30322 Federal Register / Vol. 83, No. 125 / Thursday, June 28, 2018 / Rules and Regulations 

information on this process. These orders are 

available on the FAA website. 

1See Release No. 34–82373 (Dec. 21, 2017), 83 FR 

291 (Jan. 3, 2018) (‘‘Proposing Release’’). 

2The Commission is making one technical, 

clarifying modification from the proposal. 

Specifically, in the first sentence of Section 

200.80(a)(2)(ii), the word ‘‘Those’’ is changed to 

‘‘Persons.’’ 

3The Commission is making one technical, 

clarifying modification from the proposal. 

Specifically, the third sentence of Section 200– 

.80(f)(3), is changed from ‘‘Appeals should include 

a statement of the requester’s arguments as to why 

the records requested should be made available and 

why the adverse determination was in error’’ to 

‘‘Appeals should include a statement of the 

requester’s arguments as to why the records 

requested should be made available and the 

reason(s) the FOIA requester contends the adverse 

determination was in error.’’ 

Comments regarding the 

aforementioned circling procedure 

should be submitted via email to: AMCATO-IFP-Cancellations@faa.gov. 

Comments will only be considered and 

adjudicated when submitted prior to the 

comment deadline associated with the 

flight procedure as listed on the IFP 

Coordination tab of the Instrument 

Flight Procedures Information Gateway 

site. Aeronautical Information Services 

will adjudicate and respond to each 

comment within 30 days of being 

received. When a determination is made 

to cancel a part 97 instrument flight 

procedure or circling line of minima, 

the cancellation will be published in the 

Federal Register. 

Issued in Oklahoma City, Oklahoma, on 

June 21, 2018. 

Gary Powell, 

Director, Aeronautical Information Services. 

[FR Doc. 2018–13875 Filed 6–27–18; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 200 

[Release Nos. 34–83506; FOIA–193; File No. 

S7–09–17] 

RIN 3235–AM25 

Amendments to the Commission’s 

Freedom of Information Act 

Regulations 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission (‘‘Commission’’ or ‘‘SEC’’) 

is adopting amendments to the 

Commission’s regulations under the 

Freedom of Information Act (‘‘FOIA’’). 

The Commission is amending the FOIA 

regulations to reflect changes required 

by the FOIA Improvement Act of 2016 

(‘‘Improvement Act’’) and to clarify, 

update, and streamline the regulations. 

DATES: Effective July 30, 2018. 

FOR FURTHER INFORMATION CONTACT: 

Mark Tallarico, Senior Counsel, Office 

of the General Counsel, (202) 551–5132; 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 

20549–5041. 

SUPPLEMENTARY INFORMATION: 

I. Introduction 

On December 21, 2017, the 

Commission proposed amendments to 

its existing regulations under the FOIA, 

5 U.S.C. 552,1 to reflect changes 

required by the Improvement Act and to 

clarify, update, and streamline the 

language of several procedural 

provisions. The Commission received 

four comment letters on the proposed 

amendments. After consideration of the 

comments received, the Commission is 

adopting the amendments to its FOIA 

regulations as proposed, other than 

changes to two definitions related to the 

collection of fees and a few technical 

modifications for clarity. Due to the 

scope of the amendments, this final rule 

replaces the Commission’s existing 

FOIA regulations in their entirety (17 

CFR 200.80 through 200.80f). 

II. Final Amendments 

A. Changes To Conform to the 

Improvement Act 

The Commission is adopting four 

changes to the Commission’s FOIA 

regulations to conform them to the 

Improvement Act. These changes are 

being adopted largely as proposed.2

First, the final rule revises Section 

200.80(a) to provide that records the 

FOIA requires to be made available for 

public inspection will be available in 

electronic format on the Commission’s 

website, http://www.sec.gov. Second, 

the final rule revises Section 200.80(c) 

to provide that a request for records may 

be denied to the extent the exemptions 

in 5 U.S.C. 552(b) apply to the requested 

records and Commission staff 

reasonably foresees that disclosure 

would harm an interest protected by the 

applicable exemption, the disclosure of 

the requested records is prohibited by 

law, or the requested records are 

otherwise exempted from disclosure 

under 5 U.S.C. 552(b)(3). Third, the final 

rule revises the regulations to state that 

FOIA requesters may seek assistance 

from the Office of FOIA Services’ FOIA 

Public Liaisons (Sections 200.80(b), (d), 

and (e)) and to advise FOIA requesters 

of their right to seek dispute resolution 

services offered by the Office of 

Government Information Services in the 

case of a denied request (Section 

200.80(e)). Fourth, the final rule 

incorporates the amendments to the 

FOIA requiring agencies, if they do not 

comply with the time limits, to waive 

fees, under certain circumstances 

(Section 200.80(g)). 

B. Amendments to Certain Procedural 

Provisions 

The final amendments also revise 

certain procedural provisions. Those 

changes clarify, update, and streamline 

the Commission’s regulations, and most 

of the changes make the regulations 

consistent with existing practices. These 

changes are being largely adopted as 

proposed.3 The amended regulations, 

among other things, update the various 

methods for submitting FOIA requests 

and administrative appeals (Sections 

200.80(b) and (f)); incorporate language 

requiring requesters to include their full 

names and return addresses in their 

FOIA requests (Section 200.80(b)); 

describe certain information that is 

required when submitting requests for 

records about oneself or another 

individual (Section 200.80(b)); explain 

the situations in which the Office of 

FOIA Services staff will work with other 

Federal agencies that have an interest in 

agency records that may be responsive 

to a request (Section 200.80(c)); 

incorporate language that allows the 

Office of FOIA Services to seek a onetime clarification of an ambiguous 

request and toll the time period for 

responding to the request until the 

requester clarifies the request (Section 

200.80(d)); clarify when the 20-day 

statutory time limit for responding to 

requests begins (i.e., when requests are 

received by the Office of FOIA Services 

and when requests are modified so that 

they reasonably describe the records 

sought) (Section 200.80(d)); clarify the 

Office of FOIA Services’ system for 

multitrack processing of requests 

(Section 200.80(d)); and insert a 

provision to enable the Office of FOIA 

Services to aggregate requests involving 

related matters where it appears that 

multiple requests together constitute a 

single request that would involve 

unusual circumstances (Section 

200.80(d)). 

The final rule also clarifies, consistent 

with existing practice, that the Office of 

FOIA Services will close requests if 

requesters do not take certain steps 

within set time periods. For example, 

requesters must respond to the Office of 

FOIA Services’ one-time clarification 

request within 30 calendar days 

(Section 200.80(d)); agree to pay 


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4The initial posted fee will be 15 cents per page, 

and the Commission is already charging this lower 

cost. 

5The Commission is also making several 

technical, clarifying modifications from the 

proposal in the fee provisions. In the first sentence 

of Section 200.80(g)(3), the phrase ‘‘shall charge the 

fees summarized in chart form . . .’’ is changed to 

‘‘shall charge fees for the services summarized in 

chart form . . .’’ to more accurately describe the 

chart. In the first sentence of Section 

200.80(g)(3)(ii)(B), the phrase ‘‘ to locate records’’ is 

changed to ‘‘to locate or identify responsive 

records’’ so as to more precisely describe the search. 

In Section 200.80(g)(12)(ii), the phrase ‘‘shall 

consider all four of the following factors’’ is 

changed to ‘‘shall consider each of the following 

four factors.’’ 

6See letter from Ryan P. Mulvey, Counsel, Cause 

of Action Institute, dated January 3, 2018 (‘‘CoA 

Institute letter’’); letter from Keith P. Bishop, dated 

January 12, 2018 (‘‘Bishop letter’’) 

7See letter from Rachel Wood, dated April 27, 

2018. 

8See letter from Lori Gayle Nuckolls, dated 

January 22, 2018. 

9 5 U.S.C. 552(a)(4)(A)(i). 

10Uniform Freedom of Information Act Fee 

Schedule and Guidelines, 52 FR at 10,018 (March 

27, 1987). 

11See Bishop letter (quoting 5 U.S.C. 

552(a)(4)(A)(ii)(II)). 

12See Bishop letter. 

anticipated fees within 30 calendar days 

of the Office of FOIA Services’ fee 

estimate (Section 200.80(g)); and, when 

required to do so, make an advance 

payment within 30 calendar days of the 

Office of FOIA Services’ fee notice 

(Section 200.80(g)). 

C. Revisions to Fee Provisions 

Section 200.80(g) of the final rule 

revises the Office of FOIA Services’ fee 

procedures and fee schedule in two 

ways. Both of these changes are being 

adopted as proposed. First, the final rule 

allows the Office of FOIA Services to 

collect fees before sending records to a 

requester instead of seeking payment 

when the records are sent (Section 

200.80(g)(1)). Second, the final rule 

removes the set duplication fee of 24 

cents per page and instead refers 

requesters to the FOIA fee page on the 

Commission’s website, where the 

current fee will be posted (Section 

200.80(g)(3)(v)).4 The duplication fee 

posted on the website will reflect the 

direct costs of photocopying or 

producing a printout, taking into 

account various factors including the 

salary of the employee(s) performing the 

work and the cost of materials. The 

duplication fee posted on the 

Commission’s website will be adjusted 

as appropriate to reflect current costs. 

Eliminating the set duplication fee will 

allow the Office of FOIA Services to 

align its photocopying and printout fees 

with the actual costs of duplicating 

records for production to requesters (in 

paper format) without having to amend 

the regulations. 

As proposed, the final rule also 

codifies several existing practices. For 

example, it states that fees for 

duplicating records onto electronic 

medium (including the costs associated 

with scanning materials, where 

applicable) will be the direct costs of 

duplicating records for requesters 

(Section 200.80(g)(3)(v)); clarifies that 

the Office of FOIA Services will not 

process any requests once it determines 

that a fee may be charged unless the 

requester commits to pay any estimated 

fees (Section 200.80(g)(5)(ii)); clarifies 

the direct costs that can be charged by 

the Office of FOIA Services as part of 

search, review, and duplication fees 

(Section 200.80(g)(3)); and sets forth the 

various methods by which FOIA 

processing fees can be paid (Section 

200.80(g)(1)). 

The final rule also revises existing feerelated definitions and incorporates new 

fee-related definitions (Section 

200.80(g)(2)). As discussed below, some 

of these definitions have been slightly 

revised in the final rule in response to 

comments received on the proposed 

rule.5

D. Elimination of Certain Provisions 

As proposed, the final rule eliminates 

certain provisions in the Commission’s 

current FOIA regulations that repeat 

information contained in the FOIA 

statute and do not need to be in the 

Commission’s regulations. Among the 

provisions that the Commission is 

removing are: (1) The list of information 

the FOIA requires the Commission to 

publish in the Federal Register (Section 

200.80(a)(1) of the superseded 

regulations), (2) the categories of records 

the FOIA requires the Commission to 

make available for public inspection 

(Section 200.80(a)(2) of the superseded 

regulations), and (3) the nine categories 

of records that are exempt from 

disclosure under 5 U.S.C. 552(b) 

(Section 200.80(b) of the superseded 

regulations). Finally, the final rule 

eliminates Appendices A through F 

from the existing FOIA regulations. 

Appendices A through D and F of the 

existing regulations provide general 

information that is available on the 

Commission’s website to the extent it is 

relevant to the public. The information 

in Appendix E of the existing 

regulations is revised and updated and 

moved to Section 200.80(g) (Fees) of the 

final rule. 

E. Structure of the Final Rule 

The structure of the regulations is 

amended accordingly: Section 200.80(a) 

(General provisions); Section 200.80(b) 

(Requirements for making requests); 

Section 200.80(c) (Processing requests); 

Section 200.80(d) (Time limits and 

expedited processing); Section 200.80(e) 

(Responses to requests); Section 

200.80(f) (Administrative appeals); and 

Section 200.80(g) (Fees). 

III. Public Comments 

The Commission received four 

comment letters in response to the 

proposed rulemaking. Two of the 

comments concern definitions in the fee 

provisions of the proposed rule and 

suggest substantive changes to the 

Commission’s proposed fee definitions.6

One comment suggests technical 

clarifications to some of the 

Commission’s FOIA procedures.7 The 

final letter supports certain provisions 

in the proposed rule.8 The Commission 

has considered the comments received 

and, as discussed below, in certain cases 

has made modifications in the final 

amendments in response to those 

comments. 

In proposing the definitions in the fee 

provisions of the proposed rule, the 

Commission considered the FOIA’s 

directive that agencies ‘‘promulgate 

regulations . . . specifying the schedule 

of fees applicable to the processing of 

requests . . . [and that] [s]uch schedule 

shall conform to the guidelines which 

shall be promulgated . . . by the 

Director of the Office of Management 

and Budget [(‘‘OMB’’)].’’ 9 In light of this 

directive, the Commission looked to the 

definitions in the OMB’s 1987 FOIA fee 

guidelines except to the extent that 

courts have held that the definitions are 

not consistent with the FOIA.10

A. Section 200.80(g)(2)(iv) (Definition of 

Educational Institution) 

One commenter expressed concern 

that the Commission’s definition of 

‘‘educational institution’’ in proposed 

Section 200.80(g)(2)(iv) is inconsistent 

with the FOIA provision that addresses 

fees that agencies can charge when 

‘‘records are not sought for commercial 

use and the request is made by an 

educational or noncommercial scientific 

institution, whose purpose is scholarly 

or scientific research.’’ 11 The 

commenter stated that the Commission’s 

proposed definition of ‘‘educational 

institution’’ ‘‘deviates from the statute 

in two respects’’—the definition ‘‘omits 

reference to ‘scientific research’ ’’ and it 

‘‘requires that the purpose of the request 

be ‘to further scholarly research’ 

whereas the statute requires only that 

the educational institution have a 

purpose of scholarly or scientific 

research.’’ 12


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13 52 FR at 10,014. 

14See Bishop letter. 

15 Id. 

16 52 FR at 10,018. 

17 52 FR at 10,019. 

18See Bishop letter; CoA Institute letter. 

19 Id. 

20See CoA Institute letter. 

21 Id. 

22 Id. (citing Cause of Action v. Federal Trade 

Commission 799 F.3d 1108, 1121 (DC Cir. 2015)). 

23 Id. (citing Cause of Action, 799 F.3d at 1122– 

25). 

24 Id. 

25 Id. 

The FOIA does not define the term 

‘‘educational institution.’’ The 

Commission’s proposed definition of 

‘‘educational institution’’ did not 

include a reference to ‘‘scientific 

research’’ because in promulgating its 

fee guidelines, the OMB found that ‘‘the 

statute and the legislative history recite 

the formula ‘educational or scientific 

institution/scholarly or scientific 

research,’ and it seems clear that the 

phrase was meant to be read 

disjunctively so that scholarly applies to 

educational institution and scientific 

applies to non-commercial scientific 

institution.’’ 13 In addition, ‘‘scholarly 

research’’ is a broad term that would 

generally include ‘‘scientific research.’’ 

Accordingly, the Commission does not 

believe it is necessary to include 

‘‘scientific research’’ as part of its 

definition of ‘‘educational institution.’’ 

In response to the commenter’s 

suggestion to remove from the definition 

of ‘‘educational institution’’ the 

requirement that the records are sought 

to ‘‘further scholarly research,’’ the 

Commission is deleting this language 

from the definition and is inserting 

language to clarify that the requester 

must show that the request is made in 

connection with the requester’s role at 

the educational institution and that the 

records are not sought for commercial or 

personal use. The definition of 

‘‘educational institution’’ in the final 

rule at § 200.80(g)(2)(iv) is thus revised 

to read: 

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 the requester’s role at 

the educational institution and that the 

records are not sought for commercial or 

personal use. 

B. Section 200.80(g)(2)(v) (Definition of 

Noncommercial Scientific Institution) 

One commenter expressed concern 

that the Commission’s proposed 

definition of ‘‘noncommercial scientific 

institution’’ in proposed 

§ 200.80(g)(2)(v) is inconsistent with the 

FOIA ‘‘because it imposes additional 

limitations and conditions not found in 

the statutory definition.’’ 14 This 

commenter stated that the FOIA, unlike 

the proposed rule, ‘‘does not require (i) 

that the institution be operated solely 

for the purpose of conducting scientific 

research, or (ii) that the request is being 

made under the auspices of a qualifying 

institution.’’ 15

The Commission believes that its 

proposed definition of ‘‘noncommercial 

scientific institution’’ is consistent with 

the FOIA. The FOIA does not define the 

term ‘‘noncommercial scientific 

institution’’ and the Commission has 

adopted the definition from the OMB’s 

FOIA fee guidelines. Those guidelines 

provide that the ‘‘term ‘non-commercial 

scientific institution’ refers to an 

institution that is not operated on a 

‘commercial’ basis . . . and which is 

operated solely for the purpose of 

conducting scientific research the 

results of which are not intended to 

promote any particular product or 

industry.’’ 16 The OMB guidelines 

further state that ‘‘[t]o be eligible for 

inclusion [in the noncommercial 

scientific institution] category, 

requesters must show that the request is 

being made as authorized by and under 

the auspices of a qualifying institution 

and that the records are not sought for 

a commercial use, but are sought in 

furtherance of . . . scientific . . . 

research.’’ 17 Accordingly, the 

Commission is adopting the proposed 

definition of ‘‘noncommercial scientific 

institution’’ in Section 200.80(g)(2)(v) of 

the final rule without change. 

C. Section 200.80(g)(2)(vi) (Definition of 

Representative of the News Media or 

News Media Requester) 

Two commenters expressed concern 

that the Commission’s proposed 

definition of ‘‘representative of the news 

media’’ or ‘‘news media requester’’ is 

inconsistent with the statutory 

definition.18 Both commenters noted 

that the statutory definition does not 

require a ‘‘news media requester’’ to be 

‘‘organized and operated to publish or 

broadcast news to the public.’’ 19 One of 

the commenters specifically 

recommended striking the ‘‘organized 

and operated’’ standard from the 

definition.20 In response to these 

comments, the Commission has omitted 

the ‘‘organized and operated’’ language 

in the final rule. 

One commenter addressed three 

additional considerations related to the 

Commission’s proposed definition of 

‘‘news media requester.’’ 21 This 

commenter first recommended further 

revising the proposed definition of 

‘‘news media requester’’ by deleting the 

last sentence of the proposed definition 

(‘‘The Office of FOIA Services will 

determine whether to grant a requester 

news media status on a case-by-case 

basis based upon the requester’s 

intended use of the requested 

material.’’) because ‘‘the statute’s focus 

[is] on requesters, rather than [their] 

requests.’’ 22 In response to this 

recommendation, the Commission has 

removed the final sentence from the 

definition of ‘‘news media requester’’ in 

the final rule. 

This commenter also recommended 

that the Commission recognize that a 

news media requester may use 

‘‘editorial skills’’ to turn ‘‘raw materials 

into a distinct work’’ when writing 

documents such as press releases and 

editorial comments, as the U.S. Court of 

Appeals for the District of Columbia 

stated in Cause of Action v. Federal 

Trade Commission.23 The commenter 

did not recommend any changes to the 

rule to address this issue, and the 

Commission believes none are 

necessary.24 The Commission, as 

appropriate, will consider Cause of 

Action and any other relevant 

precedents in applying the fee 

provisions in its regulations. 

Finally, this commenter 

recommended that the Commission 

‘‘should indicate [in its definition of 

‘‘news media requester’’] that any 

examples of news media entities it may 

include in its regulations are nonexhaustive.’’ 25 The Commission is not 

making any changes in response to this 

comment because the definition in the 

final rule does not contain any examples 

of news media entities. 

IV. Other Matters 

If any of the provisions of these 

amendments, or the application thereof 

to any person or circumstance, is held 

to be invalid, such invalidity shall not 

affect other provisions or application of 

such provisions to other persons or 

circumstances that can be given effect 

without the invalid provision or 

application. 

V. Economic Analysis 

The Commission is sensitive to the 

economic effects, including the costs 

and benefits, that result from its rules. 

Section 23(a)(2) of the Securities 

Exchange Act of 1934 (‘‘Exchange Act’’) 

requires the Commission, in making 

rules pursuant to any provision of the 

Exchange Act, to consider among other 

matters the impact any such rule would 

have on competition and prohibits any 

rule that would impose a burden on 


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26 15 U.S.C. 78w(a). 

27 15 U.S.C. 78c(f). 

competition that is not necessary or 

appropriate in furtherance of the 

purposes of the Exchange Act.26

Further, Section 3(f) of the Exchange 

Act requires the Commission, when 

engaging in rulemaking where it is 

required to consider or determine 

whether an action is necessary or 

appropriate in the public interest, to 

consider, in addition to the protection of 

investors, whether the action will 

promote efficiency, competition, and 

capital formation.27

As explained in the proposal and 

discussed further below, the 

Commission believes that the economic 

effects of the final rule will be limited. 

The Commission notes that, where 

possible, it has attempted to quantify 

the costs, benefits, and effects on 

efficiency, competition, and capital 

formation expected to result from the 

proposed amendments. In some cases, 

however, the Commission is unable to 

quantify the economic effects because it 

lacks the information necessary to 

provide a reasonable estimate. 

Additionally, some of the potential 

benefits of the amendments are 

inherently difficult to quantify. 

The amendments to the Commission’s 

FOIA regulations fall into four 

categories. First, as discussed in more 

detail above, the Commission is 

amending its regulations to conform the 

regulations to the Improvement Act. 

Consistent with the Improvement Act, 

the amended rule provides: (1) Records 

required to be made available pursuant 

to the FOIA will be made available in 

electronic format; (2) records will be 

withheld under the exemptions in 5 

U.S.C. 552(b) only if Commission staff 

reasonably foresees that disclosure 

would harm an interest protected by the 

applicable exemption or disclosure is 

prohibited by law; (3) FOIA requesters 

may seek assistance from the Office of 

FOIA Services’ FOIA Public Liaisons 

and will be advised that they have the 

right to seek dispute resolution services 

from the Office of Government 

Information Services if their request is 

denied; and (4) the Office of FOIA 

Services is required to waive fees, in 

certain circumstances, if it does not 

comply with the time limits under the 

FOIA. The Commission believes that 

these changes will have minimal impact 

on FOIA requesters because they largely 

codify the Commission’s existing 

practices. To the extent the amendments 

result in these practices being followed 

more consistently, they could benefit 

the public by increasing the amount of 

information available, making more 

information available in an electronic 

format, and ensuring that requesters 

know of their right to seek alternative 

dispute resolution. The Commission 

also believes that the public could 

benefit from the increased transparency 

regarding these practices. The 

Commission does not expect these 

amendments to result in additional 

costs to any member of the public. 

Second, the final rule will amend 

several procedural provisions within the 

Commission’s FOIA regulations, which 

will better reflect and improve existing 

practice. Most of these changes codify 

existing Office of FOIA Services 

practice, including: (1) Adding to the 

regulation additional methods for 

submitting FOIA requests and 

administrative appeals; (2) clarifying the 

existing procedures for submitting 

requests for records about oneself or 

another individual; (3) clarifying the 

existing procedures for submitting a 

proper FOIA request and seeking 

clarification of a request; (4) clarifying 

existing procedures for submitting an 

administrative appeal; and (5) clarifying 

the existing practice that limits 

administrative appeals to written filings 

(i.e., there is no opportunity for personal 

appearance, oral argument, or hearing 

on appeal). The Commission does not 

expect these changes to result in 

additional costs to any member of the 

public. The Commission also expects 

that there would be some benefit to 

FOIA requesters from the increased 

transparency regarding these practices. 

Two procedural changes could 

impose limited costs on members of the 

public. First, FOIA requesters will be 

required to include their full names and 

addresses in their requests. Providing a 

full name and address is not itself 

burdensome, but some requesters may 

prefer to remain anonymous and could 

be deterred from submitting FOIA 

requests by this requirement. However, 

because nearly all FOIA requesters 

provide this information already, the 

Commission expects that the economic 

impact of the amendment will be 

minimal. Second, the Office of FOIA 

Services will be able to aggregate related 

requests from one requester (or a group 

of requesters). The Office of FOIA 

Services can aggregate requests that on 

their own do not involve ‘‘unusual 

circumstances,’’ as defined in the 

amended regulations, or warrant 

placement in a track for complex 

requests (i.e., requests that require more 

work and/or time to process than most 

requests), so aggregation may lead to 

extended deadlines for processing a 

request or cause a request to be handled 

after other complex requests. Based on 

past experience, the Commission 

expects that few requests will be 

aggregated. In addition, if the 

aggregation of requests results in the 

requests being placed in a track for 

complex requests that could extend the 

processing time, the requester can 

modify the request so that it can be 

processed more quickly. Thus, the 

Commission expects that the impact of 

this amendment also will be minimal. 

Third, the Commission is revising the 

Office of FOIA Services’ fee procedures 

and fee schedule in several ways, 

including: (1) Eliminating from the rule 

the per page duplication fee for copying 

or printing requested records, and 

instead referring requesters to the FOIA 

fee page on the Commission’s website; 

(2) allowing the Office of FOIA Services 

to collect fees before sending records to 

a requester instead of seeking payment 

when the records are sent; (3) clarifying 

the direct costs that can be charged by 

the Office of FOIA Services as part of its 

search, review, and duplication fees; 

and (4) codifying the existing Office of 

FOIA Services practice of charging 

requesters the actual cost of production 

for materials produced in an electronic 

format. In general, lowering fees 

associated with FOIA requests could 

encourage additional FOIA submissions, 

while raising fees could deter them. 

However, as discussed below, the 

Commission does not anticipate that 

any of its changes to the Office of FOIA 

Services’ fee procedures will impose 

significant new costs on FOIA 

requesters. 

With respect to the elimination of the 

set per page duplication fee, the Office 

of FOIA Services has already lowered its 

per page duplication fee from 24 cents 

to 15 cents to reflect its actual 

duplication costs. Even if the Office of 

FOIA Services were to increase the per 

page duplication fee in the future, the 

impact of any increase would likely be 

minimal. Information about the fees the 

Commission has collected for FOIA 

requests for the past seven years allows 

the Commission to estimate the 

economic effects of this proposed 

change. Table 1 shows the number of 

requests received and processed by the 

Commission during fiscal years 2011 

through 2017 and the fees the 

Commission collected. The fees 

collected by the Commission for 

processing FOIA requests include 

charges for staff time associated with 

locating, reviewing, and copying 

responsive documents, as well as 

duplication fees for paper copies and 

production costs for other types of 

media. The fee schedule for FOIA 


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28Calculated as $37,164.71/13,466 = $2.76. 

29To arrive at this estimated increase, we divide 

$37,164.71 in duplication fees by a cost of $0.24 per 

page to derive an estimate of approximately 154,853 

pages of copies on average per fiscal year. 154,853 

pages × $0.01 increase in per-page duplication fees 

= $1,548.53 in additional total processing fees. 

30Calculated as ($37,164.71 + $1,548.53)/13,466 

= $2.87. 

31 5 U.S.C. 605(b). 

32 44 U.S.C. 3501 et seq. 

33 44 U.S.C. 3507(d) and 5 CFR 1320.11. 

requests is available on the 

Commission’s website. 

TABLE 1—FOIA REQUESTS IN FISCAL YEARS 2011 TO 2017 

Fiscal year Requests 

received 

Requests 

processed 

Fees 

collected for 

processing 

requests 

2011 ............................................................................................................................................. 11,555 11,562 $78,005.94 

2012 ............................................................................................................................................. 11,292 11,302 27,577.00 

2013 ............................................................................................................................................. 12,275 12,167 35,954.30 

2014 ............................................................................................................................................. 14,862 14,757 22,670.81 

2015 ............................................................................................................................................. 16,898 16,207 19,890.07 

2016 ............................................................................................................................................. 14,458 15,196 41,029.68 

2017 ............................................................................................................................................. 13,063 13,069 35,025.15 

As shown in Table 1, from fiscal years 

2011–2017, the Office of FOIA Services 

collected an average of $37,164.71 per 

year in fees for processing an average of 

13,466 requests. These amounts 

correspond to an average fee of $2.76 

collected per request processed.28 Even 

if all of those fees were for duplication 

(which they were not), a one cent per 

page increase in duplication fees would 

result in an increase in total fees 

collected of approximately $1,548.53,29

corresponding to an average fee of $2.87 

collected per request processed.30

With respect to the amendment 

providing that the FOIA Office can 

collect fees before sending records to a 

requester (instead of seeking payment 

when the records are sent), the 

Commission expects that any additional 

cost will be limited to a slight delay in 

receiving documents. The timing of the 

collection will not itself impose any 

additional costs on FOIA requesters 

because the timing would not alter the 

amount of fees charged. Any delay in 

receiving the documents will not be 

significant because a FOIA requester 

could make an electronic payment upon 

receipt of the request for payment, and 

the Office of FOIA Services would then 

provide the documents. The 

Commission notes that some requesters 

may choose to forgo receiving the 

records in question if the fees are 

substantial, though even this impact 

may be muted because requesters will 

have been advised of and approved 

potential charges before requests are 

processed by the FOIA Office. 

The clarification regarding direct 

costs and codification of existing 

practices with respect to fees for 

materials produced in an electronic 

format are consistent with existing 

practices, and the Commission therefore 

does not expect these amendments to 

impose any additional burden on the 

public. The other changes to the Office 

of FOIA Services’ fee procedures also 

codify existing processes and will 

therefore not impose any additional 

burden on requesters. These changes 

include: (1) Clarifying that the Office of 

FOIA Services will not process any 

requests once it determines that a fee 

may be charged unless the requester 

commits to pay the estimated fees; and 

(2) adding and clarifying certain feerelated definitions. The Commission 

does not expect these amendments to 

result in additional costs to any member 

of the public. To the contrary, the 

Commission believes that the public 

could benefit from the increased 

transparency regarding these practices. 

As discussed above, some of the feerelated definitions have been revised in 

the final rule in response to comments 

on the proposed rule. Specifically, the 

Commission has revised the definitions 

of ‘‘educational institution’’ and 

‘‘representative of the news media’’ or 

‘‘news media requester.’’ The revisions 

serve to clarify and broaden the scope 

of existing definitions, which may 

benefit some requesters. The 

Commission does not expect these 

revisions to result in additional costs to 

any member of the public. 

Finally, the final rule will eliminate 

certain provisions in the SEC’s FOIA 

regulations that are restatements of 

provisions in the FOIA statute. The 

Commission does not expect these 

amendments to result in any economic 

effects, as the elimination of these 

redundant provisions will not have any 

substantive consequence. 

The Commission requested comments 

on all aspects of the benefits and costs 

of the proposal. No commenter 

addressed the economic analysis 

contained in the proposal. The 

Commission continues to believe that 

the amendments to the Commission’s 

FOIA regulations will not have any 

significant impact on efficiency, 

competition, or capital formation. 

VI. Regulatory Flexibility Act 

Certification 

Pursuant to Section 605(b) of the 

Regulatory Flexibility Act of 1980,31 the 

Commission certified that, when 

adopted, the amendments to 17 CFR 

200.80 would not have a significant 

economic impact on a substantial 

number of small entities. This 

certification, including our basis for the 

certification, was included in the 

proposing release. The Commission 

solicited comments on the 

appropriateness of its certification, but 

received none. The Commission is 

adopting the final rules as modified and 

discussed above. These modifications to 

the proposal would not alter the basis 

upon which the certification was made. 

VII. Paperwork Reduction Act 

The Commission stated in the 

proposed release that the proposed 

amendments to the FOIA regulations do 

not contain any collection of 

information as defined by the 

Paperwork Reduction Act of 1995 

(‘‘PRA’’).32 The Commission also 

determined that the proposed 

amendments would not create any new 

filing, reporting, recordkeeping, or 

disclosure reporting requirements. 

Accordingly, the Commission did not 

submit the proposed amendments to the 

Office of Management and Budget for 

review under the PRA.33 The 

Commission solicited comments on 

whether its conclusion that there are no 

new collections of information is 


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correct, and it did not receive any 

comments. 

VIII. Statutory Authority and Text of 

Rule Amendments 

The amendments contained herein are 

being proposed under the authority set 

forth in Public Law 114–185 § 3(a), 130 

Stat. 538; 5 U.S.C. 552; 15 U.S.C. 77f(d), 

77s, 77ggg(a), 78d–1, 78w(a), 80a–37(a), 

80a–44(b), 80b–10(a), and 80b–11(a). 

List of Subjects in 17 CFR Part 200 

Administrative practice and 

procedure; Freedom of information. 

Text of Amendments 

For the reasons stated in the 

preamble, the Commission amends 17 

CFR part 200 as follows: 

PART 200—ORGANIZATION; 

CONDUCT AND ETHICS; AND 

INFORMATION AND REQUESTS 

Subpart D—Information and Requests 

■ 1. The authority citation for subpart D 

is revised to read as follows: 

Authority: 5 U.S.C. 552, as amended, 15 

U.S.C. 77f(d), 77s, 77ggg(a), 77sss, 78m(F)(3), 

78w, 80a–37, 80a–44(a), 80a–44(b), 80b– 

10(a), and 80b–11, unless otherwise noted. 

Section 200.80 also issued under Public 

Law 114–185 sec. 3(a), 130 Stat. 538; 5 U.S.C. 

552; 15 U.S.C. 77f(d), 77s, 77ggg(a), 78d–1, 

78w(a), 80a–37(a), 80a–44(b), 80b–10(a), and 

80b–11(a), unless otherwise noted. 

Section 200.82 also issued under 15 U.S.C. 

78n. 

Section 200.83 also issued under E.O. 

12600, 3 CFR, 1987 Comp., p. 235. 

■ 2. Section 200.80 is revised to read as 

follows: 

§ 200.80 Securities and Exchange 

Commission records and information. 

(a) General provisions. (1) This 

section contains the rules that the U.S. 

Securities and Exchange Commission 

follows in processing requests for 

records under the Freedom of 

Information Act (‘‘FOIA’’), 5 U.S.C. 552, 

as amended. These rules should be read 

in conjunction with the text of the FOIA 

and the Uniform Freedom of 

Information Fee Schedule and 

Guidelines published by the Office of 

Management and Budget (‘‘OMB 

Guidelines’’). Requests made by 

individuals for records about 

themselves under the Privacy Act of 

1974, 5 U.S.C. 552a, are processed in 

accordance with the Commission’s 

Privacy Act regulations at subpart H, as 

well as this section. 

(2)(i) Records that the FOIA requires 

to be made available for public 

inspection in an electronic format 

(pursuant to 5 U.S.C. 552(a)(2)) are 

accessible through the Commission’s 

website, http://www.sec.gov. Each 

division and office of the Commission is 

responsible for determining which of its 

records are required to be made publicly 

available in an electronic format, as well 

as identifying additional records of 

interest to the public that are 

appropriate for public disclosure, and 

for posting and indexing such records. 

Each division and office shall ensure 

that its posted records and indexes are 

reviewed and updated on an ongoing 

basis. 

(ii) Persons who do not have access to 

the internet may obtain these records by 

contacting the Commission’s Office of 

FOIA Services by telephone at 202–551– 

7900, by email at foiapa@sec.gov, or by 

visiting the Commission’s Public 

Reference Room, 100 F Street NE, 

Washington, DC 20549–2736, on official 

working days between the hours of 

10:00 a.m. and 3:00 p.m. 

(b) Requirements for making requests 

for records—(1) How made and 

addressed. The Commission has a 

centralized system for responding to 

FOIA requests, with all requests 

processed by the Office of FOIA 

Services. Requests for agency records 

must be in writing and include the 

requester’s full name and a legible 

return address. Requesters may also 

include other contact information, such 

as an email address and a telephone 

number. Requests may be submitted by 

U.S. mail or delivery service and 

addressed to the Freedom of 

Information Act Officer, SEC, 100 F 

Street NE, Washington, DC 20549. 

Requests may also be made by facsimile 

(202–772–9337), email (foiapa@sec.gov), 

or online at the Commission’s website 

(http://www.sec.gov). The request (and 

envelope, if the request is mailed or 

hand-delivered) should be marked 

‘‘Freedom of Information Act Request.’’ 

(2) Requests for records about oneself 

or another individual. (i) A requester 

who is making a request for records 

about himself or herself must comply 

with the verification of identity 

provisions set forth in subpart H of this 

part to obtain any documents that 

would not be available to the public 

under the FOIA. 

(ii) For requests for records about 

another individual, a requester may 

receive greater access by submitting 

either a notarized authorization signed 

by the individual permitting disclosure 

of his or her records or proof that the 

individual is deceased (e.g., a copy of a 

death certificate or an obituary). The 

Office of FOIA Services can require a 

requester to supply additional 

information if necessary to verify that a 

particular individual has consented to 

disclosure. 

(3) Description of records sought. A 

FOIA request must reasonably describe 

the agency records sought with 

sufficient specificity with respect to 

names, dates, and subject matter to 

enable personnel within the divisions 

and offices of the Commission to locate 

them with a reasonable effort. Before 

submitting a request, a requester may 

contact the Office of FOIA Services’ 

FOIA Public Liaisons to discuss the 

records they are seeking and to receive 

assistance in describing the records 

(contact information for these 

individuals is on the Commission’s 

website, http://www.sec.gov). If the 

Office of FOIA Services determines that 

a request does not reasonably describe 

the records sought, it shall inform the 

requester what additional information is 

needed or how the request is 

insufficient. A requester who is 

attempting to reformulate or modify 

such a request may discuss the request 

with the Office of FOIA Services’ 

designated FOIA contact, its FOIA 

Public Liaisons, or a representative of 

the Office of FOIA Services, each of 

whom is available to assist the requester 

in reasonably describing the records 

sought. When a requester fails to 

provide sufficient information within 30 

calendar days after having been asked to 

reasonably describe the records sought, 

the Office of FOIA Services shall notify 

the requester in writing that the request 

has not been properly made, that no 

further action will be taken, and that the 

FOIA request is closed. Such a notice 

constitutes an adverse determination 

under paragraph (e)(2) of this section for 

which the Office of FOIA Services shall 

follow the procedures for a denial letter 

under paragraph (e)(2) of this section. In 

cases where a requester has modified 

his or her request so that it reasonably 

describes the requested records, the date 

of receipt for purposes of the 20-day 

time limit of paragraph (d) of this 

section shall be the date of receipt of the 

modified request. 

(c) Processing requests—(1) In 

general. (i) A request for records may be 

denied to the extent the exemptions in 

5 U.S.C. 552(b) apply to the requested 

records and: 

(A) Commission staff reasonably 

foresees that disclosure would harm an 

interest protected by the applicable 

exemption; or 

(B) The disclosure of the requested 

records is prohibited by law or is 

exempt from disclosure under 5 U.S.C. 

552(b)(3). 

(ii) In determining which records are 

responsive to a request, the Office of 

FOIA Services ordinarily will include 

only records in the agency’s possession 

as of the date that it begins its search. 


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(2) Re-routing of misdirected requests. 

Any division or office within the 

Commission that receives a written 

request for records should promptly 

forward the request to the Office of 

FOIA Services for processing. 

(3) Consultation, referral, and 

coordination. When reviewing records 

located in response to a request, the 

Office of FOIA Services will determine 

whether another Federal agency is better 

able to determine if the record is exempt 

from disclosure under the FOIA. As to 

any such record, the Office of FOIA 

Services will proceed in one of the 

following ways: 

(i) Consultation. In instances where a 

record is requested that originated 

within a division or office within the 

Commission and another Federal agency 

has a significant interest in the record 

(or a portion thereof), the Office of FOIA 

Services will consult with that Federal 

agency before responding to a requester. 

When the Office of FOIA Services 

receives a request for a record (or a 

portion thereof) in its possession that 

originated with another entity within 

the Federal Government that is not 

subject to the FOIA, the Office of FOIA 

Services will typically consult with that 

entity prior to making a release 

determination. 

(ii) Referral. When the Office of FOIA 

Services receives a request for a record 

(or a portion thereof) in its possession 

that originated with another Federal 

agency subject to the FOIA, the Office 

of FOIA Services will typically refer the 

record to that agency for direct response 

to the requester. Ordinarily, the agency 

that originated the record will be 

presumed to be best able to make the 

disclosure determination. However, if 

the Office of FOIA Services and the 

originating agency jointly agree that the 

Office of FOIA Services is in the best 

position to make a disclosure 

determination regarding the record, then 

the record may be handled as a 

consultation and processed by the 

Office of FOIA Services. Whenever the 

Office of FOIA Services refers a record 

to another Federal agency for direct 

response to the requester, the Office of 

FOIA Services shall notify the requester 

in writing of the referral and inform the 

requester of the name of the agency to 

which the record was referred. 

(iii) Coordination. If disclosure of the 

identity of the agency to which the 

referral would be made could harm an 

interest protected by an exemption, the 

Office of FOIA Services generally will 

coordinate with the originating agency 

to seek its views as to disclosure of the 

record and then advise the requester of 

the release determination for the record 

that is the subject of the coordination. 

(iv) Classified information. On receipt 

of any request involving classified 

information, the Commission staff in 

possession of the information shall 

determine whether the information is 

currently and properly classified and 

take appropriate action to ensure 

compliance with subpart J of this part. 

Whenever a request involves a record 

containing information that has been 

classified or may be appropriate for 

classification by another Federal agency 

under an executive order concerning the 

classification of records, the Office of 

FOIA Services shall 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 agency 

records contain information that has 

been classified by another Federal 

agency, the Office of FOIA Services 

shall refer the responsibility for 

responding to that portion of the request 

to the agency that classified the 

underlying information except in 

circumstances that come within 

paragraph (c)(3)(iii) of this section. 

(d) Time limits and expedited 

processing—(1) In general. The Office of 

FOIA Services will seek to respond to 

requests according to their order of 

receipt within each track of the Office 

of FOIA Services’ multitrack processing 

system as described in paragraph (d)(4) 

of this section. 

(2) Initial response. A determination 

whether to comply with a FOIA request 

shall be made within 20 days (excepting 

Saturdays, Sundays, and legal public 

holidays) from the date the Office of 

FOIA Services receives a request for a 

record under this part, except when the 

circumstances described in paragraph 

(d)(3), (5), or (7) of this section are 

applicable. In instances where a FOIA 

requester has misdirected a request that 

is re-routed pursuant to paragraph (c)(2) 

of this section, the response time shall 

commence on the date that the request 

is first received by the Office of FOIA 

Services, but in any event not later than 

10 working days after the request is first 

received by any division or office of the 

Commission. 

(3) Clarification of request. The Office 

of FOIA Services may seek clarification 

of a request (or a portion of a request) 

for records. The request for clarification 

generally should be in writing. The first 

time the Office of FOIA Services seeks 

clarification, the time for responding to 

the entire request (set forth in paragraph 

(d)(2) of this section) is tolled until the 

requester responds to the clarification 

request. The tolled period will end 

when the Office of FOIA Services 

receives a response from the requester 

that reasonably describes the requested 

records. If the Office of FOIA Services 

asks for clarification and does not 

receive a written response from the 

requester within 30 calendar days from 

the date of the clarification request, the 

Office of FOIA Services will presume 

that the requester is no longer interested 

in the record(s) sought and notify the 

requester that any portion of the request 

as to which clarification was sought has 

been closed. 

(4) Multitrack processing. The Office 

of FOIA Services shall use a multitrack 

system for processing FOIA requests. 

The Office of FOIA Services shall 

designate one track for requests that are 

granted expedited processing, in 

accordance with the standards set forth 

in paragraph (d)(7) of this section. The 

Office of FOIA Services shall use two or 

more additional processing tracks that 

distinguish between simple and more 

complex requests based on the 

estimated amount of work and/or time 

needed to process the request. Among 

the factors the Office of FOIA Services 

may consider are the time to perform a 

search, the number of pages that must 

be reviewed in processing the request, 

and the need for consultations or 

referrals. The Office of FOIA Services 

shall advise requesters of the track into 

which their request falls and, when 

appropriate, shall offer the requesters an 

opportunity to narrow the scope of their 

request so that it can be placed in a 

different processing track. 

(5) Unusual circumstances. The Office 

of FOIA Services may extend the time 

period for processing a FOIA request in 

‘‘unusual circumstances.’’ To extend the 

time, the Office of FOIA Services shall 

notify the requester in writing of the 

unusual circumstances involved and of 

the date by which processing of the 

request is expected to be completed. If 

the extension exceeds 10 working days, 

the Office of FOIA Services shall 

provide the requester, in writing, with 

an opportunity to modify the request or 

arrange an alternative time frame for 

processing the request or a modified 

request. The Office of FOIA Services 

shall also make available its FOIA 

Public Liaisons to assist in the 

resolution of any disputes and notify the 

requester of the right to seek dispute 

resolution services from the Office of 

Government Information Services. For 

purposes of this section, ‘‘unusual 

circumstances’’ include: 

(i) The need to search for and collect 

the requested records from field 

facilities or other establishments that are 

separate from the office processing the 

request. 

(ii) The need to search for, collect, 

and appropriately examine a 


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voluminous amount of separate and 

distinct records that are the subject of a 

single request. 

(iii) The need to consult with another 

Federal agency having a substantial 

interest in the determination of the 

FOIA request or among two or more 

divisions or offices within the 

Commission having substantial subjectmatter interest therein. 

(6) Aggregating requests. The Office of 

FOIA Services may aggregate requests in 

cases where it reasonably believes that 

multiple requests, submitted either by a 

requester or by a group of requesters 

acting in concert, together constitute a 

single request that would involve 

unusual circumstances, as defined in 

paragraph (d)(5) of this section. Multiple 

requests involving unrelated matters 

shall not be aggregated. The Office of 

FOIA Services shall advise requesters, 

in writing, when it determines to 

aggregate multiple requests and comply 

with paragraph (d)(5) of this section. 

Aggregation of requests for this purpose 

will be conducted independent of 

aggregation requests for fee purposes 

under paragraph (g)(8) of this section. 

(7) Expedited processing. The Office 

of FOIA Services shall grant a request 

for expedited processing if the requester 

demonstrates a ‘‘compelling need’’ for 

the records. ‘‘Compelling need’’ means 

that a failure to obtain the requested 

records on an expedited basis could 

reasonably be expected to pose an 

imminent threat to an individual’s life 

or physical safety or, if the requester is 

primarily engaged in disseminating 

information, an urgency to inform the 

public about an actual or alleged 

Federal Government activity. 

(i) A request for expedited processing 

may be made at the time of the initial 

request for records or at any later time. 

(ii) A requester who seeks expedited 

processing must submit a statement, 

certified to be true and correct to the 

best of that person’s knowledge and 

belief, explaining why there is a 

‘‘compelling need’’ for the records. 

(iii) The Office of FOIA Services shall 

determine whether to grant or deny a 

request for expedited processing and 

provide notice of that determination 

within 10 calendar days of receipt of the 

request by the Office of FOIA Services. 

A request for records that has been 

granted expedited processing shall be 

processed as soon as practicable. If a 

request for expedited processing is 

denied, any appeal of that 

determination shall be decided 

expeditiously. 

(8) Appeals. An administrative appeal 

shall be decided within 20 days 

(excepting Saturdays, Sundays, and 

legal public holidays) from the date the 

Office of FOIA Services receives such 

appeal except in the unusual 

circumstances specified in paragraph 

(d)(5) of this section. In those unusual 

circumstances, the 20-day time limit 

may be extended by written notice to 

the person making the appeal setting 

forth the unusual circumstances for 

such extension and the date on which 

a determination is expected to be 

dispatched. No such notice shall specify 

a date that would result in an extension 

of more than 10 working days. 

(e) Responses to requests for records— 

(1) Acknowledgment of requests. Upon 

receipt of a request for records, the 

Office of FOIA Services ordinarily will 

send the requester an acknowledgment 

letter that provides an assigned request 

number for further reference and, if 

necessary, confirms whether the 

requester is willing to pay fees. 

(2) Responses to requests. (i) Any 

letter determining whether to comply 

with a request will inform the requester 

of the right to seek assistance from the 

Office of FOIA Services’ FOIA Public 

Liaisons. 

(ii) If the Office of FOIA Services 

makes a determination to grant a request 

in whole or in part, it shall notify the 

requester in writing of such 

determination, disclose records to the 

requester, and collect any applicable 

fees. 

(iii) If the Office of FOIA Services 

makes an adverse determination 

regarding a request, it shall notify the 

requester of that determination in 

writing. 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 requested record does not exist (or 

is not subject to the FOIA), cannot be 

located, or has previously been 

destroyed; or the requested record is not 

readily producible in the form or format 

sought by the requester. Adverse 

determinations also include 

designations of requesters’ fee category, 

denials of fee waiver requests, or denials 

of requests for expedited processing. 

(iv) An adverse determination letter 

shall be signed and include: 

(A) The names and titles or positions 

of each person responsible for the 

adverse determination; 

(B) A brief statement of the reasons for 

the adverse determination, including 

any FOIA exemption applied by the 

official denying the request; 

(C) For records disclosed in part, 

markings or annotations to show the 

applicable FOIA exemption(s) and the 

amount of information deleted, unless 

doing so would harm an interest 

protected by an applicable exemption. 

The location of the information deleted 

shall also be indicated on the record, if 

feasible; 

(D) An estimate of the volume of any 

records or information withheld by 

providing the number of pages withheld 

in their entirety or some other 

reasonable form of estimation. This 

estimate is not required if the volume is 

otherwise indicated by deletions 

marked on the records that are disclosed 

in part or if providing an estimate 

would harm an interest protected by an 

applicable FOIA exemption; 

(E) A statement that the adverse 

determination may be appealed under 

paragraph (f) of this section, and a 

description of the requirements for 

filing an administrative appeal set forth 

in that paragraph; and 

(F) A statement of the right of the 

requester to seek dispute resolution 

services from the Office of FOIA 

Services’ FOIA Public Liaisons or the 

Office of Government Information 

Services (‘‘OGIS’’). 

(3) Mediation services. OGIS offers 

mediation services to resolve disputes 

between requesters and the Office of 

FOIA Services as a non-exclusive 

alternative to litigation. Requesters with 

concerns about the handling of their 

requests may contact OGIS. 

(f) Administrative appeals—(1) 

Administrative review. If a requester 

receives an adverse determination as 

described in paragraph (e)(2)(iii) of this 

section, or the request has not been 

timely determined within the time 

period prescribed in paragraph (d)(2) of 

this section or within an extended 

period permitted under paragraph (d)(5) 

of this section, the requester may file an 

appeal to the Office of the General 

Counsel consistent with the procedures 

described in paragraphs (f)(2) through 

(4) of this section. A requester must 

generally submit a timely administrative 

appeal before seeking review by a court 

of an adverse determination. 

(2) Time limits. Appeals can be 

submitted in writing or electronically, 

as described in paragraph (f)(3) of this 

section. The appeal must be received 

within 90 calendar days of the date of 

the written denial of the adverse 

determination and must be received no 

later than 11:59 p.m., Eastern Time, on 

the 90th day. If the Office of FOIA 

Services has not issued a determination 

on a request, an appeal may be 

submitted any time after the statutory 

time period for responding to a request 

ends. 

(3) Contents of appeal. Appeals 

should be clearly and prominently 

identified at the top of the first page as 

‘‘Freedom of Information Act Appeal’’ 

and should provide the assigned FOIA 


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request number. The appeal should 

include a copy of the original request 

and adverse determination. Appeals 

should include a statement of the 

requester’s arguments as to why the 

records requested should be made 

available and the reason(s) the FOIA 

requester contends the adverse 

determination was in error. If only a 

portion of the adverse determination is 

appealed, the requester must specify 

which part is being appealed. 

(4) How to file and address an appeal. 

If submitted by U.S. mail or delivery 

service, the appeal must be sent to the 

Office of FOIA Services at 100 F Street 

NE, Washington, DC 20549. Appeals 

may also be made by facsimile at 202– 

772–9337, email (foiapa@sec.gov), or 

online at the Commission’s website 

(http://www.sec.gov). A legible return 

address must be included with the FOIA 

appeal. The requester may also include 

other contact information, such as a 

telephone number and/or email address. 

(5) Adjudication of appeals. The 

Office of the General Counsel has the 

authority to grant or deny all appeals, in 

whole or in part. In appropriate cases 

the Office of the General Counsel may 

refer appeals to the Commission for 

determination. No opportunity for 

personal appearance, oral argument, or 

hearing on appeal is provided. Upon 

receipt of an appeal, the Office of FOIA 

Services ordinarily will send the 

requester an acknowledgment letter that 

confirms receipt of the requester’s 

appeal. 

(6) Determinations on appeals. A 

determination on an appeal must be 

made in writing. A determination that 

denies an appeal, in whole or in part, 

shall include a brief explanation of the 

basis for the denial, identify the 

applicable FOIA exemptions asserted, 

and describe why the exemptions apply. 

As applicable, the determination will 

provide the requester with notification 

of the statutory right to file a lawsuit in 

accordance with 5 U.S.C. 552(a)(4), and 

will inform the requester of the 

mediation services offered by the Office 

of Government Information Services as 

a non-exclusive alternative to litigation. 

If the Office of FOIA Services’ 

determination is remanded or modified 

on appeal, the Office of the General 

Counsel will notify the requester of that 

determination in writing. 

(g) Fees—(1) In general. The Office of 

FOIA Services shall charge fees for 

processing requests under the FOIA in 

accordance with the provisions of this 

section and with the OMB Guidelines, 

except where fees are limited under 

paragraph (g)(4) of this section or when 

a waiver or reduction is granted under 

paragraph (g)(12) of this section. To 

resolve any fee issues that arise under 

this section, the Office of FOIA Services 

may contact a requester for additional 

information. The Office of FOIA 

Services shall ensure that searches, 

review, and duplication are conducted 

in an efficient manner. The Office of 

FOIA Services ordinarily will collect all 

applicable fees before sending copies of 

records to a requester. Requesters must 

pay fees by check, certified check, or 

money order, or where possible, by 

electronic payment. 

(2) Definitions. For purposes of this 

section: 

(i) Commercial use request is a 

request from or on behalf of a person 

who seeks information for a use or 

purpose that furthers his or her 

commercial, trade, or profit interests, 

which can include furthering those 

interests through litigation. The Office 

of FOIA Services will determine 

whether to place a requester in the 

commercial use category on a case-bycase basis based on the requester’s 

intended use of the information. 

(ii) Direct costs are those expenses the 

Office of FOIA Services and any staff 

within the divisions and offices of the 

Commission incur in searching for and 

duplicating (and, in the case of 

commercial use requests, reviewing) 

records to respond to a FOIA request. 

Direct costs include the salary of the 

employee(s) performing the work (i.e., 

the basic rate of pay for the employee(s), 

plus 16% of that rate to cover benefits), 

the cost of materials, and the cost of 

operating computers and other 

electronic equipment, such as 

photocopiers and scanners. Direct costs 

do not include overhead expenses such 

as the costs of space and of heating or 

lighting a facility in which the service 

is performed. 

(iii) Duplication is reproducing a 

record, or the information contained in 

it, to respond to a FOIA request. Copies 

can take the form of paper, audiovisual 

materials, or electronic records, among 

others. The Office of FOIA Services 

shall honor a requester’s specified 

preference of form or format of 

disclosure if the record is readily 

reproducible with reasonable efforts in 

the requested form or format. 

(iv) 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 the 

requester’s role at the educational 

institution and that the records are not 

sought for commercial or personal use. 

(v) Noncommercial scientific 

institution is an institution that is not 

operated to further a commercial, trade, 

or profit interest 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. 

(vi) Representative of the news media 

or news media requester 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. 

(vii) Review is the examination of a 

record located in response to a request 

to determine whether any portion of it 

is exempt from disclosure. Review time 

includes doing all that is necessary to 

prepare the record for disclosure, such 

as redacting the record and marking any 

applicable exemptions. Review time 

also includes time spent obtaining and 

considering formal objections to 

disclosure made by a submitter under 

§ 200.83, but it does not include time 

spent resolving legal or policy issues 

regarding the application of exemptions. 

(viii) Search is the review, manually 

or by automated means, of agency 

records for the purpose of locating those 

records that are 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. 

(3) Charging fees. In responding to 

FOIA requests, the Office of FOIA 

Services shall charge fees for the 

services summarized in chart form in 

paragraph (g)(3)(i) of this section and 

explained in paragraphs (g)(3)(ii) 

through (v) of this section, unless fees 

are limited under paragraph (g)(4) of 

this section or a waiver or reduction of 

fees has been granted under paragraph 

(g)(12) of this section. 

(i) The four categories of requesters 

and the chargeable fees for each are: 


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Requester category Search fees Review fees Duplication fees 

(A) Commercial use requesters ....................... Yes ............................. Yes ............................. Yes. 

(B) Educational and noncommercial scientific 

institutions.

No ............................... No ............................... Yes (first 100 pages, or equivalent volume, 

free). 

(C) Representatives of the news media .......... No ............................... No ............................... Yes (first 100 pages, or equivalent volume, 

free). 

(D) All other requesters .................................... Yes (first 2 hours free) No ............................... Yes (first 100 pages, or equivalent volume, 

free). 

(ii) Search fees. (A) Search fees shall 

be charged for all requests—other than 

requests made by educational 

institutions, noncommercial scientific 

institutions, or representatives of the 

news media—subject to the limitations 

of paragraph (g)(4) of this section. The 

Office of FOIA Services may charge for 

time spent searching even if no 

responsive records are located or it is 

determined that the records are entirely 

exempt from disclosure. Search fees 

shall be the direct costs of conducting 

the search by agency employees. 

(B) Requesters shall be charged the 

direct costs associated with conducting 

any search that requires the creation of 

a new computer program to locate or 

identify responsive records. Requesters 

shall be notified of the costs associated 

with creating and implementing such a 

program and must agree to pay the 

associated costs before the costs may be 

incurred. 

(C) For requests that require the 

retrieval of agency records stored at a 

Federal records center operated by the 

National Archives and Records 

Administration (‘‘NARA’’), additional 

costs shall be charged in accordance 

with the Transactional Billing Rate 

Schedule established by NARA. 

(iii) Review fees. 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 agency employees conduct to 

determine whether an exemption 

applies to a particular record or portion 

of a record. Also, if an exemption 

asserted to withhold a record (or a 

portion thereof) is deemed to no longer 

apply, any costs associated with the rereview of the records to consider the use 

of other exemptions may be assessed as 

review fees. Review fees shall be the 

direct costs of conducting the review by 

the involved employees. Review fees 

can be charged even if the records 

reviewed ultimately are not disclosed. 

(iv) Search and review services 

(review applies to commercial-use 

requesters only). (A) The Office of FOIA 

Services will establish and charge 

average rates for the groups of 

employees’ salary grades typically 

involved in the search and review of 

records. Those groups will consist of 

employees at: 

(1) Grades SK–8 or below; 

(2) Grades SK–9 to SK–13; and 

(3) Grades SK–14 or above. 

(B) The average rates will be based on 

the hourly salary (i.e., basic salary plus 

locality payment), plus 16 percent for 

benefits, of employees who routinely 

perform search and review services. The 

average hourly rates are listed on the 

FOIA web page of the Commission’s 

website at http://www.sec.gov and will 

be updated as salaries change. Fees will 

be charged in quarter-hour increments. 

No search fee or review fee will be 

charged for a quarter-hour period unless 

more than half of that period is required 

for search or review. 

(v) Duplication fees. Duplication fees 

shall be charged to all requesters, 

subject to the limitations of paragraph 

(g)(4) of this section. Fees for either a 

photocopy or printout of a record (no 

more than one copy of which need be 

supplied) are identified on the FOIA 

web page of the Commission’s website 

at www.sec.gov. For copies of records 

produced on tapes, disks, or other 

media, the Office of FOIA Services shall 

charge the direct costs of producing the 

copy, including operator time. Where 

paper documents must be scanned 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 all other forms of 

duplication, the Office of FOIA Services 

shall also charge the direct costs. 

(4) Limitations on charging fees. (i) No 

search or review fees will be charged for 

requests by educational institutions 

(unless the requests are sought for a 

commercial use), noncommercial 

scientific institutions, or representatives 

of the news media. 

(ii) Except for requesters seeking 

records for a commercial use, the Office 

of FOIA Services shall provide without 

charge the first 100 pages of duplication 

(or the cost equivalent for other media) 

and the first two hours of search. 

(iii) Fees will not be charged where 

the costs of collecting and processing 

the fee are likely to equal or exceed the 

amount of the fee. 

(iv) The Office of FOIA Services will 

not assess search fees (or, in the case of 

requests from representatives of the 

news media or educational or 

noncommercial scientific institutions, 

duplication fees) when 5 U.S.C. 

552(a)(4)(A)(viii) prohibits the 

assessment of those fees. 

(5) Notice of anticipated fees. (i) 

When the Office of FOIA Services 

determines or estimates that the fees to 

be assessed in accordance with this 

section will exceed the amount it would 

cost the Office of FOIA Services to 

collect and process the fees, the Office 

of FOIA Services shall notify the 

requester of the actual or estimated 

amount of fees, unless the requester has 

indicated a willingness to pay fees as 

high as the estimated fees. If only a 

portion of the fee can be estimated 

readily, the Office of FOIA Services 

shall advise the requester accordingly. If 

the requester is not a commercial 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. 

(ii) In cases in which a requester has 

been notified that the actual or 

estimated fees will amount to more than 

it would cost the Office of FOIA 

Services to collect and process the fees, 

or amount to more than the amount the 

requester indicated a willingness to pay, 

the Office of FOIA Services will do no 

further work on the request 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 requester who is not a commercial 

use requester, designates that the 

requester seeks only that which can be 

provided by the statutory entitlements. 

The Office of FOIA Services will toll the 

response period while it notifies the 

requester of the actual or estimated 

amount of fees and this time will be 

excluded from the 20 working day time 


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limit (as specified in paragraph (d)(2) of 

this section). The requester’s agreement 

to pay fees must be made in writing, 

must designate an exact dollar amount 

the requester is willing to pay, and must 

be received within 30 calendar days 

from the date of the notification of the 

fee estimate. If the requester fails to 

submit an agreement to pay the 

anticipated fees within 30 calendar days 

from the date of the Office of FOIA 

Services’ fee notice, the Office of FOIA 

Services will presume that the requester 

is no longer interested in the records 

and notify the requester that the request 

has been closed. 

(iii) The Office of FOIA Services shall 

make available their FOIA Public 

Liaisons or other FOIA professionals to 

assist any requester in reformulating a 

request to meet the requester’s needs at 

a lower cost. 

(6) Charges for other services. 

Although not required to provide 

special services, if the Office of FOIA 

Services chooses to do so as a matter of 

administrative discretion, the direct 

costs of providing the service shall be 

charged. Examples of such special 

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. The cost for the 

attestation of records with the 

Commission seal (i.e., certifying records 

as true copies) is $4.00 per record, 

which may be waived for records 

certified electronically. Requests for 

certified copies of records or documents 

shall ordinarily be serviced within 20 

working days. Requests will be 

processed in the order in which they are 

received. 

(7) Charging interest. The Office of 

FOIA Services may begin to charge 

interest on any unpaid bill starting on 

the 31st calendar day following the date 

of billing the requester. Interest charges 

shall be assessed at the rate provided in 

31 U.S.C. 3717 and accrue from the date 

of the billing until the payment is 

received. The Office of FOIA Services 

shall take all steps authorized by the 

Debt Collection Act of 1982, as 

amended, and the Commission’s Rules 

Relating to Debt Collection to effect 

payment, including offset, disclosure to 

consumer reporting agencies, and use of 

collection agencies. 

(8) Aggregating requests. If the Office 

of FOIA Services reasonably believes 

that a requester or a group of requesters 

acting in concert is attempting to divide 

a request into a series of requests for the 

purpose of avoiding fees, the Office of 

FOIA Services may aggregate those 

requests and charge accordingly. Among 

the factors the Office of FOIA Services 

shall consider in deciding whether to 

aggregate are whether the requests were 

submitted close in time and whether the 

requests seek documents about related 

matters. The Office of FOIA Services 

may presume that multiple requests that 

involve related matters made by the 

same requester or a group of requesters 

within a 30 calendar day period have 

been made to avoid fees. For requests 

separated by a longer period, the Office 

of FOIA Services will aggregate them 

only where it determines that 

aggregation is warranted in view of all 

the circumstances involved. 

(9) Advance payments. (i) For 

requests other than those described in 

paragraphs (g)(9)(ii) and (iii) of this 

section, the Office of FOIA Services 

shall not require a requester to make 

advance payment (i.e., payment made 

before the Office of FOIA Services 

begins to process or continues to work 

on a request). Payment owed for work 

already completed (i.e., payment before 

copies are sent to a requester) is not an 

advance payment. 

(ii) When the Office of FOIA Services 

determines or estimates that a total fee 

to be charged under this section will 

exceed $250.00, it shall notify the 

requester of the actual or estimated fee 

and may require the requester to make 

an advance payment of the entire 

anticipated fee before beginning to 

process the request. A notice under this 

paragraph shall offer the requester an 

opportunity to discuss the matter with 

the Office of FOIA Services’ FOIA 

Public Liaisons or other FOIA 

professionals to modify the request in 

an effort to meet the requester’s needs 

at a lower cost. 

(iii) When a requester has previously 

failed to pay a properly charged FOIA 

fee to the Office of FOIA Services or 

other Federal agency within 30 calendar 

days of the date of billing, the Office of 

FOIA Services shall notify the requester 

that he or she is required to pay the full 

amount due, plus any applicable 

interest, and to make an advance 

payment of the full amount of any 

anticipated fee, before the Office of 

FOIA Services begins to process a new 

request or continues processing a 

pending request from that requester. 

Where the Office of FOIA Services has 

a reasonable basis to believe that a 

requester has misrepresented the 

requester’s identity to avoid paying 

outstanding fees, it may require that the 

requester provide proof of identity and 

pay in advance. 

(iv) When the Office of FOIA Services 

requires advance payment or payment 

due under paragraphs (g)(9)(ii) and (iii) 

of this section, the Office of FOIA 

Services will not further process the 

request until the required payment is 

made. The Office of FOIA Services will 

toll the processing of the request while 

it notifies the requester of the advanced 

payment due and this time will be 

excluded from the 20 working day time 

limit (as specified in paragraph (d)(2) of 

this section). If the requester does not 

pay the advance payment within 30 

calendar days from the date of the Office 

of FOIA Services’ fee notice, the Office 

of FOIA Services will presume that the 

requester is no longer interested in the 

records and notify the requester that the 

request has been closed. 

(10) Tolling. When necessary for the 

Office of FOIA Services to clarify issues 

regarding fee assessment with the 

requester, the time limit for responding 

to a FOIA request is tolled until the 

Office of FOIA Services resolves such 

issues with the requester. 

(11) Other statutes specifically 

providing for fees. The fee schedule of 

this section does not apply to fees 

charged under any statute (except the 

FOIA) 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 Office of FOIA 

Services shall inform the requester how 

to obtain records from that program. 

Provision of such records is not handled 

under the FOIA. 

(12) Requirements for waiver or 

reduction of fees. (i) Records responsive 

to a request will be furnished without 

charge, or at a charge reduced below 

that established under paragraph (g)(3) 

of this section, if the requester asks for 

such a waiver in writing and the Office 

of FOIA Services determines, after 

consideration of information provided 

by the requester, that the requester has 

demonstrated that: 

(A) 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 

(B) Disclosure of the information is 

not primarily in the commercial interest 

of the requester. 

(ii) In deciding whether disclosure of 

the requested information is likely to 

contribute significantly to public 

understanding of the operations or 

activities of the government, the Office 

of FOIA Services shall consider each of 

the following four factors: 

(A) The subject of the request: 

whether the subject of the requested 

records concerns the operations or 

activities of the government. The subject 

of the requested records must concern 

identifiable operations or activities of 


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the Federal Government, with a 

connection that is direct and clear, not 

remote or attenuated. 

(B) The informative value of the 

information to be disclosed: whether the 

disclosure is likely to contribute to an 

understanding of government operations 

or activities. The disclosable portions of 

the requested records must be 

meaningfully informative about 

government operations or activities 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 a duplicative or 

a substantially identical form, would 

not be likely to contribute to such 

understanding. 

(C) The contribution to an 

understanding of the subject by the 

public likely to result from disclosure: 

whether disclosure of the requested 

information will 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 

and ability and intention to effectively 

convey information to the public shall 

be considered. It shall be presumed that 

a representative of the news media 

satisfies this consideration. 

(D) The significance of the 

contribution to public understanding: 

whether the disclosure is likely to 

contribute significantly to public 

understanding of government operations 

or activities. The public’s understanding 

of the subject in question prior to the 

disclosure must be significantly 

enhanced by the disclosure. 

(iii) In deciding whether disclosure of 

the requested information is primarily 

in the commercial interest of the 

requester, the Office of FOIA Services 

shall consider the following factors: 

(A) The existence and magnitude of a 

commercial interest: whether the 

requester has a commercial interest that 

would be furthered by the requested 

disclosure. The Office of FOIA Services 

shall consider any commercial interest 

of the requester (with reference to the 

definition of ‘‘commercial use 

requester’’ in paragraph (g)(2)(i) of this 

section), or of any person on whose 

behalf the requester may be acting, that 

would be furthered by the requested 

disclosure. Requesters shall be given an 

opportunity to provide explanatory 

information regarding this 

consideration. 

(B) The primary interest in disclosure: 

whether the public interest is greater 

than any identified commercial interest 

in disclosure. The Office of FOIA 

Services 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. 

(iv) If only a portion of the requested 

records satisfies both the requirements 

for a waiver or reduction of fees, a 

waiver or reduction of fees will be 

granted for only that portion. 

(v) Requests for a waiver or reduction 

of fees should address all the factors 

identified in paragraphs (g)(12)(ii) and 

(iii) of this section. 

(vi) Denials of requests for a waiver or 

reduction of fees are adverse 

determinations (as defined in paragraph 

(e)(2)(iii) of this section) and may be 

appealed to the General Counsel in 

accordance with the procedures set 

forth in paragraph (f) of this section. 

§ 200.80a [Removed] 

■ 3. Remove § 200.80a. 

§ 200.80b [Removed] 

■ 4. Remove § 200.80b. 

§ 200.80c [Removed] 

■ 5. Remove § 200.80c. 

§ 200.80d [Removed] 

■ 6. Remove § 200.80d. 

§ 200.80e [Removed] 

■ 7. Remove § 200.80e. 

§ 200.80f [Removed] 

■ 8. Remove § 200.80f. 

By the Commission. 

Dated: June 25, 2018. 

Brent J. Fields, 

Secretary. 

[FR Doc. 2018–13943 Filed 6–27–18; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF TRANSPORTATION 

Federal Highway Administration 

23 CFR Part 658 

[FHWA Docket No. FHWA–2018–0016] 

RIN 2125–AF82 

Addition to the National Network 

AGENCY: Federal Highway 

Administration (FHWA), U.S. 

Department of Transportation (DOT). 

ACTION: Final rule. 

SUMMARY: The FHWA is approving the 

addition of Sheridan Boulevard (NY 

895) to the National Network (NN) and 

revising its regulations to reflect the 

addition. The facility currently known 

as ‘‘Interstate-895 Sheridan 

Expressway’’ in New York City, located 

in Bronx County, will be reconstructed, 

removed from the National System of 

Interstate and Defense Highways 

(Interstate System) to accommodate new 

design features, and classified as an 

‘‘Urban Principal Arterial—Other.’’ This 

facility will be identified as the 

‘‘Sheridan Boulevard (NY 895).’’ 

DATES: This rule is effective July 30, 

2018. 

FOR FURTHER INFORMATION CONTACT: For 

technical information, contact Ms. 

Caitlin Hughes, FHWA Office of Freight 

Management and Operations, (202) 493– 

0457. For legal information, contact Mr. 

William Winne, Office of Chief Counsel, 

(202) 366–1397. Federal Highway 

Administration, 1200 New Jersey 

Avenue SE., Washington, DC 20590. 

Office hours are from 7:45 a.m. to 4:15 

p.m., e.t., Monday through Friday, 

except Federal holidays. 

SUPPLEMENTARY INFORMATION: 

Electronic Access and Filing 

This document and all comments 

received may be viewed online through 

the Federal eRulemaking portal at 

www.regulations.gov. It is available 24 

hours each day, 365 days each year. 

Please follow the instructions online for 

more information and help. 

An electronic copy of this document 

may also be downloaded by accessing 

the Office of the Federal Register’s 

home page at: http://www.archives.gov 

and the Government Publishing Office’s 

web page at: http://www.access.gpo.gov/ 

nara. 

Background 

The NN consists of Interstate System 

routes (except exempted routes) and 

those non-Interstate System routes 

added through the rulemaking process. 

See 49 U.S.C. 31111(e)–(f) and 31113(e); 

23 CFR part 658 Appendix A; see also 

49 FR 23302 (June, 5, 1984). To ensure 

that the NN remains substantially intact, 

FHWA retains the authority to rule 

upon all requests for additions to, and 

deletions from, the NN as well as 

requests for the imposition of certain 

restrictions. Pursuant to 23 CFR 658.11, 

requests for additions to the NN must be 

submitted in writing to the appropriate 

FHWA Division Office and endorsed by 

the Governor or the Governor’s 

authorized representative. Proposals for 

addition of routes to the NN must also 

be accompanied by an analysis of 

suitability based on the criteria in 23 

CFR 658.9. Once a non-Interstate 


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