United States Agency for International Development: Regulation To Implement the Freedom of Information Act

As Enacted ( Federal Register)

Cited authorities 5

Cited in

Published date	09 June 2021
Citation	86 FR 30558
Record Number	2021-11381
Section	Proposed rules
Court	Agency For International Development

30558

Federal Register / Vol. 86, No. 109 / Wednesday, June 9, 2021 / Proposed Rules

(ii) The Federal Deposit Insurance

Corporation (FDIC);

(iii) The National Credit Union

Administration (NCUA);

(iv) The Office of the Comptroller of

the Currency (OCC);

(v) The Federal Housing Finance

Board regulating lenders within the

Home Loan Bank (FHLB) system.

(9) If lenders cannot meet the

requirements under (a)(1) through (8),

they may demonstrate its ability to

originate and underwrite loans by

submitting appropriate documentation,

examples of which include, but are not

limited to: * * *

(10) A lender that proposes to service

loans that cannot meet (a)(1) through (8)

must demonstrate its ability by

submitting appropriate documentation,

examples of which include but are not

limited to: * * *

(b) Financial Requirements for Non-

Supervised Lenders. All lenders not

covered in paragraph (8) of this section,

must have:

(i) A minimum adjusted net worth of

$250,000, or $50,000 in working capital

plus one percent of the total volume in

excess of $25 million in guaranteed

loans originated, serviced or purchased

during the lender’s prior fiscal year, up

to a maximum required adjusted net

worth of $2.5 million, and

(ii) one or more lines of credit with a

minimum aggregate of one million

dollars.

* * * * *

requirements Lenders and their agents

must comply with the following

requirements:

(1) Keep up to date, and comply with,

all Agency regulations and handbooks,

including all amendments and revisions

of program requirements and policies.

Lenders must also comply with all other

applicable federal, state, and local laws,

rules, and requirements, including those

under the purview of the Consumer

Financial Protection Bureau, such as the

Real Estate Settlement Procedures Act

and the Truth in Lending Act. Lenders

who originate a minimal number loans,

as determined by the Agency, in a 24

month time frame may be required to

take updated training to ensure a

lender’s continued knowledge of the

program;

(2) Regularly check Rural

Development’s website for new

issuances related to the program;

(3) Underwrite loans according to

Rural Development regulations and

process and approve loans in

accordance with program instructions;

(4) Review loan applications for

accuracy and completeness;

(5) Ensure that applicant income

limits are not exceeded;

(6) Ensure that borrowers have

adequate loan repayment ability and

acceptable credit histories;

(7) Ensure that loss claims include

only supportable costs;

(8) Cooperate fully with Agency

reporting and monitoring requirements;

(9) Comply with limitations on loan

purposes, loan limitations, interest

rates, and loan terms;

(10) Inform Rural Development

immediately after the sale, transfer, or

change of servicers of any Agency

guaranteed loan;

(11) Maintain reasonable and prudent

business practices consistent with

generally accepted mortgage industry

standards, such as maintaining fidelity

bonding;

(12) Remain responsible for servicing

even if servicing has been contracted to

a third party;

(13) Use Rural Development, HUD,

Fannie Mae, or Freddie Mac forms,

unless otherwise approved by Rural

Development;

(14) Maintain eligibility under

paragraph (a) of this section;

(15) Notify Rural Development if there

are any material changes in organization

or practices;

(16) Be neither debarred nor

suspended from participation in Federal

programs, not debarred, suspended or

sanctioned under state licensing and

certification laws and regulations;

(17) Notify Rural Development in the

event of its bankruptcy or insolvency;

(18) Remain free from default and

delinquency on any debt owed to the

Federal government;

(19) Allow Rural Development or its

representative access to the lender’s

records, including, but not limited to,

records necessary for on-site and desk

reviews of the lender’s operation and

the operations of any of its agents to

verify compliance with Agency

regulations and guidelines;

(20) Maintain adequate operational

quality control and reporting procedures

to prevent fraud;

(21) Maintain complete loan files with

all required documentation that is

accessible by Agency upon request for

review;

(22) Execute a lender’s agreement

provided by Rural Development;

(23) Evidence that principal officers

must have a minimum of two years of

experience in originating or servicing

guaranteed mortgage loans; and

(24) Provide documentation as

required by the Agency to be reviewed

every two years for continued lender

participation.

* * * * *

§ 3555.105 [Amended]

■4. Amend § 3555.105 by removing

paragraphs (b)(4) and (5) and

renumbering paragraph (b)(6) as

appropriate.

■5. Amend § 3555.151 by adding

paragraph (i)(9) to read as follows:

§ 3555.151 Eligibility Requirements.

* * * * *

(i) * * *

(9) Applicants with delinquent child

support payments subject to collection

by administrative offset are ineligible

unless the payments are brought

current, the debt is paid in full, or

otherwise satisfied.

* * * * *

Chadwick Parker,

Acting Administrator, Rural Housing Service.

[FR Doc. 2021–11937 Filed 6–8–21; 8:45 am]

BILLING CODE 3410–XV–P

AGENCY FOR INTERNATIONAL

DEVELOPMENT

22 CFR Part 212

RIN 0412–AA97

United States Agency for International

Development: Regulation To

Implement the Freedom of Information

Act

AGENCY

: Agency for International

Development (USAID).

ACTION

: Proposed rule.

SUMMARY

: This regulation updates

certain procedures and standards

USAID follows in processing requests

for records under the Freedom of

Information Act (‘‘FOIA’’).

DATES

: Submit comments on or before

August 9, 2021.

ADDRESSES

: Address all comments for

this proposed rule to Alecia S. Sillah,

Supervisory FOIA Team Lead, Bureau

for Management, Office of Management

Services, Information Records Division,

U.S. Agency for International

Development, electronically at foia@

usaid.gov.

FOR FURTHER INFORMATION CONTACT

Christopher A. Colbow, Bureau for

Management, Office of Management

Services, Information Records Division,

U.S. Agency for International

Development, 1300 Pennsylvania

Avenue, USAID Annex, Room 2.4.0A,

Washington, DC 20523; tel. 202–916–

4661; foia@usaid.gov.

SUPPLEMENTARY INFORMATION

I. Background

This rulemaking proposes revisions to

22 CFR part 212, USAID’s regulations

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under the Freedom of Information Act

(FOIA) and the Privacy Act. The Agency

is revising its regulations to update

several procedural provisions, including

methods for submitting requests under

the FOIA, and initial appeals of denials

of requests, for records of the Office of

the USAID Inspector General (OIG). The

Inspector General Act of 1978, as

amended (5 U.S.C. App. 3) was enacted

to, ‘‘create independent and objective

units,’’ to perform investigative and

monitoring functions within Executive

Departments and Agencies of the

Federal Government, including USAID.

These revisions will further the OIG’s

independence and streamline the

processing of requests that seek OIG

records.

List of Subjects in 22 CFR Part 212

Freedom of information.

For the reasons stated in the

preamble, USAID proposes to revise 22

CFR part 212 to read as follows:

PART 212—PUBLIC INFORMATION

Subpart A—General Provisions

Sec.

212.1 Purpose and scope.

212.2 Policy.

212.3 Records available on the Agency’s

website.

Subpart B—Proactive Disclosures of

Agency Records

212.4 Materials available for public

inspection and copying.

Subpart C—Requirements for Making

Requests

212.5 How to make a request for records.

Subpart D—Responsibility for Responding

to Requests

212.6 Designation of authorized officials.

212.7 Processing of request.

Subpart E—Timing of Responses to

Requests

212.8 Time limits.

Subpart F—Responses to Requests

212.9 Responsibility for responding to

requests.

Subpart G—Confidential Commercial

Information

212.10 Policy and procedures.

Subpart H—Administrative Appeals

212.11 Appeal procedures.

212.12 Mediation and dispute services.

Subpart I—Preservation of Records

212.13 Policy and procedures.

Subpart J—Fees

212.14 Fees to be charged—general.

212.15 Fees to be charged—requester

categories.

Subpart K—FOIA Definitions

212.16 Glossary.

Subpart L—Other Rights and Services

212.17 Rights and services qualified by the

FOIA statute.

Subpart M—Privacy Act Provisions

212.18 Purpose and scope.

212.19 Privacy definitions.

212.20 Request for access to records.

212.21 Request to amend or correct records.

212.22 Request for accounting of record

disclosures.

212.23 Appeals from denials of PA

amendment requests.

212.24 Specific exemptions.

Authority: Pub. L. 114–185, 130 Stat. 538.

Subpart A—General Provisions

§ 212.1 Purpose and scope.

This subpart contains the rules that

the United States Agency for

International Development (hereinafter

‘‘USAID’’ or ‘‘the Agency’’) follows in

processing requests for records under

the Freedom of Information Act

(‘‘FOIA’’), 5 U.S.C. 552. The rules in this

subpart should be read in conjunction

with the text of the FOIA. Requests

made by individuals for records about

themselves under the Privacy Act of

1974, are processed under subpart O.

Definitions of FOIA terms are referenced

in subpart L.

§ 212.2 Policy.

(a) General policy. As a general

policy, USAID follows a balanced

approach in administering the FOIA.

USAID recognizes the right of the public

to access information in the possession

of the Agency. USAID also recognizes

the legitimate interests of organizations

or persons who have submitted records

to the Agency or who would otherwise

be affected by release of records. USAID

has no discretion to release certain

records, such as trade secrets and

confidential commercial information,

prohibited from release by law. USAID’s

policy calls for the fullest responsible

disclosure consistent with those

requirements of administrative necessity

and confidentiality which are

recognized under the FOIA.

(b) Definitions. For purposes of

subparts A through K, M, and O of this

part, record means information

regardless of its physical form or

characteristics including information

created, stored, and retrievable by

electronic means that is created or

obtained by the Agency and under the

control of the Agency at the time of the

request, including information

maintained for the Agency by an entity

under Government contract for records

management purposes. It does not

include records that are not already in

existence and that would have to be

created specifically to respond to a

request. Information available in

electronic form shall be searched and

compiled in response to a request unless

such search and compilation would

significantly interfere with the operation

of the Agency’s automated information

systems.

§ 212.3 Records available on the Agency’s

website.

Information that is required to be

published in the Federal Register under

5 U.S.C. 552(a)(1) is regularly updated

by the Agency and found on its public

website: https://www.usaid.gov/foia-

requests, or for records of the Office of

the USAID Inspector General (OIG), on

the FOIA page of OIG’s public website:

https://oig.usaid.gov/FOIA. Records

required by FOIA to be made available

for public inspection in an electronic

format under 5 U.S.C. 552(a)(2) are

available on the Agency’s and OIG’s

public websites.

Subpart B—Proactive Disclosures of

Agency Records

§ 212.4 Materials available for public

inspection and copying.

In accordance with this subpart, the

Agency shall make the following

materials available for public inspection

in an electronic format:

(a) Operational policy in USAID’s

Automated Directives System (ADS)

which have been adopted by the Agency

and are not published in the Federal

(b) Administrative staff manuals and

instructions to staff that affect any

member of the public; and

form or format, which have been

released pursuant to a FOIA request,

and which have been requested three (3)

or more times, or because of the nature

of their subject matter, have become or

are likely to become the subject of

subsequent requests for substantially the

same records. The Agency shall decide

on a case by case basis whether records

fall into this category, based on the

following factors:

(1) Previous experience with similar

records;

(2) The particular characteristics of

the records involved, including their

nature and the type of information

contained in them; and

(3) The identity and number of

requesters and whether there is

widespread media, historical, academic,

or commercial interest in the records.

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Subpart C—Requirements for Making

Requests

§ 212.5 How to make a request for records.

(a) General information. USAID has a

de-centralized system for responding to

FOIA requests for all USAID records.

The USAID FOIA operations are broken

down into two component FOIA

Offices: The Bureau for Management,

Office of Management Services,

Information and Records Division (M/

MS/IRD) and the Office of the USAID

Inspector General (OIG).

(b) The Bureau for Management,

Office of Management Services,

Information and Records Division (M/

MS/IRD) is the central processing point

for requests for USAID records

contained in Washington, DC and its

overseas missions. All FOIA requests for

USAID records (other than OIG records)

must be submitted to this office. To

make a request for the Agency’s records,

a requester may send request via one of

the following mediums:

(1) By Email: foia@usaid.gov. Please

include your mailing address, email

address, phone number, and fee

category with your request. While our

FOIA Specialists are happy to answer

questions about the FOIA Program and/

or help you formulate your request over

the phone, please be advised that FOIA

requests cannot be accepted by phone.

(2) Online Portal: To submit your

request online, please click the

subsequent link: https://

foiarequest.usaid.gov/index.aspx.

(3) By U.S. Postal Mail: United States

Agency for International Development

Bureau for Management, Office of

Management Services Services,

Information and Records Division,

USAID Annex, Room 2.4.0A,

Washington, DC 20523, (202) 916–4661.

(4) By Fax: (202) 916–4990.

has received delegated authority from

USAID’s Administrator to process

requests and issue determinations with

respect to requests, and appeals of

initial denials of requests, for the OIG’s

records. To make a request for OIG

records, a requester may send a request

via one of the following mediums:

(1) By email: foiaoig@usaid.gov.

Please include your mailing address,

email address, phone number, and fee

category with your request.

(2) Online Portal: Please submit a

request online via the OIG website at

https://oig.usaid.gov/FOIA.

(3) By U.S. Postal Mail: United States

Agency of International Development,

Office of Inspector General, Office of

General Counsel, 1300 Pennsylvania

Avenue NW, Suite 6.06–D, Washington,

DC 20523, (202) 712–1150.

(d) Third party requests. Where a

request for records pertains to a third

party, a requester may receive greater

access by submitting either a notarized

consent form signed by the person who

is the subject of the records, or a signed

declaration by that person, made under

penalty of perjury pursuant to 28 U.S.C.

1746, authorizing disclosure of the

records to the requester, or by

submitting proof that the individual is

deceased (e.g., a copy of a death

certificate or an obituary). In addition,

requesters may present an argument that

there exists an overriding public interest

in disclosure of the information related

to official misconduct by producing

evidence that alleged Government

impropriety occurred. As an exercise of

administrative discretion, the

component’s FOIA office can require a

requester to supply additional

information if necessary in order to

verify that a particular individual has

consented to disclosure.

(e) Description of records sought.

Requesters must describe the records

sought in sufficient detail to enable the

component’s FOIA office personnel to

locate them with a reasonable amount of

effort. To the extent possible, requesters

should include specific information that

may assist in identifying the requested

records, such as the date, title or name,

author, recipient, subject matter of the

record, case number, file designation, or

reference number. In general, requesters

should include as much detail as

possible about the specific records or

the types of records that they are

seeking. Before submitting their

requests, requesters may contact the

component FOIA office’s FOIA contact

or FOIA Public Liaison to discuss the

records they are seeking and to receive

assistance in describing the records. If,

after receiving a request, the

component’s FOIA office determines

that it does not reasonably describe the

records sought, the component’s FOIA

office shall inform the requester what

additional information is needed or why

the request is otherwise insufficient.

Requesters who are attempting to

reformulate or modify such a request

may discuss their request with the

component FOIA office’s designated

FOIA Specialist or its FOIA Public

Liaison, each of whom is available to

assist the requester in reasonably

describing the records sought. If a

request does not reasonably describe the

records sought, the component FOIA

office’s response to the request may be

delayed or denied.

Subpart D—Responsibility for

Responding to Requests

§ 212.6 Designation of authorized officials.

(a) The Assistant Administrator for

the Bureau for Management (M) serves

as the USAID Chief FOIA Officer. The

Chief FOIA Officer has overall

responsibility for USAID compliance

with the FOIA. The Chief FOIA Officer

provides high level oversight and

support to USAID’s FOIA programs, and

recommends adjustments to agency

practices, personnel, and funding as

may be necessary to improve FOIA

administration, including through an

annual Chief FOIA Officers Report

submitted to the U.S. Department of

Justice. The Chief FOIA Officer is

responsible for offering training to

agency staff regarding their FOIA

responsibilities; serves as the primary

liaison with the Office of Government

Information Services and the Office of

Information Policy; and reviews, not

less frequently than annually, all

aspects of the Agency’s administration

of the FOIA to ensure compliance with

the FOIA’s requirements.

(b) The Bureau for Management,

Office of Management Services,

Information and Records Division (M/

MS/IRD) is the component FOIA office

that receives, tracks, and processes all of

USAID’s FOIA requests, other than

requests for OIG records, to ensure

transparency within the Agency.

Management, Office of Management

Services (M/MS/OD) serves as the

USAID FOIA Appeals Officer for

requests for all USAID records other

than OIG records. The FOIA Appeals

Officer is responsible for receiving and

acting upon appeals from requesters

whose initial FOIA requests for USAID

records (other than OIG records) have

been denied, in whole or in part.

(d) The Deputy Inspector General

serves as the USAID OIG FOIA Appeals

Officer for appeals of requests for OIG

records.

(e) The Chief, Bureau for

Management, Office of Management

Services, Information and Records

Division (M/MS/IRD) serves as USAID’s

FOIA Officer and USAID’s FOIA Public

Liaison. The FOIA Officer is responsible

for program direction, original denials,

and policy decisions required for

effective implementation of USAID’s

FOIA program. The FOIA Public Liaison

serves as a supervisory official to whom

a FOIA requester can raise concerns

about the services received, following

an initial response from the FOIA staff.

In addition, the FOIA Public Liaison

assists, as appropriate, in reducing

delays, increasing transparency and

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understanding of the status of requests,

and resolving disputes.

(f) The General Counsel to the

Inspector General serves as the OIG’s

FOIA Officer and FOIA Public Liaison.

(g) The Supervisory FOIA Team Lead

is the Principal Operations Officer

within the component’s FOIA office for

the processing of FOIA requests and

release determinations.

(h) The FOIA Specialist also known as

the Government Information Specialist

(GIS) is responsible for processing

requests and preparing records for

release when such releases are

authorized by the FOIA. They do not

have the authority to make denials,

including ‘‘no records’’ responses.

(i) The General Counsel (GC), FOIA

Backstop Attorney Advisor has

responsibility for providing legal advice

on all USAID matters regarding or

resulting from the FOIA (other than OIG

matters). Upon request, GC advises M/

MS/IRD on release and denial decisions,

and apprises the FOIA Office of all

significant developments with respect to

the FOIA.

(j) OIG attorneys have responsibility

for providing legal advice on all

requests and appeals related to OIG

records.

(k) Each Attorney Advisor designated

to provide legal advice to USAID

Bureaus/Independent Offices (B/IOs) is

responsible for providing, at M/MS/

IRD’s request, legal advice on FOIA

requests assigned to those B/IOs.

(l) The designated FOIA Liaison

Officer (FLO) in each USAID Bureau

and Office is responsible for tasking and

facilitating the collection of responsive

records and monitoring the production

of records to M/MS/IRD.

§ 212.7 Processing of request.

(a) In general. In determining which

records are responsive to a request, the

component’s FOIA office ordinarily will

include only records in its possession as

of the date that it begins its search. If

any other date is used, the component’s

FOIA office shall inform the requester of

that date.

(b) Authority to grant or deny

requests. The FOIA Officer is authorized

to grant or to deny any requests for

records that are maintained by the

Agency (other than OIG records). The

OIG FOIA Officer is authorized to grant

or to deny any requests for records

maintained by OIG.

coordination. When reviewing records

located by the Agency in response to a

request, the component’s FOIA office

shall determine whether another agency

of the Federal Government is better able

to determine whether the record is

exempt from disclosure under the FOIA.

All consultations and referrals received

by the Agency will be handled

according to the date that the first

agency received the perfected FOIA

request. As to any such record, the

component’s FOIA office shall proceed

in one of the following ways:

(1) Consultation. When records

originated with USAID, but contain

within them information of substantial

interest to another agency, or other

Federal Government office, the

component’s FOIA office should consult

with that other agency prior to making

a release determination.

(2) Referral. (i) When a component’s

FOIA office believes that a different

Department, agency, or component, is

best able to determine whether to

disclose the record, the component’s

FOIA office will refer the responsibility

for responding to the request regarding

that record, as long as the referral is to

an agency that is subject to the FOIA.

Ordinarily, the agency that originated

the record will be presumed to be best

able to make the disclosure

determination. However, if the

component’s FOIA office and the

originating agency jointly agree that the

former is in the best position to respond

regarding the record, then the record

may be handled as a consultation.

(ii) Whenever the component’s FOIA

office refers any part of the

responsibility for responding to a

request to another agency, it shall

document the referral, maintain a copy

of the record that it refers, and notify the

requester of the referral and inform the

requester of the name(s) of the agency to

which the record was referred,

including that agency’s FOIA contact

information.

(iii) Re-routing of misdirected

requests. Where a component’s FOIA

office determines that a request was

misdirected within the agency, the

receiving component’s FOIA office must

route the request to the FOIA office of

the proper component within the

agency.

(3) Coordination. The standard

referral procedure is not appropriate

where disclosure of the identity of the

agency to which the referral would be

made could harm an interest protected

by an applicable exemption, such as the

exemptions that protect personal

privacy or national security interests. In

such instances, in order to avoid harm

to an interest protected by an applicable

exemption, the component’s FOIA office

will coordinate with the originating

agency to seek its views on the

disclosability of the record. The release

determination for the record that is the

subject of the coordination will then be

conveyed to the requester by the

component’s FOIA office.

(d) Classified information. On receipt

of any request involving classified

information, the component’s FOIA

office must determine whether the

information is currently and properly

classified in accordance with applicable

classification rules. Whenever a request

involves a record containing

information that has been classified or

may be appropriate for classification by

another agency under any applicable

executive order concerning the

classification of records, the

component’s FOIA office must refer the

responsibility for responding to the

request regarding that information to the

agency that classified the information,

or that should consider the information

for classification. Whenever USAID’s

record contains information that has

been derivatively classified (for

example, when it contains information

classified by another agency), the

component’s FOIA office must refer the

responsibility for responding to that

portion of the request to the agency that

classified the underlying information.

(e) Furnishing records. The

component’s FOIA office shall furnish

copies only of records that the Agency

has in its possession. The Agency is not

compelled to create new records. The

Agency is not required to perform

research for a requester. The

component’s FOIA office is required to

furnish only one copy of a record. If

information exists in different forms, the

component’s FOIA office will provide

the record in the form that best

conserves government resources.

Requests may specify the preferred form

or format (including electronic formats)

for the records sought by the requester.

The component’s FOIA office will

accommodate the form or format request

if the record is readily reproducible in

that form or format.

(f) Archival records. The Agency

ordinarily transfers records in

accordance with its retirement

authority, included in ADS 502, to the

National Archives and Records

Administration. These records become

the physical and legal custody of the

National Archives. Accordingly,

requests for retired Agency records

should be submitted to the National

Archives by mail addressed to Special

Access and FOIA Staff (NWCTF), 8601

Adelphi Road, Room 5500, College Park,

MD 20740 by fax to (301) 837–1864; or

by email to specialaccess_foia@

nara.gov.

(g) Poor copy. If USAID cannot make

a legible copy of a record to be released,

the Agency is not required to

reconstruct it. Instead, the component’s

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FOIA office will furnish the best copy

possible and note its poor quality in the

component’s FOIA office reply.

Subpart E—Timing of Responses to

Requests

§ 212.8 Time limits.

(a) In general. The component’s FOIA

office ordinarily will respond to

requests according to their order of

receipt.

(b) Multitrack processing. (1) The

component’s FOIA office shall designate

a specific track for requests that are

granted expedited processing, in

accordance with the standards set forth

in paragraph (e) of this section. The

component’s FOIA office may designate

additional processing tracks that

distinguish between simple and more

complex requests based on the

estimated amount of work or time

needed to process the request. Among

the factors the component’s FOIA office

may consider are, the number of pages

involved in processing the request and

the need for consultations or referrals.

The component’s FOIA office shall

advise requesters of the track into which

their request falls and, when

appropriate, shall offer the requesters an

opportunity to narrow their request so

that it can be placed in a different

processing track.

(2) The component’s FOIA office shall

generally process requests in each track

on a ‘‘first-in, first-out’’ basis.

the statutory time limit for processing a

request cannot be met because of

‘‘unusual circumstances,’’ as defined in

the FOIA, and the component’s FOIA

office extends the time limit on that

basis, the component’s FOIA office

shall, before expiration of the 20-day

period to respond, notify the requester

in writing of the unusual circumstances

involved and of the date by which

processing of the request can be

expected to be completed. Where the

extension exceeds 10 working days, the

component’s FOIA office shall, in the

written notice, notify the requester of

the right to contact the component’s

FOIA office’s FOIA Public Liaison, or

seek dispute resolution services from

the Office of Government Information

Services (OGIS). In addition, the

component’s FOIA office shall, as

described by the FOIA, provide the

requester with an opportunity to modify

the request or arrange an alternative

time period for processing.

(d) Aggregating requests. For the

purposes of satisfying unusual

circumstances under the FOIA, the

component’s FOIA office 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. The component’s FOIA

office shall not aggregate multiple

requests that involve unrelated matters.

(e) Expedited processing. (1) Requests

and appeals shall be processed on an

expedited basis whenever it is

determined that they involve:

(i) Circumstances in which the lack of

expedited processing could reasonably

be expected to pose an imminent threat

to the life or physical safety of an

individual;

(ii) An urgency to inform the public

about an actual or alleged Federal

Government activity, if made by a

person who is primarily engaged in

disseminating information;

(iii) The loss of substantial due

process rights; or

(iv) A matter of widespread and

exceptional media interest in which

there exist possible questions about the

government’s integrity that affect public

confidence.

(2) A requester who seeks expedited

processing must submit a statement,

certified to be true and correct,

explaining in detail the basis for making

the request for expedited processing.

For example, under paragraph (e)(1)(ii)

of this section, a requester who is not a

full-time member of the news media

must establish that the requester is a

person whose primary activity or

occupation is information

dissemination, though it need not be the

requester’s sole occupation. Such a

requester also must establish a

particular urgency to inform the public

about the government activity involved

in the request—one that extends beyond

the public’s right to know about

government activity generally. The

existence of numerous articles

published on a given subject can be

helpful in establishing the requirement

that there be an ‘‘urgency to inform’’ the

public on the topic. As a matter of

administrative discretion, the

component’s FOIA office may waive the

formal certification requirement.

(3) The component’s FOIA office shall

notify the requester within 10 calendar

days of the receipt of a request for

expedited processing of its decision

whether to grant or deny expedited

processing. If expedited processing is

granted, the request shall be given

priority, placed in the processing track

for expedited requests, and shall be

processed as soon as practicable. If a

request for expedited processing is

denied, any appeal of that decision shall

be acted on expeditiously.

Subpart F—Responses to Requests

§ 212.9 Responsibility for responding to

requests.

(a) In general. The component’s FOIA

office should, to the extent practicable,

communicate with requesters having

access to the internet using electronic

means, such as email or web portal.

(b) Acknowledgments of requests. The

component’s FOIA office shall

acknowledge the request and assign it

an individualized tracking number. The

component’s FOIA office shall include

in the acknowledgment a brief

description of the records sought to

allow requesters to more easily keep

track of their requests.

component’s FOIA office makes a

determination to grant a request in full

or in part, it shall notify the requester

in writing. The component’s FOIA office

also shall inform the requester of any

fees charged and shall disclose the

requested records to the requester

promptly upon payment of any

applicable fees.

(d) Consultations and referrals.

Whenever the component’s FOIA office

consults with another Federal

Government office over the releasability

of a record, the component’s FOIA office

shall notify the requester of the

consultation and inform the requester of

the name(s) of the agency or office with

which the consultation is taking place.

Whenever the component’s FOIA office

refers any part of the responsibility for

responding to a request to another

Federal Government office, the

component’s FOIA office shall

document the referral, maintain a copy

of the record that it refers, notify the

requester of the referral, and inform the

requester of the name(s) of the agency to

which the record was referred,

including that agency’s FOIA contact

information.

(e) Adverse determinations of

requests. If the component’s FOIA office

has made an adverse determination

denying a request in any respect, the

component’s FOIA office shall notify

the requester of that determination in

writing, and provide the contact

information for the FOIA Public Liaison,

as well as a description of the

requester’s right to seek mediation

services from the Office of Government

Information Services (OGIS). Adverse

determinations, or denials of requests,

include decisions that: The requested

record is exempt, in whole or in part;

the request does not reasonably describe

the records sought; the information

requested is not a record subject to the

FOIA; the requested record does not

exist, cannot be located, or has been

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destroyed; or the requested record is not

readily reproducible in the form or

format sought by the requester. A

response will provide an estimate of the

volume of any records or any

information withheld. Adverse

determinations also include denials

involving fees or fee waiver matters or

denials of requests for expedited

processing.

(f) Information furnished. All denials

are in writing and describe in general

terms the material withheld; state the

reasons for the denial, including, as

applicable, a reference to the specific

exemption of the FOIA authorizing the

withholding; explain your right to

appeal the decision and identify the

official to whom you should send the

appeal; and are signed by the person

who made the decision to deny all or

part of the request. Records disclosed in

part must be marked clearly to show the

amount of information deleted and the

exemption under which the deletion

was made unless doing so would harm

an interest protected by an applicable

exemption. The location of the

information deleted must also be

indicated on the record, if technically

feasible.

(g) Conducting searches. USAID

performs a diligent search for records to

satisfy your request. Nevertheless, the

Agency may not be able to find the

records requested using the information

provided, or the records may not exist.

Subpart G—Confidential Commercial

Information

§ 212.10 Policy and procedure.

(a) Definitions. (1) Confidential

commercial information means

commercial or financial information

obtained by the Agency from a

submitter that may be protected from

disclosure under Exemption 4 of the

FOIA, 5 U.S.C. 552(b)(4).

(2) Business submitter means any

person or entity, including a

corporation, State, or foreign

government, but not including another

Federal Government entity, that

provides information, either directly or

indirectly to the Federal Government.

(b) Designation of confidential

commercial information. A submitter of

confidential commercial information

must use good faith efforts to designate

by appropriate markings, either at the

time of submission or within a

reasonable time thereafter, any portion

of its submission that it considers to be

protected from disclosure under

Exemption 4. These designations shall

expire 10 years after the date of the

submission unless the submitter

requests and provides justification for a

longer designation period.

is required. (1) The component’s FOIA

office shall promptly provide written

notice to a business submitter of

confidential commercial information

whenever records containing such

information are requested under the

FOIA if, after reviewing the request, the

responsive records, and any appeal by

the requester, the component’s FOIA

office determines that it may be required

to disclose the records, provided:

(i) The requested information has

been designated in good faith by the

business submitter as information

considered protected from disclosure

under Exemption 4; or

(ii) The component’s FOIA office has

a reason to believe that the requested

information may be protected from

disclosure under Exemption 4, but has

not yet determined whether the

information is protected from disclosure

under that exemption or any other

applicable exemption.

(2) The notice shall either describe the

commercial information requested or

include a copy of the requested records

or portions of records containing the

information. In cases involving a

voluminous number of submitters,

notice may be made by posting or

publishing the notice in a place or

manner reasonably likely to accomplish

it.

(d) Exceptions to business submitter

notice requirements. The notice

requirements of this section shall not

apply if:

(1) The component’s FOIA office

determines that the information is

exempt under the FOIA;

(2) The information has been lawfully

published or has been officially made

available to the public;

(3) Disclosure of the information is

required by a statute other than the

FOIA or by a regulation issued in

accordance with the requirements of

Executive Order 12600 of June 23, 1987;

(4) The designation made by the

business submitter appears obviously

frivolous, except that, in such a case, the

component’s FOIA office shall give the

business submitter written notice of any

final decision to disclose the

information and must provide that

notice within a reasonable number of

days prior to a specified disclosure date.

(e) Opportunity to object to disclosure.

(1) The component’s FOIA office shall

specify a reasonable time period within

which the business submitter must

respond to the notice referenced in this

section. If a business submitter has any

objections to disclosure, the business

submitter should provide the

component’s FOIA office with a detailed

written statement that specifies all

grounds for withholding the particular

information under any exemption of the

FOIA. In order to rely on Exemption 4

as basis for nondisclosure, the business

submitter must explain why the

information constitutes a trade secret or

commercial or financial information

that is privileged or confidential.

(2) A business submitter who fails to

respond within the time period

specified in the notice shall be

considered to have no objection to

disclosure of the information.

Information received by the

component’s FOIA office after the date

of any disclosure decision shall not be

considered by the component’s FOIA

office. Any information provided by a

business submitter under this subpart

may itself be subject to disclosure under

the FOIA.

(f) Analysis of objections. The

component’s FOIA office shall consider

a business submitter’s objections and

specific grounds for nondisclosure in

deciding whether to disclose the

requested information.

(g) Notice of intent to disclose.

Whenever the component’s FOIA office

decides to disclose information over the

objection of a business submitter, the

component’s FOIA office shall provide

the business submitter written notice,

which shall include:

(1) A statement of the reasons why

each of the business submitter’s

disclosure objections was not sustained;

(2) A description of the information to

be disclosed; and

(3) A specified disclosure date, which

shall be a reasonable time subsequent to

the notice.

(h) Notice of FOIA lawsuit. Whenever

a requester files a lawsuit seeking to

compel the disclosure of confidential

commercial information, the

component’s FOIA office shall promptly

notify the business submitter.

(i) Requester notification. The

component’s FOIA office shall notify

the requester whenever it provides the

submitter with notice and an

opportunity to object to disclosure;

whenever it notifies the submitter of its

intent to disclose the requested

information; and whenever a submitter

files a lawsuit to prevent the disclosure

of the information.

Subpart H—Administrative Appeals

§ 212.11 Appeal procedures.

The component’s FOIA office must

inform the requester of the reasons for

the denial and the requester’s right to

appeal the denial to the FOIA Appeals

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Officer whenever a FOIA request is

denied.

(a) What a requester can appeal. A

requester may appeal the withholding of

a document or denial of a fee waiver

request. A requester may contest the

type or amount of fees that were

charged, or may appeal any other type

of adverse determination under the

FOIA. A requester may also appeal

because USAID failed to conduct an

adequate search for the documents

requested. However, a requester may not

file an administrative appeal for the lack

of a timely response. A requester may

administratively appeal any portion

denied when their request is granted in

part and denied in part.

(b) Requirements for making an

appeal. A requester may appeal any

adverse determinations to the

component’s FOIA office. The requester

must make the appeal in writing. To be

considered timely, the appeal must be

postmarked, or in the case of electronic

submissions, transmitted, within 90

calendar days after the date of the

response. The appeal should clearly

identify the component FOIA office’s

determination that is being appealed

and the assigned request number. To

facilitate handling, the requester should

mark both the appeal letter and

envelope, or subject line of the

electronic transmission, ‘‘Freedom of

Information Act Appeal.’’

Deputy Director of the Bureau for

Management Services or designee will

conduct de novo review and make the

final determination on the appeals

related to all Agency records other than

OIG records. The Deputy Inspector

General will conduct de novo review

and make the final determination on the

appeals relating to OIG records.

(2) An appeal ordinarily will not be

adjudicated if the request becomes a

matter of FOIA litigation.

(d) Decisions on appeals. A decision

on an appeal must be made in writing.

A decision that upholds the component

FOIA office’s determination will contain

a statement that identifies the reasons

for the affirmance, including any FOIA

exemptions applied. The decision will

provide the requester with notification

of the statutory right to file a lawsuit

and will inform the requester of the

mediation services offered by the Office

of Government Information Services of

the National Archives and Records

Administration (OGIS) as a non-

exclusive alternative to litigation.

Mediation is a voluntary process. If the

component’s FOIA office agrees to

participate in the mediation services

provided by OGIS, it will actively

engage as a partner to the process in an

attempt to resolve the dispute. If the

component FOIA office’s decision is

remanded or modified on appeal, the

requester will be notified of that

determination in writing. The

component’s FOIA office will thereafter

further process the request in

accordance with that appeal

determination and respond directly to

the requester.

(e) When appeal is required. Before

seeking review by a court of the

component FOIA office’s adverse

determination, a requester generally

must first submit a timely

administrative appeal.

(f) Where to file an appeal. An appeal

(other than appeals related to OIG

records) may be filed by sending a letter

to: FOIA Appeals Officer, Bureau for

Management, Deputy Director, Office of

Management Services, U.S. Agency for

International Development, USAID

Annex, M/MS, Room 10.8 OD,

Washington, DC 20523; or by email at

foia@usaid.gov. An appeal relating to

OIG records may be filed by sending a

letter to: Deputy Inspector General,

Office of Inspector General, U.S. Agency

for International Development, Suite

6.06–D, RRB, 1300 Pennsylvania

Avenue NW, Washington, DC 20523–

4601; or by email at foiaoig@usaid.gov.

There is no charge for filing an

administrative appeal.

§ 212.12 Mediation and dispute services.

The Office of Government Information

Services of the National Archives and

Records Administration (OGIS) is a

Freedom of Information Act (FOIA)

resource for the public and the

government. Congress has charged OGIS

with reviewing FOIA policies,

procedures and compliance of Federal

agencies and to recommend changes to

the FOIA. OGIS’ mission also includes

providing dispute resolution services

between Federal agencies and

requesters. OGIS works as a non-

exclusive alternative to litigation. When

the component’s FOIA office makes a

determination on a request, the

component’s FOIA office shall offer the

services of the FOIA Public Liaison, and

will notify requesters of the mediation

services provided by OGIS. Specifically,

the component’s FOIA office will

include in the component’s FOIA

office’s notification to the requester:

(a) The right of the requester to seek

assistance from the FOIA Public Liaison

of the component’s FOIA office, and in

the case of an adverse determination;

(b) The right of the requester to seek

dispute resolution services from the

FOIA Public Liaison of the component’s

FOIA office or the Office of Government

Information Services.

Subpart I—Preservation of Records

§ 212.13 Policy and procedures.

The component’s FOIA office shall

preserve all correspondence relating to

the requests it receives under this

subpart, and all records processed

pursuant to such requests, until such

time as the destruction of such

correspondence and records is

authorized pursuant to Title 44 of the

United States Code or the General

Records Schedule 4.2 of the National

Archives and Records Administration

(NARA). Under no circumstances shall

records be sent to a Federal Records

Center, transferred to the permanent

custody of NARA, or destroyed while

they are the subject of a pending

request, appeal, or civil action under the

FOIA.

Subpart J—Fees

§ 212.14 Fees to be charged—general.

(a) In general. The component’s FOIA

office shall charge for processing

requests under the FOIA in accordance

with the provisions of this section and

with the Office of Management and

Budget (OMB) Guidelines. In order to

resolve any fee issues that arise under

this section, the component’s FOIA

office may contact a requester for

additional information. The

component’s FOIA office shall ensure

that search, review, and duplication are

conducted in the most efficient and the

least expensive manner. The

component’s FOIA office ordinarily will

collect all applicable fees before sending

copies of records to a requester.

Requesters must pay fees by check or

money order made payable to the

Treasury of the United States.

(b) Definitions. For purposes of this

section:

(1) Commercial use request is 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. The

component FOIA office’s 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) Direct costs are those expenses that

the Agency incurs in searching for and

duplicating (and, in the case of

commercial use requests, reviewing)

records in order to respond to a FOIA

request. Direct costs do not include

overhead expenses such as the costs of

space, and of heating or lighting a

facility.

(3) Duplication is reproducing a copy

of a record, or of the information

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contained in it, necessary to respond to

a FOIA request. Copies can take the

form of paper, audiovisual materials, or

electronic records, among others.

(4) Educational institution is any

school that operates a program of

scholarly research. A requester in this

fee category must show that the request

is made in connection with his or her

role at the educational institution.

Agencies may seek verification from the

requester that the request is in

furtherance of scholarly research.

(5) Fee waiver is a waiver or reduction

of processing fees if a requester can

demonstrate that certain statutory

standards are satisfied, including that

the information is in the public interest

and is not requested for a commercial

interest.

(6) Noncommercial scientific

institution is an institution that is not

operated on a ‘‘commercial’’ basis, as

defined in paragraph (b)(1) of 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 requester 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.

(7) Representative of the news media

is any person or entity that gathers

information of potential interest to a

segment of the public, uses its editorial

skills to turn the raw materials into a

distinct work, and distributes that work

to an audience. The term ‘‘news’’ means

information that is about current events

or that would be of current interest to

the public. Examples of news media

entities include television or radio

stations that broadcast ‘‘news’’ to the

public at large and publishers of

periodicals that disseminate ‘‘news’’

and make their products available

through a variety of means to the

general public, including news

organizations that disseminate solely on

the internet. A request for records

supporting the news-dissemination

function of the requester shall not be

considered to be for a commercial use.

‘‘Freelance’’ journalists who

demonstrate a solid basis for expecting

publication through a news media entity

shall be considered as a representative

of the news media. A publishing

contract would provide the clearest

evidence that publication is expected;

however, components shall also

consider a requester’s past publication

record in making this determination.

(8) Requester category is one of the

three categories that agencies place

requesters in for the purpose of

determining whether a requester will be

charged fees for search, review, and

duplication. The three categories are:

Commercial requesters; non-commercial

scientific or educational institutions or

news media requesters; and all other

requesters.

(9) Review is 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, but

it does not include time spent resolving

general legal or policy issues regarding

the application of exemptions.

(10) Search is the process of looking

for and retrieving records or information

responsive to a request. Search time

includes page-by-page or line-by-line

identification of information within

records and the reasonable efforts

expended to locate and retrieve

information from electronic records.

FOIA requests, the component’s FOIA

office shall charge the following fees

unless a waiver or reduction of fees has

been granted under paragraph (k) of this

section.

(1) Search. Requests made by

educational institutions, noncommercial

scientific institutions, or representatives

of the news media are not subject to

search fees. Search fees shall be charged

for all other requesters, subject to the

restrictions of paragraph (d) of this

section. The component’s FOIA office

may properly charge for time spent

searching even if they do not locate any

responsive records or if they determine

that the records are entirely exempt

from disclosure.

(2) Duplication. Duplication fees shall

be charged to all requesters, subject to

the restrictions of paragraph (d) of this

section. The component’s FOIA office

shall honor a requester’s preference for

receiving a record in a particular form

or format where it is readily

reproducible by the component’s FOIA

office in the form or format requested.

Where photocopies are supplied, the

component’s FOIA office shall provide

one copy per request at a cost of ten

cents per page. For copies of records

produced on tapes, disks, or other

media, the direct costs of producing the

copy, including operator time shall be

charged. Where paper documents must

be scanned in order to comply with a

requester’s preference to receive the

records in an electronic format, the

requester shall pay the direct costs

associated with scanning those

materials. For other forms of

duplication, the component’s FOIA

office shall charge the direct costs.

(3) Review. Review fees shall be

charged to requesters who make

commercial use requests. Review fees

shall be assessed in connection with the

initial review of the record, i.e., the

review conducted by the component’s

FOIA office to determine whether an

exemption applies to a particular record

or portion of a record. No charge will be

made for review at the administrative

appeal stage of exemptions applied at

the initial review stage. However, if a

particular exemption is deemed to no

longer apply, any costs associated with

the component’s FOIA office re-review

of the records in order to consider the

use of other exemptions may be

assessed as review fees.

(d) Restrictions on charging fees. (1)

No search fees will be charged for

requests by educational institutions,

noncommercial scientific institutions,

or representatives of the news media,

unless the records are sought for

commercial use.

(2) When the component’s FOIA

office determines that unusual

circumstances apply to the processing of

a request, and the component’s FOIA

office has provided timely written

notice to the requester, the delay is

excused for an additional 10 days. If the

component’s FOIA office fails to comply

with the extended time limit, it may not

charge search fees (or for requesters

with preferred fee status, may not

charge duplication fees) except as

provided in (d)(2)(i) and (ii) of this

section.

(i) Exception: If unusual

circumstances apply and more than

5000 pages are necessary to respond to

the request, the component’s FOIA

office may charge search fees (or, for

requesters in preferred fee status, may

charge duplication fees) if timely

written notice has been made to the

requester and the component’s FOIA

office has discussed with the requester

via written mail, electronic mail, or

telephone (or made not less than 3 good-

faith attempts to do so) how the

requester could effectively limit the

scope of the request.

(ii) Court Determination that

exceptional circumstances exist: If a

court determines that exceptional

circumstances exist, the component’s

FOIA office’s failure to comply with a

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time limit shall be excused for the

length of time provided by the court

order.

(3) If the component’s FOIA office

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,

it may not charge search fees, or, in the

instances of requests from requesters

described in paragraph (d)(1) of this

section, may not charge duplication

fees.

(4) No search or review fees will be

charged for a quarter-hour period unless

more than half of that period is required

for search or review.

(5) Except for requesters seeking

records for a commercial use, the

component’s FOIA office shall provide

without charge:

(i) The first 100 pages of duplication

(or the cost equivalent for other media);

and

(ii) The first two hours of search.

(6) When, after first deducting the 100

free pages (or its cost equivalent) and

the first two hours of search, a total fee

calculated under paragraph (c) of this

section is $25.00 or less for any request,

no fee will be charged.

(e) Notice of anticipated fees in excess

of $25.00. (1) When the component’s

FOIA office determines or estimates that

the fees to be assessed in accordance

with this section will exceed $25.00, the

component’s FOIA office shall notify

the requester of the actual or estimated

amount of the fees, including a

breakdown of the fees for search, review

or duplication, unless the requester has

indicated a willingness to pay fees as

high as those anticipated. If only a

portion of the fee can be estimated

readily, the component’s FOIA office

shall advise the requester accordingly. If

the requester is a noncommercial use

requester, the notice shall specify that

the requester is entitled to the statutory

entitlements of 100 pages of duplication

at no charge and, if the requester is

charged search fees, two hours of search

time at no charge, and shall advise the

requester whether those entitlements

have been provided.

(2) In cases in which a requester has

been notified that the actual or

estimated fees are in excess of $25.00,

the request shall not be considered

received and further work will not be

completed until the requester commits

in writing to pay the actual or estimated

total fee, or designates some amount of

fees the requester is willing to pay, or

in the case of a noncommercial use

requester who has not yet been provided

with the requester’s statutory

entitlements, designates that the

requester seeks only that which can be

provided by the statutory entitlements.

The requester must provide the

commitment or designation in writing,

and must, when applicable, designate

an exact dollar amount the requester is

willing to pay. The component’s FOIA

office is not required to accept payments

in installments.

(3) If the requester has indicated a

willingness to pay some designated

amount of fees, but the component’s

FOIA office estimates that the total fee

will exceed that amount, the

component’s FOIA office shall toll the

processing of the request when it

notifies the requester of the estimated

fees in excess of the amount the

requester has indicated a willingness to

pay. The component’s FOIA office shall

inquire whether the requester wishes to

revise the amount of fees the requester

is willing to pay or modify the request.

Once the requester responds, the time to

respond will resume from where it was

at the date of the notification.

(4) The component’s FOIA office shall

make available their FOIA Public

Liaison or other FOIA Specialists to

assist any requester in reformulating a

request to meet the requester’s needs at

a lower cost.

(f) Charges for other services.

Although not required to provide

special services, if the component’s

FOIA office chooses to do so as a matter

of administrative discretion, the direct

costs of providing the service shall be

charged. Examples of such services

include certifying that records are true

copies, providing multiple copies of the

same document, or sending records by

means other than first class mail.

(g) Charging interest. The

component’s FOIA office may charge

interest on any unpaid bill starting on

the 31st day following the date of billing

the requester. Interest charges shall be

assessed at the rate provided in 31

U.S.C. 3717 and will accrue from the

billing date until payment is received by

the component’s FOIA office. The

component’s FOIA office shall follow

the provisions of the Debt Collection

Act of 1982 (Pub. L. 97–365, 96 Stat.

1749), as amended, and its

administrative procedures, including

the use of consumer reporting agencies,

collection agencies, and offset.

(h) Aggregating requests. When the

component’s FOIA office reasonably

believes that a requester or a group of

requesters acting in concert is

attempting to divide a single request

into a series of requests for the purpose

of avoiding fees, the component’s FOIA

office may aggregate those requests and

charge accordingly. The component’s

FOIA office may presume that multiple

requests of this type made within a 30-

day period have been made in order to

avoid fees. For requests separated by a

longer period, the component’s FOIA

office will aggregate them only where

there is a reasonable basis for

determining that aggregation is

warranted in view of all the

circumstances involved. Multiple

requests involving unrelated matters

shall not be aggregated.

(i) Advance payments. (1) For

requests other than those described in

paragraphs (i)(2) or (3) of this section,

the component’s FOIA office shall not

require the requester to make an

advance payment before work is

commenced or continued on a request.

Payment owed for work already

completed (i.e., payment before copies

are sent to a requester) is not an advance

payment.

(2) When the component’s FOIA

office determines or estimates that a

total fee to be charged under this section

will exceed $250.00, it may require that

the requester make an advance payment

up to the amount of the entire

anticipated fee before beginning to

process the request. The component’s

FOIA office may elect to process the

request prior to collecting fees when it

receives a satisfactory assurance of full

payment from a requester with a history

of prompt payment.

(3) Where a requester has previously

failed to pay a properly charged FOIA

fee to the component’s FOIA office

within 30 calendar days of the billing

date, the component’s FOIA office may

require that the requester pay the full

amount due, plus any applicable

interest on that prior request, and the

component’s FOIA office may require

that the requester make an advance

payment of the full amount of any

anticipated fee before the component’s

FOIA office begins to process a new

request or continues to process a

pending request or any pending appeal.

If the component’s FOIA office has a

reasonable basis to believe that a

requester has misrepresented the

requester’s identity in order to avoid

paying outstanding fees, it may require

that the requester provide proof of

identity.

(4) In cases in which the component’s

FOIA office requires advance payment,

the request shall not be considered

received and further work will not be

completed until the required payment is

received. If the requester does not pay

the advance payment within 30

calendar days after the date of the

component FOIA office’s fee

determination, the request will be

closed.

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(j) Other statutes specifically

providing for fees. The fee schedule of

this section does not apply to fees

charged under any statute that

specifically requires an agency to set

and collect fees for particular types of

records. In instances where records

responsive to a request are subject to a

statutorily-based fee schedule program,

the component’s FOIA office shall

inform the requester of the contact

information for that program.

(k) Requirements for waiver or

reduction of fees. (1) Records responsive

to a request shall be furnished without

charge or at a reduced rate below the

rate established under paragraph (c) of

this section, where the component’s

FOIA office determines, based on all

available information, that the requester

has demonstrated that:

(i) Disclosure of the requested

information is in the public interest

because it is likely to contribute

significantly to public understanding of

the operations or activities of the

government, and

(ii) Disclosure of the information is

not primarily in the commercial interest

of the requester.

(2) In deciding whether disclosure of

the requested information is in the

public interest because it is likely to

contribute significantly to public

understanding of operations or activities

of the government, the component’s

FOIA office shall consider all four of the

following factors:

(i) The subject of the request must

concern identifiable operations or

activities of the Federal Government,

with a connection that is direct and

clear, not remote or attenuated.

(ii) Disclosure of the requested

records must be meaningfully

informative about government

operations or activities in order to be

‘‘likely to contribute’’ to an increased

public understanding of those

operations or activities. The disclosure

of information that already is in the

public domain, in either the same or a

substantially identical form, would not

contribute to such understanding where

nothing new would be added to the

public’s understanding.

(iii) The disclosure must contribute to

the understanding of a reasonably broad

audience of persons interested in the

subject, as opposed to the individual

understanding of the requester. A

requester’s expertise in the subject area

as well as the requester’s ability and

intention to effectively convey

information to the public shall be

considered. It shall be presumed that a

representative of the news media will

satisfy this consideration.

(iv) The public’s understanding of the

subject in question must be enhanced by

the disclosure to a significant extent.

However, the component’s FOIA office

shall not make value judgments about

whether the information at issue is

‘‘important’’ enough to be made public.

(3) To determine whether disclosure

of the requested information is

primarily in the commercial interest of

the requester, the component’s FOIA

office shall consider the following

factors:

(i) The component’s FOIA office shall

identify any commercial interest of the

requester, as defined in paragraph (b)(1)

of this section, that would be furthered

by the requested disclosure. Requesters

shall be given an opportunity to provide

explanatory information regarding this

consideration.

(ii) A waiver or reduction of fees is

justified where the public interest is

greater than any identified commercial

interest in disclosure. The component’s

FOIA office ordinarily shall presume

that where a news media requester has

satisfied the public interest standard,

the public interest will be the interest

primarily served by disclosure to that

requester. Disclosure to data brokers or

others who merely compile and market

government information for direct

economic return shall not be presumed

to primarily serve the public interest.

(4) Where only some of the records to

be released satisfy the requirements for

a waiver of fees, a waiver shall be

granted for those records.

(5) Requests for a waiver or reduction

of fees should be made when the request

is first submitted to the component’s

FOIA office and should address the

criteria referenced in this section. A

requester may submit a fee waiver

request at a later time so long as the

underlying record request is pending or

on administrative appeal. When a

requester who has committed to pay

fees subsequently asks for a waiver of

those fees and that waiver is denied, the

requester shall be required to pay any

costs incurred up to the date the fee

waiver request was received. A

requester may appeal the denial of a fee

waiver.

§ 212.15 Fees to be charged—requester

categories.

(a) The following specific fees are

charged for services rendered:

(1) Commercial Use:

Search: $40.00 per hour.

Search costs will be assessed even

though no records may be found or even

if, after review, there is no disclosure or

records.

Review: $55.00 per hour.

Duplication: 10¢ per page.

(2) Educational & Non-Commercial

Scientific Institutions

Search: No fee.

Review: No fee.

Duplication: 10¢ per page after the

first 100 pages.

(3) Representatives of the News Media

Search: No fee.

Review: No fee.

Duplication: 10¢ per page after the

first 100 pages.

(4) All Others

Search: Same as ‘‘Commercial Users’’

except the first two hours shall be

furnished without charge.

Review: No fee.

Duplication: 10¢ per page after the

first 100 pages.

(b) If copies of records are provided in

other than paper format (such as on

microfiche, video tape, or as electronic

data files), or other than first-class mail

is requested or required, the requester is

charged the actual cost of providing

these additional services.

Subpart K—FOIA Definitions

§ 212.16 Glossary.

As used in this part:

Administrative FOIA Appeal is an

independent review of the initial

determination made in response to a

FOIA request. Requesters who are

dissatisfied with the response made on

their initial request have a statutory

right to appeal the initial determination

made by the component’s FOIA office.

Agency is any executive agency,

military agency, government

corporation, government-controlled

corporation, or other establishment in

the executive branch of the Federal

Government, or any independent

regulatory agency. Thus, USAID is an

agency.

Complex request is a request that

typically seeks a high volume of

material or requires additional steps to

process such as the need to search for

records in multiple locations.

Consultation is when USAID locates a

record that contains information of

substantial interest to another agency,

and the component’s FOIA office asks

for the views of that other agency on the

disclosability of the records before any

final determination is made.

Discretionary disclosure is

information that the component’s FOIA

office releases even though it could have

been withheld under one of the FOIA’s

exemptions.

Duplication is 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.

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Electronic record is any information

that is recorded in a form that only a

computer can process and that satisfies

the definition of a Federal record per the

Federal Records Act. Federal electronic

records are not necessarily kept in a

‘‘recordkeeping system’’ but may reside

in a generic electronic information

system or are produced by an

application such as word processing or

electronic mail.

Exemptions are nine categories of

information that are not required to be

released in response to a FOIA request

because release would be harmful to a

government or private interest. These

categories are called ‘‘exemptions’’ from

disclosures.

Expedited processing is the FOIA

response track granted in certain limited

situations, specifically when a FOIA

request is processed ahead of other

pending requests.

Freedom of Information Act or FOIA

is a United States federal law that grants

the public access to information

possessed by government agencies.

Upon written request, U.S. government

agencies are required to release

information unless it falls under one of

nine exemptions listed in the Act.

Frequently requested records are

records that have been requested three

(3) or more times from the component’s

FOIA office.

Multi-track processing is a system that

divides in-coming FOIA requests

according to their complexity so that

simple requests requiring relatively

minimal review are placed in one

processing track and more complex

requests are placed in one or more other

tracks. Requests granted expedited

processing are placed in yet another

track. Requests in each track are

processed on a first in/first out basis.

Office of Government Information

Services (OGIS) offers mediation

services to resolve disputes between

FOIA requesters and agencies as an

alternative to litigation. OGIS also

reviews agency FOIA compliance,

policies, and procedures and makes

recommendations for improvement. The

Office is a part of the National Archives

and Records Administration, and was

created by Congress as part of the OPEN

Government Act of 2007, which

amended the FOIA.

Proactive disclosures are records

made publicly available by agencies

without waiting for a specific FOIA

request. Agencies now post on their

websites material concerning their

functions and mission. The FOIA itself

requires agencies to make available

certain categories of information,

including final opinions and orders,

specific policy statements, certain

administrative staff manuals and

frequently requested records.

Record means information regardless

of its physical form or characteristics

including information created, stored,

and retrievable by electronic means that

is created or obtained by the Agency

and under the control of the Agency at

the time of the request, including

information maintained for the Agency

by an entity under Government contract

for records management purposes. It

does not include records that are not

already in existence and that would

have to be created specifically to

respond to a request. Information

available in electronic form shall be

searched and compiled in response to a

request unless such search and

compilation would significantly

interfere with the operation of the

Agency’s automated information

systems.

Referral occurs when an agency

locates a record that originated with, or

is of otherwise primary interest to

another Department, agency, or

component. It will forward that record

to the other agency to process the record

and to provide the final determination

directly to the requester.

Simple request is a FOIA request that

a component’s FOIA office anticipates

will involve a small volume of material

or which will be able to be processed

relatively quickly.

Subpart L—Other Rights and Services

§ 212.17 Rights and services qualified by

the FOIA statute.

Nothing in this subpart shall be

construed to entitle any person, as a

right, to any service or to the disclosure

of any record to which such person is

not entitled under the FOIA.

Subpart M—Privacy Act Provisions

§ 212.18 Purpose and scope.

This subpart contains the rules that

the USAID follows under the Privacy

Act of 1974 (PA), 5 U.S.C. 552a, as

amended. These rules should be read

together with the text of the statute,

which provides additional information

about records maintained on

individuals. The rules in this subpart

apply to all records in systems of

records maintained by the agency that

are retrieved by an individual’s name or

personal identifier. They describe the

procedures by which individuals may

request access to records about

themselves, request amendment or

correction of those records, and request

an accounting of disclosures of those

records by the agency. If any records

retrieved pursuant to an access request

under the PA are found to be exempt

from access under that Act, they will be

processed for possible disclosure under

the FOIA, as amended. No fees shall be

charged for access to or amendment of

PA records.

§ 212.19 Privacy definitions.

As used in this subpart, the following

definitions shall apply:

(a) Individual means a citizen or a

legal permanent resident alien (LPR) of

the United States.

(b) Maintain includes maintain,

collect, use, or disseminate.

or grouping of information about an

individual that is maintained by the

agency and that contains the

individual’s name or the identifying

number, symbol, or other identifying

particular assigned to the individual,

such as a finger or voice print or

photograph.

(d) System of records means a group

of any records under the control of the

agency from which information is

retrieved by the name of an individual

or by some identifying number, symbol,

or other identifying particular assigned

to an individual.

§ 212.20 Request for access to records.

(a) In general. Requests for access to

records (other than OIG records) under

the PA must be made in writing and

mailed to the Bureau for Management

Services, Information and Records

Division at the address given in § 212.5.

Requests for access to OIG records

under the PA must be made in writing

and mailed to the Office of General

Counsel for the OIG at the address given

in § 212.5.

(b) Description of records sought.

Requests for access should describe the

requested record(s) in sufficient detail to

permit identification of the record(s). At

a minimum, requests should include the

individual’s full name (including

maiden name, if appropriate) and any

other names used, current complete

mailing address, (city, state and

country). Helpful data includes the

approximate time period of the record

and the circumstances that give the

individual reason to believe that the

agency maintains a record under the

individual’s name or personal identifier,

and, if known, the system of records in

which the record is maintained. In

certain instances, it may be necessary

for the component’s FOIA office to

request additional information from the

requester, either to ensure a full search,

or to ensure that a record retrieved does

in fact pertain to the individual.

The component’s FOIA office will

require reasonable identification of

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individuals requesting records about

themselves under the PA’s access

provisions to ensure that records are

only accessed by the proper persons.

Requesters must state their full name,

current address, citizenship or legal

permanent resident alien status, and

date (city, state, and country). The

request must be signed, and the

requester’s signature must be either

notarized or made under penalty of

perjury pursuant to 28 U.S.C. 1746. If

the requester seeks records under

another name the requester has used, a

statement, under penalty of perjury, that

the requester has also used the other

name must be included.

(d) Third party access. The

component’s FOIA office may process

third party requests, as described in this

section. In the absence of a request by,

or prior written consent of, the

individual to whom the records pertain,

the component’s FOIA office will

process third party requests under the

FOIA. The Agency’s form, AID 507–1,

may be used to certify the identity and

provide third party authorization.

(1) Parents and guardians of minor

children. Upon presentation of

acceptable documentation of the

parental or guardian relationship, a

parent or guardian of a U.S. citizen or

LPR minor (an unmarried person under

the age of 18) may, on behalf of the

minor, request records under the PA

pertaining to the minor. In any case,

U.S. citizen or LPR minors may request

such records on their own behalf.

(2) Guardians. A guardian of an

individual who has been declared by a

court to be incompetent may act for and

on behalf of the incompetent individual

upon presentation of appropriate

documentation of the guardian

relationship.

(3) Authorized representatives or

designees. Third-party access to an

individual’s records shall be granted

pursuant to a written request by, or with

the prior written consent of, the

individual. The designated third party

must submit identity verification

information described in paragraph (c)

of this section.

(e) Referrals and consultations. If the

component’s FOIA office determines

that records retrieved as responsive to

the request were created by another

Department, agency, or component it

ordinarily will refer the records to the

originating agency for direct response to

the requester. If the agency determines

that records retrieved as responsive to

the request are of interest to another

agency, it may consult with the other

agency before responding to the request.

The component’s FOIA office may make

agreements with other agencies to

eliminate the need for consultations or

referrals for particular types of records.

(f) Records relating to civil actions.

Nothing in this subpart entitles an

individual to access to any information

compiled in reasonable anticipation of a

civil action or proceeding.

(g) Time limits. The component’s

FOIA office will acknowledge the

request promptly and furnish the

requested information as soon as

possible thereafter.

§ 212.21 Request to amend or correct

records.

(a) An individual has the right to

request that the component’s FOIA

office amend a record pertaining to the

individual that the individual believes

is not accurate, relevant, timely, or

complete.

(b) Requests to amend records must be

in writing to the component’s FOIA

office, and mailed or delivered to the

Bureau for Management, Office of

Management Services, Information and

Records Division (for non OIG records),

or the Office of the USAID Inspector

General (for OIG records) at the

addresses given in § 212.5, with

ATTENTION: PRIVACY ACT

AMENDMENT REQUEST written on the

envelope. The component’s FOIA office

will coordinate the review of the request

with the appropriate offices of the

Agency. The component’s FOIA office

will require verification of personal

identity before it will initiate action to

amend a record. Amendment requests

should contain, at a minimum,

identifying information needed to locate

the record in question, a description of

the specific correction requested, and an

explanation of why the existing record

is not accurate, relevant, timely, or

complete. The request must be signed,

and the requester’s signature must be

either notarized or made under penalty

of perjury pursuant to 28 U.S.C. 1746.

The requester should submit as much

pertinent documentation, other

information, and explanation as

possible to support the request for

amendment.

records shall be acknowledged within

10 working days.

(d) In reviewing a record in response

to a request to amend, the Agency shall

review the record to determine if it is

accurate, relevant, timely, and complete.

(e) If the Agency agrees with an

individual’s request to amend a record,

it shall:

(1) Advise the individual in writing of

its decision;

(2) Amend the record accordingly;

and

(3) If an accounting of disclosure has

been made, advise all previous

recipients of the record of the

amendment and its substance.

(f) If the Agency denies an

individual’s request to amend a record,

it shall advise the individual in writing

of its decision and the reason for the

refusal, and the procedures for the

individual to request further review. See

§ 171.25 of this chapter.

§ 212.22 Request for accounting of record

disclosures.

(a) How made. Except where

accountings of disclosures are not

required to be kept, as set forth in

paragraph (b) of this section, or where

accountings of disclosures do not need

to be provided to a requesting

individual pursuant to 5 U.S.C.

552a(c)(3), an individual has a right to

request an accounting of any disclosure

that the component’s FOIA office has

made to another person, organization, or

agency of any record about an

individual. This accounting shall

contain the date, nature, and purpose of

each disclosure as well as the name and

address of the recipient of the

disclosure. Any request for accounting

should identify each particular record in

question and may be made by writing

directly to the Appeals Officer, Bureau

for Management, Office of Management

Services at the address given in

§ 212.19.

(b) Where accountings are not

required. The component’s FOIA office

is not required to keep an accounting of

disclosures in the case of:

(1) Disclosures made to employees

within the Agency who have a need for

the record in the performance of their

duties; and

(2) Disclosures required under the

FOIA.

§ 212.23 Appeals from denials of PA

amendment requests.

(a) If the component’s FOIA office

denies a request for amendment of such

records, the requester shall be informed

of the reason for the denial and of the

right to appeal the denial to the Appeals

Review Panel. Any such appeal must be

postmarked within 60 working days of

the date of the component FOIA office’s

denial letter and sent to: Appeals

Officer, Bureau for Management, Office

of Management Services (for non OIG

records), and Deputy Inspector General,

Office of Inspector General (for OIG

records) at the addresses given in

§ 212.11.

(b) Appellants should submit an

administrative appeal of any denial, in

whole or in part, of a request for access

to the PA at the address in paragraph (a)

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of this section. The component’s FOIA

office will assign a tracking number to

the appeal.

decide appeals from denials of PA

amendment requests within 30 business

days, unless the Panel extends that

period for good cause shown, from the

date when it is received by the Panel.

(d) Appeals Review Panel decisions

will be made in writing, and appellants

will receive notification of the decision.

A reversal will result in reprocessing of

the request in accordance with that

decision. An affirmance will include a

brief statement of the reason for the

affirmance and will inform the

appellant that the decision of the Panel

represents the final decision of the

Agency and of the right to seek judicial

review of the Panel’s decision, when

applicable.

(e) If the Panel’s decision is that a

record shall be amended in accordance

with the appellant’s request, the

Chairman—USAID’S FOIA Liaison

Officer or their designee shall direct the

office responsible for the record to

amend the record, advise all previous

recipients of the record of the

amendment and its substance (if an

accounting of previous disclosures has

been made), and so advise the

individual in writing.

(f) If the Panel’s decision is that the

amendment request is denied, in

addition to the notification required by

paragraph (d) of this section, the

Chairman—USAID’S FOIA Liaison

Officer or their designee-shall advise the

appellant:

(1) Of the right to file a concise

Statement of Disagreement stating the

reasons for disagreement with the

decision of the Agency;

(2) Of the procedures for filing the

Statement of Disagreement;

(3) That any Statement of

Disagreement that is filed will be made

available to anyone to whom the record

is subsequently disclosed, together with,

at the discretion of the Agency, a brief

statement by the component’s FOIA

office summarizing its reasons for

refusing to amend the record;

(4) That prior recipients of the

disputed record will be provided a copy

of any statement of disagreement, to the

extent that an accounting of disclosures

was maintained.

(g) If the appellant files a Statement of

Disagreement under paragraph (f) of this

section, the component’s FOIA office

will clearly annotate the record so that

the fact that the record is disputed is

apparent to anyone who may

subsequently access the record. When

the disputed record is subsequently

disclosed, the component’s FOIA office

will note the dispute and provide a copy

of the Statement of Disagreement. The

component’s FOIA office may also

include a brief summary of the reasons

for not amending the record. Copies of

the component FOIA office’s statement

shall be treated as part of the

individual’s record for granting access;

however, it will not be subject to

amendment by an individual under this

part.

§ 212.24 Specific exemptions.

(a) Pursuant to 5 U.S.C. 552a(k), the

Director or the Administrator may,

where there is a compelling reason to do

so, exempt a system of records, from any

of the provisions of subsections (c)(3);

(d); (e)(1); (e)(4)(G), (H), and (I); and (f)

of the Act if a system of records is:

(1) Subject to the provisions of 5

U.S.C. 552(b)(1);

(2) Investigatory material compiled for

law enforcement purposes, other than

material within the scope of subsection

(j)(2) of the Act: Provided, however, that

if any individual is denied any right,

privilege, or benefit to which he or she

would otherwise be eligible, as a result

of the maintenance of such material,

such material shall be provided to such

individual, except to the extent that the

disclosure of such material would reveal

the identity of a source who furnished

information to the Government under an

express promise that the identity of the

source would be held in confidence, or

prior to the effective date of this section,

under an implied promise that the

identity of the source would be held in

confidence;

(3) Maintained in connection with

providing protective services to the

President of the United States or other

individuals pursuant to 18 U.S.C. 3056;

(4) Required by statute to be

maintained and used solely as statistical

records;

(5) Investigatory material compiled

solely for the purpose of determining

suitability, eligibility, or qualifications

for Federal civilian employment,

military service, Federal contracts, or

access to classified information, but

only to the extent that the disclosure of

such material would reveal the identity

of a source who furnished information

to the Government under an express

promise that the identity of the source

would be held in confidence, or, prior

to the effective date of this section,

under an implied promise that the

identity of the source would be held in

confidence;

(6) Testing or examination material

used solely to determine individual

qualifications for appointment or

promotion in the Federal service, the

disclosure of which would compromise

the objectivity or fairness of the testing

or examination process; or

(7) Evaluation material used to

determine potential for promotion in the

armed services, but only to the extent

that the disclosure of such material

would reveal the identity of a source

who furnished information to the

Government under an express promise

that the identity of the source would be

held in confidence, or, prior to the

effective date of this section, under an

implied promise that the identity of the

source would be held in confidence.

(b) Each notice of a system of records

that is the subject of an exemption

under 5 U.S.C. 552a(k) will include a

statement that the system has been

exempted, the reasons therefore, and a

reference to the Federal Register,

volume and page, where the exemption

rule can be found.

exempted under section (k) of the Act,

the provisions of the Act from which

they are being exempted, and the

justification for the exemptions, are set

forth in this paragraph (c):

(1) Criminal Law Enforcement

Records. If the 5 U.S.C. 552a(j)(2)

exemption claimed under paragraph (c)

of (22 CFR 215.13) and on the notice of

systems of records to be published in

the Federal Register on this same date

is held to be invalid, then this system

is determined to be exempt, under 5

U.S.C. 552(a)(k)(1) and (2) of the Act,

from the provisions of 5 U.S.C.

552a(c)(3); (d); (e)(1); (e)(4); (G); (H); (I);

and (f). The reasons for asserting the

exemptions are to protect the materials

required by executive order to be kept

secret in the interest of the national

defense or foreign policy, to prevent

subjects of investigation from frustrating

the investigatory process, to insure the

proper functioning and integrity of law

enforcement activities, to prevent

disclosure of investigative techniques,

to maintain the ability to obtain

necessary information, to fulfill

commitments made to sources to protect

their identities and the confidentiality

of information and to avoid endangering

these sources and law enforcement

personnel.

(2) Personnel Security and Suitability

Investigatory Records. This system is

exempt under U.S.C. 552a(k)(1), (k)(2),

and (k)(5) from the provisions of 5

U.S.C. 552a(c)(3); (d); (e)(1); (e)(4); (G);

(H); (I); and (f). These exemptions are

claimed to protect the materials

required by executive order to be kept

secret in the interest of national defense

or foreign policy, to prevent subjects of

investigation from frustrating the

investigatory process, to insure the

proper functioning and integrity of law

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30571

Federal Register / Vol. 86, No. 109 / Wednesday, June 9, 2021 / Proposed Rules

enforcement activities, to prevent

disclosure of investigative techniques,

to maintain the ability to obtain candid

and necessary information, to fulfill

commitments made to sources to protect

the confidentiality of information, to

avoid endangering those sources and,

ultimately, to facilitate proper selection

or continuance of the best applicants or

persons for a given position or contract.

Special note is made of the limitation on

the extent to which this exemption may

be asserted.

(3) Litigation Records. This system is

exempt under 5 U.S.C. 552(k)(1), (k)(2),

and (k)(5) from the provisions of 5

U.S.C. 552a(c)(3); (d); (e)(1); (e)(4)(G),

(H), (I); and (f). These exemptions are

claimed to protect the materials

required by executive order to be kept

secret in the interest of national defense

or foreign policy, to prevent subjects of

investigation from frustrating the

investigatory process, to insure the

proper functioning and integrity of law

enforcement activities, to prevent

disclosure of investigative techniques,

to maintain the ability to obtain candid

and necessary information, to fulfill

commitments made to sources to protect

the confidentiality of information.

Dated: May 24, 2021.

Christopher A. Colbow,

Chief, Information and Records Division,

FOIA Public Liaison/Agency Records Officer,

U.S. Agency for International Development.

[FR Doc. 2021–11381 Filed 6–8–21; 8:45 am]

BILLING CODE 6116–02–P

FEDERAL COMMUNICATIONS

COMMISSION

47 CFR Part 64

[WC Docket No. 17–97; FCC 21–62; FR ID

30569]

Call Authentication Trust Anchor

AGENCY

: Federal Communications

Commission.

ACTION

: Proposed rule.

SUMMARY

: In this document, the Federal

Communications Commission

(Commission) seeks comment on a

proposal to shorten by one year the

STIR/SHAKEN implementation

extension for small voice service

providers that originate an especially

large number of calls, so that such

providers must implement STIR/

SHAKEN in the IP portions of their

networks no later than June 30, 2022.

The Commission believes this proposal

will protect Americans from illegal

robocalls—especially illegally spoofed

robocalls—by ensuring that voice

service providers most likely to be the

source of illegal robocalls authenticate

calls sooner, allowing terminating voice

service providers to know if the caller

ID is legitimate and take action as

appropriate, including by blocking or

labeling suspicious calls. The

Commission also seeks comment on

how to define which small voice service

providers should receive a shortened

extension and on ways to monitor

compliance.

DATES

: Comments are due on or before

July 9, 2021; reply Comments are due on

or before August 9, 2021.

ADDRESSES

: You may submit comments,

identified by WC Docket No. 17–97, by

any of the following methods:

•Electronic Filers: Comments may be

filed electronically using the internet by

accessing ECFS: https://www.fcc.gov/

ecfs/.

•Paper Filers: Parties who choose to

file by paper must file an original and

one copy of each filing.

•Filings can be sent by commercial

overnight courier, or by first-class or

overnight U.S. Postal Service mail. All

filings must be addressed to the

Commission’s Secretary, Office of the

Secretary, Federal Communications

Commission.

•Commercial overnight mail (other

than U.S. Postal Service Express Mail

and Priority Mail) must be sent to 9050

Junction Drive, Annapolis Junction, MD

20701.

•U.S. Postal Service first-class,

Express, and Priority mail must be

addressed to 45 L Street NE,

Washington, DC 20554.

•Effective March 19, 2020, and until

further notice, the Commission no

longer accepts any hand or messenger

delivered filings. This is a temporary

measure taken to help protect the health

and safety of individuals, and to

mitigate the transmission of COVID–19.

See FCC Announces Closure of FCC

Headquarters Open Window and

Change in Hand-Delivery Policy, Public

Notice, 35 FCC Rcd 2788 (March 19,

2020), https://www.fcc.gov/document/

fcc-closes-headquarters-open-window-

and-changes-hand-delivery-policy.

In addition to filing comments with

the Secretary, a copy of any comments

on the Paperwork Reduction Act

proposed information collection

requirements contained herein should

be submitted to the Federal

Communications Commission via email

to PRA@fcc.gov and to Nicole Ongele,

FCC, via email to Nicole.Ongele@

fcc.gov.

FOR FURTHER INFORMATION CONTACT

: For

further information, please contact

Alexander Hobbs, Attorney Advisor,

Competition Policy Division, Wireline

Competition Bureau, at

Alexander.Hobbs@fcc.gov or at (202)

418–7433. For additional information

concerning the Paperwork Reduction

Act proposed information collection

requirements contained in this

document, send an email to PRA@

fcc.gov or contact Nicole Ongele at (202)

418–2991.

SUPPLEMENTARY INFORMATION

: This is a

summary of the Commission’s Third

Further Notice of Proposed Rulemaking

(Further Notice) in WC Docket No. 17–

97, FCC 21–62, adopted on May 20,

2021, and released on May 21, 2021.

The full text of this document is

available for public inspection at the

following internet address: https://

docs.fcc.gov/public/attachments/FCC-

21-62A1.pdf. To request materials in

accessible formats for people with

disabilities (e.g. braille, large print,

electronic files, audio format, etc.), send

an email to fcc504@fcc.gov or call the

Consumer & Governmental Affairs

Bureau at (202) 418–0530 (voice), or

(202) 418–0432 (TTY).

Synopsis

I. Introduction

1. In this Third Further Notice of

Proposed Rulemaking, we take further

action to stem the tide of illegal

robocalls by proposing to accelerate the

date by which small voice providers

that originate an especially large amount

of call traffic must implement the STIR/

SHAKEN caller ID authentication

framework. STIR/SHAKEN combats

illegally spoofed robocalls by allowing

voice service providers to verify that the

caller ID information transmitted with a

particular call matches the caller’s

number. In March 2020, pursuant to

Congressional direction in the Pallone-

Thune Telephone Robocall Abuse

Criminal Enforcement and Deterrence

(TRACED) Act, the Commission adopted

timelines for voice service providers to

implement STIR/SHAKEN. In

September 2020, pursuant to the

TRACED Act, the Commission provided

a two-year extension of the deadline for

all small voice service providers to

implement STIR/SHAKEN. New

evidence suggests, however, that a

subset of small voice service providers

appears to be originating a large and

increasing quantity of illegal robocalls.

To better protect Americans from

illegally spoofed robocalls, we therefore

propose to shorten that deadline from

two years to one for the subset of small

voice providers that are at a heightened

risk of originating an especially large

amount of robocall traffic.

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lotter on DSK11XQN23PROD with PROPOSALS1

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United States Agency for International Development: Regulation To Implement the Freedom of Information Act

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