Source: http://www.pbgc.gov/res/laws-and-regulations/code-of-federal-regulations/part-4901---examination-and-copying-of-pension-benefit-guaranty-corporation-records.html
Timestamp: 2014-03-07 08:46:15
Document Index: 121496966

Matched Legal Cases: ['art 4901', 'art 4901', 'art 4901', 'art 4001', '§ 4901', '§ 4901', '§ 4901', '§ 4000', '§ 4901', '§ 4901', '§ 4901', '§ 4901', 'art 4000', '§ 4901', '§ 4901', '§ 4901', '§ 4901', '§ 4901', '§ 4901', '§ 4901', '§ 4901', '§ 4901']

Part 4901 - Examination and Copying of Pension Benefit Guaranty Corporation Records
HomeWorkers & RetireesPractitionersResourcesNews & PolicyAbout PBGCHome > Resources > Laws & Regulations > Code of Federal Regulations > Part 4901 - Examination and Copying of P...ResourcesSearchAnnual ReportsPension Insurance DataFact SheetsStay InformedLaws & RegulationsERISACode of Federal RegulationsPBGC's Federal Register DocumentsPension Protection Act of 2006Information Collections under OMB ReviewOther GuidanceAdditional ResourcesOther ReportsPart 4901 - Examination and Copying of Pension Benefit Guaranty Corporation RecordsSec.4901.1 Purpose and scope.4901.2 Definitions.4901.3 Disclosure facilities.4901.4 Information maintained in public reference room.4901.5 Disclosure of other information.4901.6 Filing rules; computation of time.
Subpart B -- Procedure for Formal Requests
4901.11 Submittal of requests for access to records.4901.12 Description of information requested.4901.13 Receipt by agency of request.4901.14 Action on request.4901.15 Appeals from denial of requests.4901.16 Extensions of time.4901.17 Exhaustion of administrative remedies.
Subpart C -- Restrictions on Disclosure
4901.21 Restrictions in general.4901.22 Partial disclosure.4901.23 Records of concern to more than one agency.4901.24 Special rules for trade secrets and confidential commercial or financial information submitted to the PBGC.
4901.31 Charges for services.4901.32 Fee schedule.4901.33 Payment of fees.4901.34 Waiver or reduction of charges.
5 U.S.C. 552, 29 U.S.C. 1302(b)(3), EO 12600, 52 FR 23781, 3 CFR, 1987 Comp., p.235.
In addition to terminology in part 4001 of this chapter, as used in this part --
(a) Public reference room. The PBGC will maintain a public reference room in its offices located at 1200 K Street NW., Washington, DC, 20005-4026, wherein persons may inspect and copy all records made available for such purposes under this part.
The PBGC shall make available in its public reference room for inspection and copying without formal request --
(d) Except to the extent that deletion of identifying details is required to prevent a clearly unwarranted invasion of personal privacy (in which case the justification for the deletion shall be fully explained in writing) --
(a) In general. Upon the request of any person submitted in accordance with subpart B of this part, the disclosure officer shall make any document (or portion thereof) from the records of the PBGC in the custody of any official of the PBGC available for inspection and copying unless exempt from disclosure under the provisions of subsection (b) of FOIA and subpart C of this part. The subpart B procedures must be used for records that are not made available in the PBGC's public reference room under § 4901.4 and may be used for records that are available in the public reference room. Records that could be produced only by manipulation of existing information (such as computer analyses of existing data), thus creating information not previously in being, are not records of the PBGC and are not required to be furnished under FOIA.
(b) Discretionary disclosure. Notwithstanding the applicability of an exemption under subsection (b) of FOIA and subpart C of this part (other than an exemption under paragraph (b)(1) or (b)(3) of FOIA and § 4901.21(a)(2) and (a)(3)), the disclosure officer may (subject to 18 U.S.C. 1905 and § 4901.21(a)(1)) make any document (or portion thereof) from the records of the PBGC available for inspection and copying if the disclosure officer determines that disclosure furthers the public interest and does not impede the discharge of any of the functions of the PBGC.
(a) Filing rules.
(1) Where to file. See § 4000.4 of this chapter for information on where to file a submission under this part with the PBGC.
Subpart B--Procedure for Formal Requests
A request to inspect or copy any record subject to this subpart shall be submitted to the Disclosure Officer, Pension Benefit Guaranty Corporation. Such a request may be sent to the Disclosure Officer or made in person between the hours of 9 a.m. and 4 p.m. on any working day in the Office of the General Counsel, PBGC, 1200 K Street, NW., Suite 11101, Washington, DC 20005-4026. To expedite processing, the request should be prominently identified as a "FOIA request."
The disclosure officer shall note the date and time of receipt on each request for access to records. A request shall be deemed received and the period within which action on the request shall be taken, as set forth in § 4901.14 of this part, shall begin on the next business day following such date, except that a request shall be deemed received only if and when the PBGC receives --
(a) A sufficient description under § 4901.12;
(b) Payment or assurance of payment if required under § 4901.33(b); and
(a) Time for action. Promptly and in any event within 10 working days after receipt of a disclosure request (subject to extension under § 4901.16), the disclosure officer shall take action with respect to each requested item (or portion of an item) under either paragraph (b), (c), or (d) of this section.
(a) Submittal of appeals. If a disclosure request is denied in whole or in part by the disclosure officer, the requester may file a written appeal within 30 days from the date of the denial or, if later (in the case of a partial denial), 30 days from the date the requester receives the disclosed material. The appeal shall state the grounds for appeal and any supporting statements or arguments, and shall be addressed to the General Counsel, Pension Benefit Guaranty Corporation. See part 4000.4 of this chapter for information on where to file. To expedite processing, the words "FOIA appeal" should appear prominently on the request.
(b) Receipt and consideration of appeal. The General Counsel shall note the date and time of receipt on each appeal and notify the requester thereof. Promptly and in any event within 20 working days after receipt of an appeal (subject to extension under § 4901.16), the General Counsel shall issue a decision on the appeal.
(2) If the denial appealed from was under § 4901.14(d), the General Counsel shall consider any supplementary determination by the disclosure officer in deciding the appeal.
(c) Decision on appeal. As to each item (or portion of an item) whose nondisclosure is appealed, the General Counsel shall either --
(d) Records of appeals. Copies of both grants and denials of appeals shall be collected in one file available in the PBGC's public reference room under § 4901.4(d)(1) and indexed under § 4901.4(e).
In unusual circumstances (as described in subparagraph (a)(6)(B) of FOIA), the time to respond to a disclosure request under § 4901.14(a) or an appeal under § 4901.15(b) may be extended as reasonably necessary to process the request or appeal. The disclosure officer (with the prior approval of the General Counsel) or the General Counsel, as appropriate, shall notify the requester in writing within the original time period of the reasons for the extension and the date when a response is expected to be sent. The maximum extension for responding to a disclosure request shall be 10 working days, and the maximum extension for responding to an appeal shall be 10 working days minus the amount of any extension on the request to which the appeal relates.
Subpart C--Restrictions on Disclosure
(a) Records not disclosable. Records shall not be disclosed to the extent prohibited by --
(b) Records disclosure of which may be refused. Records need not (but may, as provided in § 4901.5(b)) be disclosed to the extent provided by --
(3) Paragraph (b)(5) of FOIA, dealing in general with inter agency and intra-agency memoranda and letters;
(a) Application. To the extent permitted by law, this section applies to a request for disclosure of a record that contains information that has been designated by the submitter in good faith in accordance with paragraph (b) of this section or a record that the PBGC has reason to believe contains such information, unless --
Subpart D--Fees
(a) Generally. Pursuant to the provisions of FOIA, as amended, charges will be assessed to cover the direct costs of searching for, reviewing, and/or duplicating records requested under FOIA from the PBGC, except where the charges are limited or waived under paragraph (b) or (d) of this section, according to the fee schedule in § 4901.32 of this part. No charge will be assessed if the costs of routine collection and processing of the fee would be equal to or greater than the fee itself.
(1) "Direct costs" means those expenditures which the PBGC actually incurs in searching for and duplicating (and in the case of commercial requesters, reviewing) documents to respond to a request under FOIA and this part. Direct costs include, for example, the salary of the employee performing work (i.e., the basic rate of pay plus benefits) or an established average pay for a homogeneous class of personnel (e.g., all administrative/clerical or all professional/executive), and the cost of operating duplicating machinery. Not included in direct costs are overhead expenses such as costs of space, and heating or lighting the facility in which the records are stored.
(2) "Search" means all time spent looking for material that is responsive to a request under FOIA and this part, including page-by-page or line-by-line identification of materials within a document, if required, and may be done manually or by computer using existing programming. "Search" should be distinguished from "review" which is defined in paragraph (a)(3) of this section.
(3) "Review" means the process of examining documents located in response to a request under FOIA and this part to determine whether any portion of any document located is permitted or required to be withheld. It also includes processing any documents for disclosure, e.g., doing all that is necessary to excise them and otherwise prepare them for release. Review does not include time spent resolving general legal or policy issues regarding the application of exemptions.
(4) "Duplication" means the process of making a copy of a document necessary to respond to a request under FOIA and this part, in a form that is reasonably usable by the requester. Copies can take the form of paper copy, microform, audio-visual materials, or machine readable documentation (e.g., magnetic tape or disk), among others.
(i) "Commercial use" request means a request from or on behalf of one who seeks information for a use or purpose that furthers the commercial, trade, or profit interests of the requester or the person on whose behalf the request is made.
(i) "Educational institution" means a preschool, a public or private elementary or secondary school, an institution of graduate higher education, an institution of undergraduate higher education, an institution of professional education, and an institution of vocational education, which operates a program or programs of scholarly research.
(ii) "Noncommercial scientific institution" means an institution that is not operated on a "commercial" basis as that term is defined in paragraph (b)(1)(i) of this section, 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.
(i) "Representative of the news media" means any person actively gathering news for an entity that is organized and operated to publish or broadcast news to the public. 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 broadcasting to the public at large, and publishers of periodicals (but only in those instances when they can qualify as disseminators of "news") who make their products available for purchase or subscription by the general public. These examples are not intended to be all inclusive. "Freelance" journalists may be regarded as working for a news organization if they can demonstrate a solid basis for expecting publication through that organization, even though not actually employed by it.
(d) Waiver or reduction of charges. Circumstances under which searching, review, and duplication facilities or services may be made available to the requester without charge or at a reduced charge are set forth in § 4901.34 of this part.