at https://
www.fhfa.gov/AboutUs/FOIAPrivacy/Pages/
Reading-Room.aspx.
3. Where to send your request. You may
make a request for FHFA Headquarters
records by writing directly to the FOIA Office
through electronic mail, U.S. mail, delivery
service, or facsimile. The electronic mail
address is: foia@fhfa.gov. For U.S. mail or
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delivery service, the mailing address is: FOIA
Officer, Federal Housing Finance Agency,
400 Seventh Street SW., Eighth Floor,
Washington, DC 20219. The facsimile
number is: (202) 649–1073. When submitting
your request, please mark electronic mail,
letters, or facsimiles and the subject line,
envelope, or facsimile cover sheet with
‘‘FOIA Request.’’ FHFA’s ‘‘Freedom of
Information Act Reference Guide,’’ which is
available on FHFA’s Web site, provides
additional information to assist you in
making your request, https://www.fhfa.gov/
AboutUs/FOIAPrivacy/Pages/FOIAReference-Guide.aspx.
4. Right of appeal. If FHFA Headquarters
denied your request in whole or in part, you
may appeal the denial by writing directly to
the FOIA Appeals Officer through electronic
mail, U.S. mail, delivery service, or facsimile.
The electronic mail address is: foia@fhfa.gov.
For U.S. mail or delivery service, the mailing
address is: FOIA Appeals Officer, Federal
Housing Finance Agency, 400 Seventh Street
SW., Eighth Floor, Washington, DC 20219.
The facsimile number is: (202) 649–1073.
When submitting your appeal, please mark
electronic mail, letters, or facsimiles and the
subject line, envelope, or facsimile cover
sheet with ‘‘FOIA Appeal.’’ FHFA’s
‘‘Freedom of Information Act Reference
Guide,’’ which is available on FHFA’s Web
site, provides additional information to assist
you in making your appeal, https://
www.fhfa.gov/AboutUs/FOIAPrivacy/Pages/
FOIA-Reference-Guide.aspx.
Appendix B to Part 1202—FHFA Office
of Inspector General
This Appendix applies to the Federal
Housing Finance Agency’s Office of Inspector
General (FHFA–OIG).
1. Contact information for FOIA Officer.
You may contact the FOIA Officer at (202)
730–0399 or by email at FOIA@fhfaoig.gov.
Hearing impaired users may utilize the
Federal Relay Service (external link) by
dialing 1(800) 877–8339. A Communications
Assistant will dial the requested number and
relay the conversation between a standard
(voice) telephone user and text telephone
(TTY).
2. Information about the FHFA–OIG FOIA
process. You may find information about the
FHFA–OIG FOIA process at https://
www.fhfaoig.gov/FOIA.
3. Reading room. FHFA–OIG maintains an
electronic reading room. The electronic
reading room is located at https://
www.fhfaoig.gov/FOIA/ReadingRoom.
4. Where to send your request. You may
make a request for FHFA–OIG records by
writing directly to the FOIA Office through
electronic mail, U.S. mail, delivery service,
or facsimile. The electronic mail address is:
FOIA@fhfaoig.gov. For U.S. mail or delivery
service, the mailing address is: Federal
Housing Finance Agency Office of Inspector
General, 400 Seventh Street SW., Third
Floor, Washington, DC 20219, ATTN: Office
of Inspector General—FOIA Officer. The
facsimile number is: (202) 318–8602. When
submitting your request, please mark
electronic mail, letters, or facsimiles and the
subject line, envelope, or facsimile cover
sheet with ‘‘FOIA Request.’’
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Federal Register / Vol. 82, No. 49 / Wednesday, March 15, 2017 / Rules and Regulations
5. Right of appeal. If FHFA–OIG denies
your request in whole or in part, you may
appeal the denial by writing directly to the
FOIA Officer through electronic mail, U.S.
mail, delivery service, or facsimile. The
electronic mail address is: FOIA@fhfaoig.gov.
For U.S. mail or delivery service, the mailing
address is: Federal Housing Finance Agency,
Office of Inspector General, 400 Seventh
Street SW., Third Floor, Washington, DC
20219, ATTN: Office of Inspector General—
FOIA Officer. The facsimile number is: (202)
318–8602. When submitting your appeal,
please mark electronic mail, letters, or
facsimiles and the subject line, envelope, or
facsimile cover sheet with ‘‘FOIA Appeal.’’
Dated: March 7, 2017.
Melvin L. Watt,
Director, Federal Housing Finance Agency.
[FR Doc. 2017–04910 Filed 3–14–17; 8:45 am]
BILLING CODE 8070–01–P
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 21
[Docket No. FAA–2016–9452]
Airworthiness Criteria: Glider Design
Criteria for Stemme AG Model Stemme
S12 Powered Glider
Federal Aviation
Administration (FAA), DOT.
ACTION: Airworthiness design criteria.
AGENCY:
Type Certification Basis
These airworthiness criteria
are issued for the Stemme AG model
Stemme S12 powered glider. The
Administrator finds the design criteria,
which make up the certification basis
for the Stemme S12, acceptable.
DATES: These airworthiness design
criteria are effective April 14, 2017.
FOR FURTHER INFORMATION CONTACT: Mr.
Jim Rutherford, Federal Aviation
Administration, Small Airplane
Directorate, Aircraft Certification
Service, 901 Locust, Room 301, Kansas
City, MO 64106, telephone (816) 329–
4165, facsimile (816) 329–4090.
SUPPLEMENTARY INFORMATION:
SUMMARY:
rmajette on DSK30RV082PROD with RULES
Background
On January 08, 2016, Stemme AG
submitted an application for type
validation of the Stemme S12 in
accordance with the Technical
Implementation Procedures for
Airworthiness and Environmental
Certification Between the FAA and the
European Aviation Safety Agency
(EASA), Revision 5, dated September
15, 2015. The Stemme S12 is a two-seat,
self-launching, powered glider with a
liquid cooled, turbocharged engine
mounted in the center fuselage, an
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indirect drive shaft, and a fully-foldable,
variable-pitch composite propeller in
the nose. It is constructed from glass
and carbon fiber reinforced composites,
features a conventional T-type tailplane,
and has a retractable main landing gear.
The glider has a maximum weight of
1,984 pounds (900 kilograms) and may
be equipped with an optional dual-axis
autopilot system. EASA type certificated
the Stemme S12 under Type Certificate
Number (No.) EASA.A.054 on March 11,
2016. The associated EASA Type
Certificate Data Sheet (TCDS) No.
EASA.A.054 defined the certification
basis Stemme AG submitted to the FAA
for review and acceptance.
The applicable requirements for glider
certification in the United States can be
found in FAA Advisory Circular (AC)
21.17–2A, ‘‘Type Certification—FixedWing Gliders (Sailplanes), Including
Powered Gliders,’’ dated February 10,
1993. AC 21.17–2A has been the basis
for certification of gliders and powered
gliders in the United States for many
years. AC 21.17–2A states that
applicants may utilize the Joint Aviation
Requirements (JAR)–22, ‘‘Sailplanes and
Powered Sailplanes’’, or another
accepted airworthiness criteria, or a
combination of both, as the accepted
means for showing compliance for
glider type certification.
The applicant Certification Basis is
based on EASA Certification
Specification (CS)–22, ‘‘Sailplanes and
Powered Sailplanes’’, initial issue, dated
November 14, 2003. In addition to CS–
22 requirements, the applicant will
comply with other requirements from
the certification basis referenced in
EASA TCDS No. EASA.A.054, including
special conditions and equivalent safety
findings.
Discussion of Comments
Notice of proposed airworthiness
design criteria for the Stemme AG
Stemme S12 powered glider was
published in the Federal Register on
November 30, 2016 (81 FR 86296). No
comments were received, therefore
these airworthiness design criteria are
adopted as proposed.
The Airworthiness Design Criteria
1. 14 CFR part 21, effective February
1, 1965, including amendments 21–1
through 21–93 as applicable.
2. EASA CS–22, initial issue, dated
November 14, 2003.
3. EASA Special Condition No. SC–
A.22.1.01, ‘‘Increase in maximum mass
for sailplanes and powered sailplanes.’’
4. ‘‘Preliminary Standard for the
Substantiation of Indirect Drive Shafts
in Power Plants of Powered Sailplanes
Certified to JAR–22’’ (with a
modification for the Stemme AG model
Stemme S 10), Luftfahrt-Bundesamt
(LBA) document number (no.) I231–87,
issued August 05, 1988.
5. Installation of a Dual-Axis
Autopilot System, including—
• EASA CS–VLA (Very Light
Aeroplanes) 1309, ‘‘Equipment, systems,
and installations’’; initial issue, dated
November 14, 2003; and
• EASA CS–23.1329, ‘‘Automatic
pilot system’’, amendment 3, dated July
20, 2012.
6. Drop Testing for Retractable
Landing Gear (EASA equivalent safety
findings) to include CS–VLA 725,
‘‘Limit drop tests’’; CS–VLA 726,
‘‘Ground load dynamic tests’’; and CS–
VLA 727, ‘‘Reserve energy absorption’’;
initial issue dated November 14, 2003.
7. ‘‘Standards for Structural
Substantiation of Sailplane and
Powered Sailplane Parts Consisting of
Glass or Carbon Fiber Reinforced
Plastics’’, LBA document no. I4–FVK/
91, issued July 1991.
8. ‘‘Guideline for the analysis of the
electrical system for powered
sailplanes’’, LBA document no. I334–
MS 92, issued September 15, 1992.
9. The following kinds of operation
are allowed: VFR-Day.
10. Date of application for FAA Type
Certificate: January 08, 2016.
Issued in Kansas City, Missouri on January
23, 2017.
Mel Johnson,
Acting Manager, Small Airplane Directorate,
Aircraft Certification Service.
[FR Doc. 2017–05000 Filed 3–14–17; 8:45 am]
BILLING CODE 4910–13–P
Accordingly, pursuant to the
authority delegated to me by the
Administrator, the following
airworthiness design criteria under the
special class provision of 14 CFR
21.17(b) as part of the type certification
basis for the Stemme AG Stemme S12
power glider:
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Agencies
[Federal Register Volume 82, Number 49 (Wednesday, March 15, 2017)]
[Rules and Regulations]
[Pages 13743-13752]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-04910]
=======================================================================
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FEDERAL HOUSING FINANCE AGENCY
12 CFR Part 1202
RIN 2590-AA86
Freedom of Information Act Implementation
AGENCY: Federal Housing Finance Agency.
ACTION: Interim final rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: The Federal Housing Finance Agency (FHFA) is issuing this
interim final rule to amend its existing Freedom of Information Act
(FOIA) regulation. The amendments incorporate the requirements of the
FOIA Improvement Act of 2016 by giving notice of the circumstances
under which FHFA may extend the time limit for responding to a FOIA
request due to unusual circumstance; notifying a requester of their
right to seek dispute resolution services; affording a requester a
minimum of 90 days to file an administrative appeal; and clarifying and
updating the existing regulation.
DATES: The interim final rule is effective on March 15, 2017. FHFA will
accept written comments on the interim final rule on or before May 15,
2017. For additional information, see SUPPLEMENTARY INFORMATION.
ADDRESSES: You may submit your comments on the interim final rule,
identified by ``RIN 2590-AA86,'' by any of the following methods:
Agency Web site: www.fhfa.gov/open-for-comment-or-input.
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments. If you submit your
comment to the Federal eRulemaking Portal, please also send it by email
to FHFA at RegComments@fhfa.gov to ensure timely receipt by FHFA.
Include the following information in the subject line of your
submission: ``Comments/RIN 2590-AA86.''
Hand Delivery/Courier to: Alfred M. Pollard, General
Counsel, Attention: Comments/RIN 2590-AA86, Federal Housing Finance
Agency, 400 Seventh Street SW., Eighth Floor, Washington, DC 20219. The
package must be logged at the Guard Desk, First Floor, on business days
between 9 a.m. and 5 p.m.
U.S. Mail Service, United Parcel Service, Federal Express,
or other commercial delivery service to: Alfred M. Pollard, General
Counsel, Attention: Comments/RIN 2590-AA86, Federal Housing Finance
Agency, 400 Seventh Street SW., Eighth Floor, Washington, DC 20219.
Please note that all mail sent to FHFA via the U.S. Mail service is
routed through a national irradiation facility, a process that may
delay delivery by approximately two weeks. For any time-sensitive
correspondence, please plan accordingly.
FOR FURTHER INFORMATION CONTACT: David A. Lee, Chief FOIA Officer,
(202) 649-3803, or Stacy J. Easter, FOIA Officer (202) 649-3803, (not
toll free numbers), Federal Housing Finance Agency, 400 Seventh Street
SW., Eighth Floor, Washington, DC 20219, or FOIA@fhfa.gov. The
telephone number for the Telecommunications Device for the Deaf is
(800) 877-8339.
SUPPLEMENTARY INFORMATION:
I. Comments
FHFA is amending its FOIA regulation at 12 CFR part 1202 to
incorporate changes made to the FOIA, 5 U.S.C. 552, by the FOIA
Improvement Act of 2016, Public Law 114-185, 130 Stat. 538 (June 30,
2016) (Act). The primary changes to the FOIA made by the Act include
codifying the foreseeable harm standard when making a determination
whether to release agency records under Exemption 5; notifying
requesters of the availability of dispute resolutions services at
various times throughout the FOIA process; providing a minimum of 90
days for requesters to file an administrative appeal; incorporating the
new statutory restrictions on charging fees in certain circumstances,
and reflecting recent developments in the case law.
FHFA invites comments on all aspects of the interim final rule and
will take all relevant comments into consideration before issuing the
final regulation. All submissions received must include the agency name
or Regulatory Information
[[Page 13744]]
Number (RIN) for this rulemaking. All comments received will be posted
without change on the FHFA Internet Web site, https://www.fhfa.gov, and
will include any personal information provided, such as name, address
(mailing and email), and telephone numbers. In addition, copies of all
comments received will be available for public inspection on business
days between the hours of 10 a.m. and 3 p.m. at the Federal Housing
Finance Agency, 400 Seventh Street SW., Eighth Floor, Washington, DC
20219. To make an appointment to inspect comments, please call the
Office of General Counsel at (202) 649-3804.
II. Effective Date and Request for Comments
FHFA has concluded that good cause exists, under 5 U.S.C. 553(b)(B)
and (d)(3), to waive the notice-and-comment and delayed effective date
requirements of the Administrative Procedure Act and to proceed with
this interim final rule. The amendments to part 1202 primarily address
how FHFA will implement the changes made under the Act, make clarifying
and general updates to the existing regulation, and add two appendices
indicating where to send FOIA requests and appeals to FHFA and FHFA
Office of Inspector General, but do not fundamentally alter or change
the regulation's nature or scope. Further, in light of the significant
need for immediate guidance regarding the changes made under the Act,
FHFA has determined that notice-and-comment rulemaking is impracticable
and contrary to public policy.
Nevertheless, FHFA is providing the public with a 60-day period
following publication of the interim final rule to submit comments. Any
comments received will be considered prior to issuing a final
regulation.
III. Background
A. Establishment of the Federal Housing Finance Agency
The Housing and Economic Recovery Act of 2008 (HERA), Public Law
110-289, 122 Stat. 2654, amended the Federal Housing Enterprises
Financial Safety and Soundness Act of 1992 (Safety and Soundness Act)
(12 U.S.C. 4501 et seq.) and the Federal Home Loan Bank Act (12 U.S.C.
1421 et seq.) to establish FHFA as an independent agency of the Federal
Government to ensure that the Federal National Mortgage Association,
the Federal Home Loan Mortgage Corporation, and the Federal Home Loan
Banks (collectively, the regulated entities) are capitalized
adequately; foster liquid, efficient, competitive and resilient
national housing finance markets; operate in a safe and sound manner;
comply with the Safety and Soundness Act and all rules, regulations,
guidelines and orders issued under the Safety and Soundness Act, and
the regulated entities' respective authorizing statutes; carry out
their missions through activities consistent with the aforementioned
authorities; and the activities and operations of the regulated
entities are consistent with the public interest.
B. Issuance of FOIA Regulation
In 2011, FHFA issued a final FOIA regulation at 12 CFR part 1202
that provided the procedures and guidelines under which FHFA would
implement the FOIA, and added provisions to include its newly created
component, the Office of Inspector General (FHFA-OIG). This interim
final rule amends the existing FOIA regulation at part 1202 to
implement the changes made by the Act, remove individual component
procedures from the body of the regulation adding them to the newly
created appendices, as well as to make clarifying technical amendments.
IV. Analysis of Sections Affected by the Act
Section 1202.2 What do the terms in this regulation mean?
This section is amended to include new and revised terms. It is
also amended to conform to recent decisions of the D.C. Circuit Court
of Appeals addressing two FOIA Fee categories: ``educational
institution'' and ``representative of the news media.'' See Cause of
Action v. FTC, 799 F.3d 1108 (D.C. Cir. 2015; and Sack v. DOD, 823 F.3d
687 (D.C. Cir. 2016). In Cause of Action, 799 F.3d at 1125, the court
held that a representative of the news media need not work for an
entity that is ``organized and operated'' to publish or broadcast news.
Therefore, the definition of ``representative of the news media'' is
amended to remove the ``organized and operated'' requirement. The
definition of ``educational institution'' is amended to reflect the
holding in Sack, 823 F.3d at 688, which held that students who make
FOIA requests in furtherance of their coursework or other school-
sponsored activities may qualify under this requester category. The
amended definition now states that a requester under this category need
only to show that the request is made in connection with his or her
role at the educational institution.
Section 1202.3 What information can I obtain through the FOIA?
Paragraph (b) is amended to reflect the changes made to the FOIA by
the Act, regarding proactive disclosures of records by making them
available for public inspection and copying in FHFA's electronic
reading room.
Section 1202.4 What information is exempt from disclosure?
Paragraph (a) is amended to reflect the changes made to the FOIA by
the Act regarding adding the foreseeable harm standard to the statute.
This amendment informs the public how FHFA will use the foreseeable
harm standard when determining whether or not to disclose requested
information.
Section 1202.5 How do I request information from FHFA under the FOIA?
Paragraph (a) is amended to reflect the addition of two appendices
with information on where to file FOIA requests and appeals for each
FHFA component (FHFA-Headquarters and FHFA-OIG).
Section 1202.7 How will FHFA respond to my FOIA request?
Paragraph (b) is amended to include a standard for how FHFA will
determine the cut-off date for FOIA searches. Also, as required by the
Act, paragraph (g)(2) is amended to make available FHFA's FOIA Public
Liaison whenever a request is placed in the complex track. Lastly,
paragraph (g)(3) is amended to add an explanation on how, why and when
FHFA will aggregate a request.
Section 1202.9 How do I appeal a response denying my FOIA request?
As required by the Act, paragraph (b) is amended to extend the time
to file an administrative appeal to 90 days after an adverse
determination. Paragraph (g) is also amended to include a requirement
that FHFA notify requesters of the availability of assistance from
FHFA's FOIA Public Liaison and the Office of Government Information
Services when providing requesters with a response to their requests.
Section 1202.11 What will it cost to get the records I requested?
Paragraph (c) is amended to update FHFA's fee schedule.
Specifically, a detailed formula on how FHFA's fee schedule is
calculated has been added. Going forward fees will be based on this
formula and will be published and updated, as required, on FHFA's Web
site. Also, as required by the Act, paragraph (j), which discusses
[[Page 13745]]
restrictions on charging fees when the FOIA's time limits are not met,
is amended to reflect changes made by the Act. These changes reflect
that agencies may not charge search fees (or duplication fees for
representatives of the news media and educational/non-commercial
scientific institution requesters) when the agency fails to comply with
the FOIA's time limits. The restriction on charging fees is excused and
the agency may charge fees as usual when it satisfies one of three
exceptions as detailed at 5 U.S.C. 552(a)(4)(A)(vii)(II).
Appendices to Part 1202
These appendices are new and have been added to describe each FHFA
component. Each appendix provides specific information regarding that
component to notify the public where to submit a FOIA request for
records held or maintained at each component and where to file an
appeal.
V. Regulatory Impacts
Paperwork Reduction Act
This interim final rule does not contain any information collection
requirement that requires the approval of OMB under the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.).
Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires that
a regulation that has a significant economic impact on a substantial
number of small entities, small businesses, or small organizations must
include an initial regulatory flexibility analysis describing the
regulation's impact on small entities. Such an analysis need not be
undertaken if the agency has certified that the regulation does not
have a significant economic impact on a substantial number of small
entities (5 U.S.C. 605(b)). FHFA has considered the impact of this
interim final rule under the Regulatory Flexibility Act. FHFA certifies
that the regulation is not likely to have a significant economic impact
on a substantial number of small business entities because the
regulation is applicable only to the internal operations and legal
obligations of FHFA.
List of Subjects in 12 CFR Part 1202
Appeals, Confidential commercial information, Disclosure,
Exemptions, Fees, Final action, Freedom of Information Act, Judicial
review, Records, Requests.
Authority and Issuance
Accordingly, for the reasons stated in the Preamble, FHFA is
revising part 1202 of Chapter XII of title 12 of the Code of Federal
Regulations to read as follows:
PART 1202--FREEDOM OF INFORMATION ACT
Sec.
1202.1 Why did FHFA issue this part?
1202.2 What do the terms in this part mean?
1202.3 What information can I obtain through the FOIA?
1202.4 What information is exempt from disclosure?
1202.5 How do I request information from FHFA under the FOIA?
1202.6 What if my request does not have all the information FHFA
requires?
1202.7 How will FHFA respond to my FOIA request?
1202.8 If the requested records contain confidential commercial
information, what procedures will FHFA follow?
1202.9 How do I appeal a response denying my FOIA request?
1202.10 Will FHFA expedite my request or appeal?
1202.11 What will it cost to get the records I requested?
1202.12 Is there anything else I need to know about FOIA procedures?
Appendix A to Part 1202--FHFA Headquarters
Appendix B to Part 1202--FHFA Office of Inspector General
Authority: Pub. L. 110-289, 122 Stat. 2654; 5 U.S.C. 301, 552;
12 U.S.C. 4526; E.O. 12600, 52 FR 23781, 3 CFR, 1987 Comp., p. 235;
E.O. 13392, 70 FR 75373-75377, 3 CFR, 2006 Comp., p. 216-200.
Sec. 1202.1 Why did FHFA issue this part?
The Federal Housing Finance Agency (FHFA) issued this regulation to
comply with the Freedom of Information Act (FOIA) (5 U.S.C. 552).
(a) The Freedom of Information Act (FOIA) (5 U.S.C. 552), is a
Federal law that requires the Federal Government to disclose certain
Federal Government records to the public.
(b) This part explains the rules that the FHFA will follow when
processing and responding to requests for records under the FOIA. It
also explains what you must do to request records from FHFA under the
FOIA. You should read this part together with the FOIA, which explains
in more detail your rights and the records FHFA may release to you.
(c) If you want to request information about yourself that is
contained in a system of records maintained by FHFA, you may do so
under the Privacy Act of 1974, as amended (5 U.S.C. 552a). This is
considered a first-party or Privacy Act request under the Privacy Act,
and you must file your request following FHFA's Privacy Act regulation
at part 1204 of this title. If you file a request for information about
yourself, FHFA will process your request under both the FOIA and
Privacy Act in order to give you the greatest degree of access to any
responsive material.
(d) Notwithstanding the FOIA and this part, FHFA may routinely
publish or disclose to the public information without following these
procedures.
Sec. 1202.2 What do the terms in this part mean?
Some of the terms you need to understand while reading this
regulation are--
Aggregating means combing multiple requests for documents that
could reasonably have been the subject of a single request and which
occur within a 30-day period, by a single requester or by a group of
requesters acting in concert that would otherwise involve unusual
circumstances.
Appeals Officer or FOIA Appeals Officer means a person designated
by FHFA who processes appeals of denied FOIA requests for FHFA records.
Chief FOIA Officer means the designated high-level official within
FHFA (FHFA-OIG does not have a separate Chief FOIA Officer) who has
overall responsibility for the agency's FOIA program and compliance
with the FOIA.
Confidential commercial information means records provided to the
Federal Government by a submitter that contain material exempt from
release under Exemption 4 of the FOIA, 5 U.S.C. 552(b)(4), because
disclosure could reasonably be expected to cause substantial
competitive harm.
Days, unless stated as ``calendar days,'' are working days and do
not include Saturdays, Sundays, and Federal holidays. If the last day
of any period prescribed herein falls on a Saturday, Sunday, or Federal
holiday, the last day of the period will be the next working day that
is not a Saturday, Sunday, or Federal holiday.
Discretionary release means disclosure of records or information
that would otherwise be exempt from disclosure under the FOIA.
Direct costs means the expenses, including contract services and
retrieving documents from the National Archives and Records
Administration, incurred by FHFA, in searching for, reviewing and/or
duplicating records to respond to a request for information. In the
case of a commercial use request, the term also means those
expenditures FHFA actually incurs in reviewing records to respond to
the request. Direct costs include the cost of the time of the
[[Page 13746]]
employee performing the work, the cost of any computer searches, and
the cost of operating duplication equipment. Direct costs do not
include overhead expenses such as costs of space, and heating or
lighting the facility in which the records are stored.
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.
Employee, for the purposes of this regulation, means any person
holding an appointment to a position of employment with FHFA, or any
person who formerly held such an appointment; any conservator appointed
by FHFA; or any agent or independent contractor acting on behalf of
FHFA, even though the appointment or contract has terminated.
Fee Waiver means the waiver or reduction of fees if the requester
can demonstrate that certain statutory standards are met.
FHFA means each separate component designated by the agency as a
primary organizational unit that is responsible for processing FOIA
requests, as specified in Appendices A and B to this part. FHFA has two
components: Federal Housing Finance Agency Headquarters (FHFA-HQ) and
FHFA Office of Inspector General (FHFA-OIG).
FOIA Officer, FOIA Official and Chief FOIA Officer are persons
designated by FHFA to process and respond to requests for FHFA records
under the FOIA.
FOIA Public Liaison is a person designated by FHFA who is
responsible for assisting requesters with their requests.
Proactive disclosure means records that are required by the FOIA to
be made publicly available, as well as additional records identified as
being of interest to the public that are appropriate for public
disclosure, and for posting and indexing such records.
Readily reproducible means that the requested record or records
exist in electronic format and can be downloaded or transferred intact
to a computer disk, tape, or another electronic medium with equipment
and software currently in use by FHFA.
Record means information or documentary material FHFA maintains in
any form or format, including electronic, which FHFA--
(1) Created or received under Federal law or in connection with the
transaction of public business;
(2) Preserved or determined is appropriate for preservation as
evidence of operations or activities of FHFA, or because of the value
of the information it contains; and
(3) Controls at the time it receives a request under the FOIA.
Regulated entities means the Federal Home Loan Mortgage
Corporation, the Federal National Mortgage Association, and the Federal
Home Loan Banks.
Requester means any person seeking access to FHFA records under the
FOIA. A requester falls into one of three categories for the purpose of
determining what fees may be charged. The three categories are--
(1) Commercial--A request that asks for information for a use or a
purpose that furthers a commercial, trade, or profit interest, which
can include furthering those interests through litigation. A decision
to place a requester in the commercial use category will be made on a
case-by-case basis based on the requester's intended use of the
information;
(2) Noncommercial--Three distinct subcategories--
(i) Educational institution--Any school that operates a program of
scholarly research. A requester in this fee category must show that the
request is authorized by, and is made under the auspices of, an
educational institution and that the records are not sought for a
commercial use, but rather are sought to further scholarly research. To
fall with this fee category, the request must serve the scholarly
research goals of the institution rather than an individual research
goal. A student who makes a request in furtherance of their coursework
or other school-sponsored activities and provides a copy of a course
syllabus or other reasonable documentation to indicate the research
purpose for the request would qualify as part of this fee category;
(ii) Noncommercial scientific institution--An institution that is
not operated on a ``commercial'' basis, as defined in this section 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. A request in this category must show
that the request is authorized by and is made under the auspices of a
qualifying institution and that the records are sought to further
scientific research and are not for a commercial use; or
(iii) Representative of the news media--Any person or entity that
publishes or broadcasts news to the public, actively gathers
information of potential interest to a segment of the public, uses its
editorial skills to turn the raw materials into distinct work, and
distributes that work to an audience. The term ``news'' means
information that is about current events or that would be of current
interest to the public; and
(3) Other--All requesters who do not fall within either of the
preceding two categories.
Requester Service Centers serve as the primary contacts for a
requester when the requester has questions, is seeking information
about how the FOIA works, or to check the status of their request.
Review means the examination of a record located in response to a
request in order 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 costs are properly charged even if a
record ultimately is not disclosed. Review time also includes time
spent both obtaining and considering any formal objection to disclosure
made by a confidential commercial information submitter under Sec.
1202.8(f) of this part.
Search means the process of looking for and retrieving records or
information responsive to a request, whether manually or by electronic
means. Search time includes a page-by-page or line-by-line
identification of information within a record and the reasonable
efforts expanded to locate and retrieve information from electronic
records.
Submitter means any person or entity providing confidential
information to the Federal Government. The term ``submitter'' includes,
but is not limited to corporations, state governments, and foreign
governments.
Unusual circumstances means the need to--
(1) Search for and collect records from agencies, offices,
facilities, or locations that are separate from the office processing
the request;
(2) Search for, collect, and appropriately examine a voluminous
amount of separate and distinct records in order to process a single
request; or
(3) Consult with another agency or among two or more components of
the FHFA that have a substantial interest in the determination of a
request.
Sec. 1202.3 What information can I obtain through the FOIA?
(a) General. You may request that FHFA disclose to you its records
on a subject of interest to you. The FOIA only requires the disclosure
of records. It does not require FHFA to create compilations of
information or to
[[Page 13747]]
provide narrative responses to questions or queries.
(b) Proactive disclosure. FHFA will make available for public
inspection and copying in its electronic reading room the following
records:
(1) Final opinions or orders made in the adjudication of cases;
(2) Statements of policy and interpretation adopted by FHFA that
are not published in the Federal Register;
(3) Administrative staff manuals and instructions to staff that
affect a member of the public and are not exempt from disclosure under
the FOIA;
(4) Copies of all records, regardless of form or format, that have
been released to any person under 5 U.S.C. 552(a)(3), that because of
the nature of their subject matter, FHFA determines have become or are
likely to become the subject of subsequent requests for substantially
the same records, or that have been requested 3 or more times; and
(5) A general index of the records referred to in paragraph (b)(4)
of this section.
(c) Reading rooms. FHFA maintains an electronic reading room. FHFA
will ensure that its reading room is reviewed and updated on an ongoing
basis. See the Appendices to this part for location and contact
information for FHFA-HQ and FHFA-OIG respective reading rooms.
Sec. 1202.4 What information is exempt from disclosure?
(a) General. Unless the Director of FHFA or his or her designee, or
any regulation or statute specifically authorizes disclosure, FHFA will
not release records if it reasonably foresees that disclosure would
harm an interest protected by one or more of the following--
(1) Specifically authorized under criteria established by an
Executive Order to be kept secret in the interest of national defense
or foreign policy, and in fact is properly classified pursuant to such
Executive Order;
(2) Related solely to FHFA's internal personnel rules and
practices;
(3) Specifically exempted from disclosure by statute (other than 5
U.S.C. 552a), 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;
(4) Trade secrets and commercial or financial information obtained
from a person and privileged or confidential;
(5) Contained in inter-agency or intra-agency memoranda or letters
that would not be available by law to a private party in litigation
with FHFA; provided that the deliberative process privilege shall not
apply to records created 25 years or more before the date on which the
records were requested.
(6) Contained in personnel, medical or similar files (including
financial files) the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy;
(7) Compiled for law enforcement purposes, but only to the extent
that the production of such law enforcement records or information--
(i) Could reasonably be expected to interfere with enforcement
proceedings;
(ii) Would deprive a person of a right to fair trial or an
impartial adjudication;
(iii) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy;
(iv) Could reasonably be expected to disclose the identity of a
confidential source, including a State, local, or foreign agency or
authority or any private institution or an entity that is regulated and
examined by FHFA that furnished information on a confidential basis,
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,
information furnished by a confidential source;
(v) Would disclose techniques and procedures for law enforcement
investigations or prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions if such disclosure could
reasonably be expected to risk circumvention of the law; or
(vi) Could reasonably be expected to endanger the life or physical
safety of any individual.
(8) Contained in or related to examination, operating, or condition
reports that are 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.
(b) Discretion to apply exemptions. Although records or parts of
records may be exempt from disclosure, FHFA may elect under the
circumstances of any particular request not to apply an exemption. This
election does not generally waive the exemption and it does not have
precedential effect. FHFA may still apply an exemption to any other
records or portions of records, regardless of when the request is
received.
(c) Redacted portion. If a requested record contains exempt
information and information that can be disclosed and the portions can
reasonably be segregated from each other, the disclosable portion of
the record will be released to the requester after FHFA deletes the
exempt portions. If it is technically feasible, FHFA will indicate the
amount of the information deleted at the place in the record where the
deletion is made and include a notation identifying the exemption that
was applied, unless including that indication would harm an interest
protected by an exemption.
(d) Exempt and redacted material. FHFA is not required to provide
an itemized index correlating each withheld document (or redacted
portion) with a specific exemption justification.
(e) Disclosure to Congress. This section does not allow FHFA to
withhold any information from, or to prohibit the disclosure of any
information to, Congress or any Congressional committee or
subcommittee.
Sec. 1202.5 How do I request information from FHFA under the FOIA?
(a) Where to send your request. FHFA has a decentralized system for
processing FOIA requests, made up of two components. To make a request
for FHFA records, the FOIA request must be in writing. A requester must
write directly to the FOIA office of the component that maintains the
records being sought. The Appendices to this part contain the
respective location and contact information for submitting a FOIA
request for each FHFA component.
(b) Provide your name and address. Your request must include your
full name, your address and, if different, the address at which the
component is to notify you about your request, a telephone number at
which you can be reached during normal business hours, and an
electronic mail address, if any.
(c) Request is under the FOIA. Your request must have a statement
identifying it as being made under the FOIA.
(d) Your FOIA status. Your request should include a statement
specifically identifying your status as a ``commercial use'' requester,
an ``educational institution'' requester, a ``non-commercial scientific
institution'' requester, or a ``representative of the news media'' for
the purposes of the fee provisions of the FOIA.
(e) Describing the records you request. You must describe the
records that you seek in enough detail to enable FHFA to
[[Page 13748]]
search for and locate the records with a reasonable amount of effort.
Your request must include as much specific information as possible that
you know about each record in your request, such as the date, title,
name, author, recipient, subject matter, file designations, or the
description of the record.
(f) How you want the records produced to you. Your request must
state in what form or format you want FHFA to furnish the releasable
records, e.g., hardcopy, electronic, etc.
(g) Agreement to pay fees. In your FOIA request you must agree to
pay all applicable fees charged under Sec. 1202.11 of this part, up to
$100.00, unless you seek a fee waiver. When making a request, you may
specify a higher or lower amount you will pay without consultation.
Your inability to pay a fee does not justify granting a fee waiver. The
fact that FHFA withholds all responsive documents or does not locate
any documents responsive to your request, does not mean that you are
not responsible for paying applicable fees. Your FOIA request will not
be considered received by FHFA until your fee agreement, in writing, is
received.
(h) Valid requests. FHFA will only process valid requests. A valid
request must meet all the requirements of this part.
Sec. 1202.6 What if my request does not have all the information
FHFA requires?
If FHFA determines that your request does not reasonably describe
the records you seek, is overly broad, unduly burdensome to process,
cannot yet be processed for reasons related to fees, or lacks required
information, you will be informed in writing why your request cannot be
processed. You will be given 15 calendar days to modify your request to
meet all requirements. This request for additional information tolls
the time period for FHFA to respond to your request under Sec. 1202.7
of this part.
(a) If you respond with all the necessary information, FHFA will
process this response as a new request and the time period for FHFA to
respond to your request will start from the date the additional
information is actually received by FHFA.
(b) If you do not respond or provide additional information within
the time allowed, or if the additional information you provide is still
incomplete or insufficient, FHFA will consider your request withdrawn
and will notify you that it will not be processed.
Sec. 1202.7 How will FHFA respond to my FOIA request?
(a) Authority to grant or deny requests. The FOIA Officer, FOIA
Official, and the Chief FOIA Officer are authorized to grant or deny
any request for FHFA records.
(b) Designated standard ``cut-off'' date for searches. In
determining which records are responsive to a request, FHFA will
include only records in its possession as of the date the FOIA request
is received.
(c) Multi-Track request processing. FHFA uses a multi-track system
to process FOIA requests. This means that a FOIA request is processed
based on its complexity. When FHFA receives your request, it is
assigned to a Standard Track or Complex Track. FHFA will notify you if
your request is assigned to the Complex Track as described in paragraph
(g) of this section.
(1) Standard Track. FHFA assigns FOIA requests that are routine and
require little or no search time, review, or analysis to the Standard
Track. FHFA responds to these requests in the order in which they are
received and normally responds within 20 days after receipt. If FHFA
determines while processing your Standard Track request, that it is
more appropriately a Complex Track request, it will be reassigned to
the Complex Track and you will be notified as described in paragraph
(g) of this section.
(2) Complex Track. (i) FHFA assigns requests that are non-routine
to the Complex Track. Complex Track requests are those to which FHFA
determines that the request and/or response may--
(A) Be voluminous;
(B) Involve two or more FHFA components or units;
(C) Require consultation with other agencies or entities;
(D) Require searches of archived documents;
(E) Seek confidential commercial information as described in Sec.
1202.8 of this part;
(F) Require an unusually high level of effort to search for, review
and/or duplicate records; or
(G) Cause undue disruption to the day-to-day activities of FHFA in
regulating and supervising the regulated entities or in carrying out
its statutory responsibilities.
(ii) FHFA will respond to Complex Track requests as soon as
reasonably possible, regardless of the date of receipt.
(d) Referrals to other agencies. If you submit a FOIA request that
seeks records originating in another Federal Government agency, FHFA
will refer your request or a portion of your request, as applicable, to
the other agency for response. FHFA will provide you notice of the
referral, what portion of the request was referred, and the name of the
other agency and relevant contact information.
(e) Responses to FOIA requests. FHFA will respond to your request
by granting or denying it in full, or by granting and denying it in
part. The response will be in writing. In determining which records are
responsive to your request, FHFA will conduct a search for records in
its possession as of the date of your request.
(1) Requests that are granted. If FHFA grants your request, the
response will include the requested records or details about how FHFA
will provide them to you and the amount of any fees charged.
(2) Requests that are denied, or granted and denied in part. If
FHFA denies your request in whole or in part because a requested record
does not exist or cannot be located, is not readily reproducible in the
form or format you sought, is not subject to the FOIA, or is exempt
from disclosure, the written response will include the requested
releasable records, if any, the amount of any fees charged, the reasons
for denial, and a notice and description of your right to file an
administrative appeal under Sec. 1202.9 of this part.
(f) Format and delivery of disclosed records. If FHFA grants, in
whole or in part, your request for disclosure of records under the
FOIA, the records may be made available to you in the form or format
you requested, if they are readily reproducible in that form or format.
The records will be sent to the address you provided by regular U.S.
mail or by electronic mail unless alternate arrangements are made by
mutual agreement, such as your agreement to pay express or expedited
delivery service fees, or to pick up records at FHFA offices.
(g) Extensions of time. (1) In unusual circumstances, FHFA may
extend the Standard Track time limit in paragraph (c)(1) of this
section for no more than 10 days and notify you of--
(i) The reason for the extension; and
(ii) The date on which the determination is expected.
(2) For requests in the Complex Track, FHFA will make available its
FOIA Public Liaison or other FOIA contact to assist you in modifying or
reformulating your request so that it may be processed on the Standard
Track. If the request cannot be modified or reformulated to permit
processing on the Standard Track, FHFA will notify you regarding an
alternative time period for processing the request.
[[Page 13749]]
(3) For the purpose of satisfying unusual circumstances under the
FOIA, FHFA may aggregate requests in cases where it reasonably appears
that multiple requests, submitted either by a requester or by a group
of requesters acting in concert, constitute a single request that would
otherwise involve unusual circumstances. FHFA will not aggregate
multiple requests that involve unrelated matters.
Sec. 1202.8 If the requested records contain confidential commercial
information, what procedures will FHFA follow?
(a) General. FHFA will not disclose confidential commercial
information in response to your FOIA request except as described in
this section.
(b) Designation of confidential commercial information. Submitters
of commercial information must use good-faith efforts to designate, by
appropriate markings or written request, either at the time of
submission or at a reasonable time thereafter, those portions of the
information they deem to be protected under 5 U.S.C. 552(b)(4) and
Sec. 1202.4(a)(4) of this part. Any such designation will expire 10
years after the records are submitted to the Federal Government, unless
the submitter requests, and provides reasonable justification for a
designation period of longer duration.
(c) Pre-Disclosure Notification. Except as provided in paragraph
(e) of this section, if your FOIA request encompasses confidential
commercial information, FHFA will, prior to disclosure of the
information and to the extent permitted by law, provide prompt written
notice to a submitter that confidential commercial information was
requested when--
(1) The submitter has in good faith designated the information as
confidential commercial information protected from disclosure under 5
U.S.C. 552(b)(4) and Sec. 1202.4(a)(4) of this part; or
(2) FHFA has reason to believe that the request seeks confidential
commercial information, the disclosure of which may result in
substantial competitive harm to the submitter.
(d) Content of Pre-Disclosure Notification. When FHFA sends a Pre-
Disclosure Notification to a submitter, it will contain--
(1) A description of the confidential commercial information
requested or copies of the records or portions thereof containing the
confidential business information; and
(2) An opportunity to object to disclosure within 10 days or such
other time period that FHFA may allow by providing to FHFA a detailed
written statement demonstrating all reasons the submitter opposes
disclosure.
(e) Exceptions to Pre-Disclosure Notification. FHFA is not required
to send a Pre-Disclosure Notification if--
(1) FHFA determines that information should not be disclosed;
(2) The information has been published lawfully or has been made
officially available to the public;
(3) Disclosure of the information is required by law, other than
the FOIA;
(4) The information requested is not designated by the submitter as
confidential commercial information pursuant to this section; or
(5) The submitter's designation, under paragraph (b) of this
section, appears on its face to be frivolous; except that FHFA will
provide the submitter with written notice of any final decision to
disclose the designated confidential commercial information within a
reasonable number of days prior to a specified disclosure date.
(f) Submitter's objection to disclosure. A submitter may object to
disclosure within 10 days after the date of the Pre-Disclosure
Notification, or such other time period that FHFA may allow, by
delivering to FHFA a written statement demonstrating all grounds on
which it opposes disclosure, and all reasons supporting its contention
that the information should not be disclosed. The submitter's objection
must contain a certification by the submitter, or an officer or
authorized representative of the submitter, that the grounds and
reasons presented are true and correct to the best of the submitter's
knowledge. The submitter's objection may itself be subject to
disclosure under the FOIA.
(g) Notice of Intent to disclose information. FHFA will carefully
consider all grounds and reasons provided by a submitter objecting to
disclosure. If FHFA decides to disclose the information over the
submitter's objection, the submitter will be provided with a written
Notice of Intent to disclose at least 10 days before the date of
disclosure. The written Notice of Intent will contain--
(1) A statement of the reasons why the information will be
disclosed;
(2) A description of the information to be disclosed; and
(3) A specific disclosure date.
(h) Notice to requester. FHFA will give a requester whose request
encompasses confidential commercial information--
(1) A written notice that the request encompasses confidential
commercial information that may be exempt from disclosure under 5
U.S.C. 552(b)(4) and Sec. 1202.4(a)(4) of this part and that the
submitter of the information has been given a Pre-Disclosure
Notification with the opportunity to comment on the proposed disclosure
of the information; and
(2) A written notice that a Notice of Intent to disclose has been
provided to the submitter, and that the submitter has 10 days, or such
other time period that FHFA may allow, to respond.
(i) Notice of FOIA lawsuit. FHFA will promptly notify the submitter
whenever a requester files suit seeking to compel disclosure of the
submitter's confidential commercial information. FHFA will promptly
notify the requester whenever a submitter files suit seeking to prevent
disclosure of information.
Sec. 1202.9 How do I appeal a response denying my FOIA request?
(a) Right of appeal. If FHFA denied your request in whole or in
part, you may appeal the denial by writing directly to the appropriate
FHFA component specified in the Appendices to this part.
(b) Timing, form, content, and receipt of an appeal. Your written
appeal must be postmarked or submitted within 90 calendar days of the
date of the decision by FHFA denying, in whole or in part, your
request. Your appeal must include a copy of the initial request, a copy
of the letter denying the request in whole or in part, and a statement
of the circumstances, reasons, or arguments you believe support
disclosure of the requested record(s). FHFA will not consider an
improperly addressed appeal to have been received for the purposes of
the 20-day time period of paragraph (d) of this section until it is
actually received by the correct FHFA component.
(c) Extensions of time to appeal. If you need more time to file
your appeal, you may request, in writing, an extension of time of no
more than 10 calendar days in which to file your appeal, but only if
your request is made within the original 90-calendar day time period
for filing the appeal. Granting such an extension is in the sole
discretion of the designated component Appeals Officer.
(d) Final action on appeal. FHFA's determination on your appeal
will be in writing, signed by the designated component Appeals Officer,
and sent to you within 20 days after the appeal is received, or by the
last day of the last extension under paragraph (e) of this section. The
determination of an appeal is the final action of FHFA on a FOIA
request. A determination may--
(1) Affirm, in whole or in part, the initial denial of the request
and may include a brief statement of the reason
[[Page 13750]]
or reasons for the decision, including each FOIA exemption relied upon;
(2) Reverse, in whole or in part, the denial of a request in whole
or in part, and require the request to be processed promptly in
accordance with the decision; or
(3) Remand a request to FHFA, as appropriate, for re-processing.
(e) Notice of delayed determinations on appeal. If FHFA cannot send
a final determination on your appeal within the 20-day time limit, the
designated component Appeals Officer will continue to process the
appeal and upon expiration of the time limit, will inform you of the
reason(s) for the delay and the date on which a determination may be
expected. In this notice of delay, the appropriate FHFA component
Appeals Officer may request that you forebear seeking judicial review
until a final determination is made.
(f) Judicial review. If the denial of your request for records is
upheld in whole or in part, or if a determination on your appeal has
not been sent at the end of the 20-day period in paragraph (d) of this
section, or the last extension thereof, you may seek judicial review
under 5 U.S.C. 552(a)(4). Before seeking review by a court of FHFA's
adverse determination, a requester generally must first submit a timely
administrative appeal.
(g) Additional resource. To aid the requester, the FOIA Public
Liaison is available and will assist in the resolution of any disputes.
Also, the National Archives and Records Administration (NARA), Office
of Government Information Services (OGIS) offers non-compulsory, non-
binding mediation services to resolve FOIA disputes. If you need
information regarding the OGIS and/or the services it offers, please
contact OGIS directly at Office of Government Information Services,
National Archives and Records Administration, 8601 Adelphi Road-OGIS,
College Park, MD 20740-6001; email: ogis@nara.gov; phone: (202) 741-
5770; toll-free: 1-(877) 684-6448; or facsimile at (202) 741-5769. This
information is provided as a public service only. By providing this
information, FHFA does not commit to refer disputes to OGIS, or to
defer to OGIS' mediation decisions in particular cases.
Sec. 1202.10 Will FHFA expedite my request or appeal?
(a) Request for expedited processing. You may request, in writing,
expedited processing of an initial request or of an appeal. FHFA may
grant expedited processing, and give your request or appeal priority if
your request for expedited processing demonstrates a compelling need by
establishing one or more of the following--
(1) Circumstances in which the lack of expedited treatment could
reasonably be expected to pose an imminent threat to the life or
physical safety of an individual;
(2) An urgency to inform the public about an actual or alleged
Federal Government activity if you are a person primarily engaged in
disseminating information;
(3) The loss of substantial due process or rights;
(4) A matter of widespread and exceptional media interest in which
there exists possible questions about the Federal Government's
integrity, affecting public confidence; or
(5) Humanitarian need.
(b) Certification of compelling need. Your request for expedited
processing must include a statement certifying that the reason(s) you
present demonstrate a compelling need are true and correct to the best
of your knowledge.
(c) Determination on request. FHFA will notify you within 10 days
of receipt of your request whether expedited processing has been
granted. If a request for expedited treatment is granted, the request
will be given priority and will be processed as soon as practicable. If
a request for expedited processing is denied, any appeal of that
decision under Sec. 1202.9 of this part will be acted on
expeditiously.
Sec. 1202.11 What will it cost to get the records I requested?
(a) Assessment of fees, generally. FHFA will assess you for fees
covering the direct costs of responding to your request and costs for
duplicating records, except as otherwise provided in a statute with
respect to the determination of fees that may be assessed for
disclosure, search time, or review of particular records.
(b) Assessment of fees, categories of requesters. The fees that
FHFA may assess vary depending on the type of request or the type of
requester you are--
(1) Commercial use. If you request records for a commercial use,
the fees that FHFA may assess are limited to FHFA's operating costs
incurred for document search, review, and duplication.
(2) Educational institution, noncommercial scientific institution,
or representative of the news media. If you are not requesting records
for commercial use and you are an educational institution or a
noncommercial scientific institution, whose purpose is scholarly or
scientific research, or a representative of the news media, the fees
that may be assessed are limited to standard reasonable charges for
duplication in excess of 100 pages or an electronic equivalent of 100
pages.
(3) Other. If neither paragraph (b)(1) nor paragraph (b)(2) of this
section applies, the fees assessed are limited to the costs for
document searching in excess of two hours and duplication in excess of
100 pages, or an electronic equivalent of 100 pages.
(c) Fee schedule. FHFA will charge fees for processing requests
under the FOIA in accordance with the provisions of this section and
OMB guidelines (basic pay plus 16 percent). There are three different
groups of grades typically involved in processing FOIA requests:
Personnel in grades EL-6 to EL-9; personnel in grades EL-10 to EL-13;
and personnel EL-14 and above. FHFA's Web site, www.fhfa.gov, will
contain current rates for search and review fees for each group. The
rates will be updated as salaries change and will be determined by
using the formula in this regulation. The formula is the sum of the
mid-point of each grade divided by the number of grades in each
category divided by 2088 and then multiplied by 1.16.\1\ Fees for
searches of computerized records are based on the actual cost to FHFA.
For requests that require the retrieval of records stored by FHFA at a
Federal records center operated by the National Archives and Records
Administration, FHFA will charge additional costs in accordance with
the Transaction Billing Rate Schedule established by NARA.
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\1\ Example of the rate formula is as follows: For 2016, EL-6 to
EL-9 is [($55,769 + $63,554 + $71,816 + $81,152)/4][1/2088 hours per
year][1.16 OMB markup factor] = $37.82 per hour.
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(d) Notice of anticipated fees in excess of $100.00. When FHFA
determines or estimates that the fees chargeable to you will exceed
$100.00, you will be notified of the actual or estimated amount of fees
you will incur, unless you earlier indicated your willingness to pay
fees as high as those anticipated. When you are notified that the
actual or estimated fees exceed $100.00, your request will be tolled
until you agree to pay, in writing, the anticipated total fee.
(e) Advance payment of fees. FHFA may request that you pay
estimated fees or a deposit in advance of responding to your request.
If FHFA requests advance payment or a deposit, your request will not be
considered received by FHFA until the advance payment or deposit is
received. FHFA will request advance payment or a deposit if--
(1) The fees are likely to exceed $500.00. FHFA will notify you of
the
[[Page 13751]]
likely cost and obtain from you satisfactory assurance of full payment
if you have a history of prompt payment of FOIA fees to FHFA;
(2) You do not have a history of payment, or if the estimate of
fees exceeds $1,000.00, FHFA may require an advance payment of fees in
an amount up to the full estimated charge that will be incurred;
(3) You previously failed to pay a fee to FHFA in a timely fashion,
i.e., within 30 calendar days of the date of a billing, FHFA may
require you to make advance payment of the full amount of the fees
anticipated before processing a new request or finishing processing of
a pending request; or
(4) You have an outstanding balance due from a prior request. FHFA
may require you to pay the full amount owed plus any applicable
interest, as provided in paragraph (f) of this section, or demonstrate
that the fee owed has been paid, as well as payment of the full amount
of anticipated fees before processing your request.
(f) Interest. FHFA may charge you interest on an unpaid bill
starting on the 31st calendar day following the day on which the bill
was sent. Once a fee payment has been received by FHFA, even if not
processed, FHFA will stay the accrual of interest. Interest charges
will be assessed at the rate prescribed by 31 U.S.C. 3717 and will
accrue from the date of the billing.
(g) FHFA assistance to reduce costs. If FHFA notifies you of
estimated fees exceeding $100.00 or requests advance payment or a
deposit, you will have an opportunity to consult with FHFA FOIA staff
to modify or reformulate your request to meet your needs at a lower
cost.
(h) Fee waiver requests. You may request a fee waiver in accordance
with the FOIA and this regulation. Requests for a waiver of fees should
be made at the time you submit your FOIA request. FHFA may grant your
fee waiver request if disclosure of the information is in the public
interest because it is likely to contribute significantly to public
understanding of the operations or activities of the Federal Government
and is not primarily in the commercial interest of the requester. In
submitting a fee waiver request, you must address the following six
factors--
(1) Whether the subject of the requested records concerns the
operations or activities of the Federal Government;
(2) Whether the disclosure is likely to contribute to an
understanding of Federal Government operations or activities;
(3) Whether disclosure of the requested information will contribute
to public understanding;
(4) Whether the disclosure is likely to contribute significantly to
public understanding of Federal Government operations or activities;
(5) Whether the requester has a commercial interest that would be
furthered by the requested disclosure; and
(6) Whether the magnitude of the identified commercial interest of
the requester is sufficiently large, in comparison with the public
interest in disclosure, that disclosure is primarily in the commercial
interest of the requester.
(i) Fee Waiver determination. FHFA will notify you within 20 days
of receipt of your request whether the fee waiver has been granted. A
request for fee waiver that is denied may only be appealed when a final
decision has been made on the initial FOIA request.
(j) Restrictions on charging fees. If FHFA fails to comply with the
time limits in which to respond to a request, and if no unusual or
exceptional circumstances, as those terms are defined by the FOIA,
apply to the processing of the request, FHFA may not charge search
fees, or in the instance of requests from requesters described in
paragraph (b)(2) of this section, may not charge duplication fees. See
5 U.S.C. 552(a)(4)(A)(viii).
(k) The FOIA Public Liaison or other FOIA contact is available to
assist any requester in modifying or reformulating a request to meet
the requester's needs at a lower cost.
Sec. 1202.12 Is there anything else I need to know about FOIA
procedures?
This FOIA regulation does not and shall not be construed to create
any right or to entitle any person, as of right, to any service or to
the disclosure of any record to which such person is not entitled under
the FOIA. This regulation only provides procedures for requesting
records under the FOIA.
Appendix A to Part 1202--FHFA Headquarters
1. This Appendix applies to the Federal Housing Finance Agency's
Headquarters Office.
2. Reading room. FHFA Headquarters maintains an electronic
reading room. The electronic reading room is located at https://www.fhfa.gov/AboutUs/FOIAPrivacy/Pages/Reading-Room.aspx.
3. Where to send your request. You may make a request for FHFA
Headquarters records by writing directly to the FOIA Office through
electronic mail, U.S. mail, delivery service, or facsimile. The
electronic mail address is: foia@fhfa.gov. For U.S. mail or delivery
service, the mailing address is: FOIA Officer, Federal Housing
Finance Agency, 400 Seventh Street SW., Eighth Floor, Washington, DC
20219. The facsimile number is: (202) 649-1073. When submitting your
request, please mark electronic mail, letters, or facsimiles and the
subject line, envelope, or facsimile cover sheet with ``FOIA
Request.'' FHFA's ``Freedom of Information Act Reference Guide,''
which is available on FHFA's Web site, provides additional
information to assist you in making your request, https://www.fhfa.gov/AboutUs/FOIAPrivacy/Pages/FOIA-Reference-Guide.aspx.
4. Right of appeal. If FHFA Headquarters denied your request in
whole or in part, you may appeal the denial by writing directly to
the FOIA Appeals Officer through electronic mail, U.S. mail,
delivery service, or facsimile. The electronic mail address is:
foia@fhfa.gov. For U.S. mail or delivery service, the mailing
address is: FOIA Appeals Officer, Federal Housing Finance Agency,
400 Seventh Street SW., Eighth Floor, Washington, DC 20219. The
facsimile number is: (202) 649-1073. When submitting your appeal,
please mark electronic mail, letters, or facsimiles and the subject
line, envelope, or facsimile cover sheet with ``FOIA Appeal.''
FHFA's ``Freedom of Information Act Reference Guide,'' which is
available on FHFA's Web site, provides additional information to
assist you in making your appeal, https://www.fhfa.gov/AboutUs/FOIAPrivacy/Pages/FOIA-Reference-Guide.aspx.
Appendix B to Part 1202--FHFA Office of Inspector General
This Appendix applies to the Federal Housing Finance Agency's
Office of Inspector General (FHFA-OIG).
1. Contact information for FOIA Officer. You may contact the
FOIA Officer at (202) 730-0399 or by email at FOIA@fhfaoig.gov.
Hearing impaired users may utilize the Federal Relay Service
(external link) by dialing 1(800) 877-8339. A Communications
Assistant will dial the requested number and relay the conversation
between a standard (voice) telephone user and text telephone (TTY).
2. Information about the FHFA-OIG FOIA process. You may find
information about the FHFA-OIG FOIA process at https://www.fhfaoig.gov/FOIA.
3. Reading room. FHFA-OIG maintains an electronic reading room.
The electronic reading room is located at https://www.fhfaoig.gov/FOIA/ReadingRoom.
4. Where to send your request. You may make a request for FHFA-
OIG records by writing directly to the FOIA Office through
electronic mail, U.S. mail, delivery service, or facsimile. The
electronic mail address is: FOIA@fhfaoig.gov. For U.S. mail or
delivery service, the mailing address is: Federal Housing Finance
Agency Office of Inspector General, 400 Seventh Street SW., Third
Floor, Washington, DC 20219, ATTN: Office of Inspector General--FOIA
Officer. The facsimile number is: (202) 318-8602. When submitting
your request, please mark electronic mail, letters, or facsimiles
and the subject line, envelope, or facsimile cover sheet with ``FOIA
Request.''
[[Page 13752]]
5. Right of appeal. If FHFA-OIG denies your request in whole or
in part, you may appeal the denial by writing directly to the FOIA
Officer through electronic mail, U.S. mail, delivery service, or
facsimile. The electronic mail address is: FOIA@fhfaoig.gov. For
U.S. mail or delivery service, the mailing address is: Federal
Housing Finance Agency, Office of Inspector General, 400 Seventh
Street SW., Third Floor, Washington, DC 20219, ATTN: Office of
Inspector General--FOIA Officer. The facsimile number is: (202) 318-
8602. When submitting your appeal, please mark electronic mail,
letters, or facsimiles and the subject line, envelope, or facsimile
cover sheet with ``FOIA Appeal.''
Dated: March 7, 2017.
Melvin L. Watt,
Director, Federal Housing Finance Agency.
[FR Doc. 2017-04910 Filed 3-14-17; 8:45 am]
BILLING CODE 8070-01-P