81 FR 94937 - Description of Office, Procedures, and Public Information
FEDERAL FINANCIAL INSTITUTIONS EXAMINATION COUNCIL Federal Register Volume 81, Issue 248 (December 27, 2016)
Federal Register Volume 81, Issue 248 (December 27, 2016)
| Page Range | 94937-94941 | |
| FR Document | 2016-30696 |
[Federal Register Volume 81, Number 248 (Tuesday, December 27, 2016)] [Rules and Regulations] [Pages 94937-94941] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-30696] ======================================================================= ----------------------------------------------------------------------- FEDERAL FINANCIAL INSTITUTIONS EXAMINATION COUNCIL 12 CFR Part 1101 [Docket No. FFIEC-2016-0004] Description of Office, Procedures, and Public Information AGENCY: Federal Financial Institutions Examination Council (FFIEC). ACTION: Interim final rule. ----------------------------------------------------------------------- SUMMARY: The Federal Financial Institutions Examination Council (FFIEC or Council), on behalf of its members, is amending its regulations to incorporate changes to the Freedom of Information Act (FOIA). This interim final rule reflects the required changes necessitated by the FOIA Improvement Act of 2016 (Act) consisting of extending the deadline for administrative appeals, including information on dispute resolution services, and amends parts of the fee determination. This interim final rule also corrects a duplicate entry that occurred in the 2010 update of the regulations. The Council has reviewed the proposed regulations and adopt them in this interim final rule. [[Page 94938]] DATES: Effective December 27, 2016. FOR FURTHER INFORMATION CONTACT: Judith Dupre, Executive Secretary, Federal Financial Institutions Examination Council, via telephone: (703) 516-5590, or via email: [email protected]. SUPPLEMENTARY INFORMATION: The members of the FFIEC are the Board of Governors of the Federal Reserve System (FRB), the Consumer Financial Protection Bureau (CFPB), the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA), the Office of the Comptroller of the Currency (OCC), and the State Liaison Committee (SLC) (Agencies). The Council is publishing an interim final rule revising its regulations implementing the FOIA as necessitated by the passage of the FOIA Improvement Act of 2016 Public Law 114-185, 130 Stat. 538. This interim file rule serves to achieve the mandated changes required by December 31, 2016. The Council expects to conduct a review and further updating of its regulations in the next year based on recent guidance issued by the United States Department of Justice's Office of Information Policy on agency FOIA regulations. I. Background The Council modifies its existing regulations to reflect a number of substantive and procedural amendments to the FOIA contained in the FOIA Improvement Act of 2016, Public Law 114-185, 130 Stat. 538. II. Section-by-Section Analysis In 12 CFR 1101.4(a), the Council revises the paragraph by providing public inspection in electronic format along with an index of records referred to in this section. In 12 CFR 1101.4(b)(1), the Council adds language to the paragraph on exempt from disclosure to reference 5 U.S.C. 552(b) and where disclosure is prohibited by law except as provided in subparagraph (2) of this paragraph (b). In 12 CFR 1101.4(b)(1)(v), the Council adds language to explain that the Council will not withhold records based on the deliberative process privilege if the records were created 25 years or more before the date of the records request. In 12 CFR 1101.4(b)(2), the Council adds language that the Council will only withhold records requested under this paragraph (b) if disclosure has a foreseeable harm to the interests protected by an exemption listed in 5 U.S.C. 552(b), and that the Council will consider partial disclosures were possible by segregating and releasing the nonexempt portion of the record. In 12 CFR 1101.4(b)(3)(v)(A) the Council adds language for defining when the Council can extend the time for response by 10 days in unusual circumstances as defined in 5 U.S.C. 552(a)(6)(B) and provide notice in writing to the requestor including the reasons for the delay and the expected date for determination. In addition the Council adds language explaining when the requestor would be provided the opportunity to modify the scope of their request and offering both the FFIEC FOIA Public Liaison and the Office of Government Information Services contact information for dispute resolution. The Council adds a new 12 CFR 1101.4(b)(3)(v)(B)(3) with language that the requestor has the right to seek assistance from the FFIEC FOIA Public Liaison. The Council reassigns the text from the previous 12 CFR 1101.4(b)(3)(v)(B)(3) to the new 12 CFR 1101.4(b)(3)(v)(B)(4) and details the procedures in the event that an adverse determination is made. In 12 CFR 1101.4(b)(3)(v)(B)(4)(iv) the Council replaces the words ``the denial'' with the words ``any adverse determination'' and replaces the reference of ``10 working days'' with the new requirement of ``90 days.'' The Council adds 12 CFR 1101.4(b)(3)(v)(B)(4) (v) to offer the requester the right to seek dispute resolution services from both the FFIEC FOIA Public Liaison and the Office of Government Information Services. In 12 CFR 1101.4(b)(3)(vi) the Council replaces the phrase ``If a request is denied in whole or in part, the requester may appeal'' with the phrase ``A requestor may appeal any adverse determination.'' The Council also and replaces the reference of ``10 working days'' with the new requirement of ``90 days'' and replaces the word ``denial'' with the word ``adverse.'' The Council adds the option to file an appeal by email. In 12 CFR 1101.4(b)(4)(i) the Council adds the words ``in an electronic format'' for defining how the Council will provide access to the requester for inspection when records requests are granted in whole or in part. In 12 CFR 1101.4(b)(5)(ii) the Council revises the language to include that charging of fees for search and/or duplication is subject to the restrictions of paragraph (b)(5)(ii)(G) of this section. In 12 CFR 1101.4(b)(5)(ii)(E) the Council replaces the words ``Council personnel'' with ``the Council's FOIA Public Liaison.'' In 12 CFR 1101.4(b)(5)(ii)(G) the Council adds sections (1), (2)(i), (2)(ii), (2)(iii), and (2)(iv) to update and define the procedures for restrictions on assessing fees if the Council fails to comply with time limits specified, if the Council determines that unusual circumstances apply, and where a court determines that exceptional circumstances exist. The Council deletes the duplicate entry for section 12 CFR 1101.4(b)(5)(iii) ``Categories of requestors.'' In 12 CFR 1101.4(b)(5)(iii)(A) the Council replaces the words ``which recover the'' with the words ``sufficient to recover the'' and makes a typographical correction to replace ``the'' with ``and.'' The Council deletes the duplicate entry for section 12 CFR 1101.4(b)(5)(iv) which was inadvertently left in the 2010 regulation update along with its replacement section. Therefore the second appearance of 12 CFR 1101.4(b)(5)(iv) is fully deleted. The Council adds 12 CFR 1101.4(b)(5)(v) which was inadvertently removed from the 2010 regulation update in error. Therefore the full text from the previous regulation is reinstated as follows: ``Fees for unsuccessful search and review. The Council may assess fees for time spent searching and reviewing, even if it fails to locate the records or if records located are determined to be exempt from disclosure.'' III. Regulatory Analysis and Procedure A. Regulatory Flexibility Act Pursuant to section 605(b) of the Regulatory Flexibility Act (5 U.S.C. 601, et seq.) (RFA), the Council certifies that the interim final rule will not have a significant economic impact on a substantial number of small entities. The interim final rule addresses only the procedures to be followed to request records of the Council. Small entities, like any other individual or entity, may request information from the Council pursuant to the FOIA that has not been generally made available to the public. Under the FOIA, agencies may recover only the direct costs of searching for, reviewing, and duplicating the records processed for certain categories of requesters. The Council's fee structure is in accordance with Department of Justice and Office of Management and Budget (OMB) guidelines, and is based upon the category of requester. Thus, fees assessed by the Council are nominal and will not have a significant economic impact on a substantial [[Page 94939]] number of small entities within the meaning of the RFA. B. Paperwork Reduction Act The Council has determined that the Paperwork Reduction Act, 44 U.S.C. 3501 et seq., does not apply because these rules do not contain any information collection requirements that require the approval of the OMB. C. The Treasury and General Government Appropriations Act, 1999-- Assessment of Federal Regulations and Policies on Families The Council has determined that the interim final rule will not affect family well-being within the meaning of section 654 of the Treasury and General Government Appropriations Act, enacted as part of the Omnibus Consolidated and Emergency Supplemental Appropriations Act of 1999 (Pub. L. 105-277, 112 Stat. 2681). D. Small Business Regulatory Enforcement Fairness Act OMB has determined that the rule is not a ``major rule'' within the meaning of the relevant sections of the Small Business Regulatory Enforcement Act of 1996 (SBREFA) (5 U.S.C. 801 et seq.). As required by SBREFA, the Council will file the appropriate reports with Congress and the General Accounting Office so that the rule may be reviewed. E. Solicitation of Comments on Use of Plain Language Section 722 of the Gramm-Leach-Bliley Act, Public Law 106-102, 113 Stat. 1338, 1471 (Nov. 12, 1999), requires the federal banking agencies to use plain language in all proposed and final rules published after January 1, 2000. The Council has sought to present the interim final rule in a simple, comprehensible, and straightforward manner. Lists of Subjects in 12 CFR Part 1101 Freedom of information, FOIA exemptions, Schedule of fees, Waivers or reductions of fees. For the reasons set forth in the preamble, the Council amends 12 CFR part 1101 as follows: PART 1101--DESCRIPTION OF OFFICE, PROCEDURES, PUBLIC INFORMATION 0 1. The authority citation for part 1101 continues to read as follows: Authority: 5 U.S.C. 552; 12 U.S.C. 3307. 0 2. Amend Sec. 1101.4 as follows: 0 a. By revising paragraph (a); 0 b. By revising paragraphs (b)(1) introductory text and (b)(1)(v); 0 c. By revising paragraph (b)(2); 0 d. By revising paragraphs (b)(3)(v)(A) and (b)(3)(v)(B)(3); 0 e. By adding paragraph (b)(3)(v)(B)(4); 0 f. By redesignating paragraphs (b)(3)(v)(B)(3)(i) through (iv) as paragraphs (b)(3)(v)(B)(4)(i) through (iv); 0 g. By revising newly redesignated paragraph (b)(3)(v)(B)(4)(iv), and by adding paragraph (b)(3)(v)(B)(4)(v); 0 h. By revising paragraph (b)(3)(vi); 0 i. By revising paragraph (b)(4)(i); 0 j. By revising paragraphs (b)(5)(ii) introductory text and (b)(5)(ii)(E) and (G); 0 k. By removing the first paragraph (b)(5)(iii) subject heading and first paragraph (b)(5)(iii)(A); 0 l. By revising paragraph (b)(5)(iii)(A); 0 m. By removing the second paragraph (b)(5)(iv); 0 n. By adding paragraph (b)(5)(v); The revisions and additions read as follows: Sec. 1101.4 Disclosure of information, policies, and records. (a) Statements of policy published in the Federal Register or available for public inspection in an electronic format; indices. (1) Under 5 U.S.C. 552(a)(l), the Council publishes general rules, policies and interpretations in the Federal Register. (2) Under 5 U.S.C. 552(a)(2), policies and interpretations adopted by the Council, including instructions to Council staff affecting members of the public are available for public inspection in an electronic format at the office of the Executive Secretary of the Council, 3501 Fairfax Drive, Room B-7081a, Arlington, VA, 22226-3550, during regular business hours. Policies and interpretations of the Council may be withheld from disclosure under the principles stated in paragraph (b)(1) of this section. (3) Copies of all records, regardless of form or format, are available for public inspection in an electronic format if they-- (i) Have been released to any person under paragraph (b) of this section; and (ii)(A) Because of the nature of their subject matter, the Council determines that they have become or are likely to become the subject of subsequent requests for substantially the same records; or (B) They have been requested three or more times. (4) An index of the records referred to in paragraphs (a)(1) through (3) of this section is available for public inspection in an electronic format.. (b) * * * (1) General rule and exemptions. Under 5 U.S.C. 552(a)(3), all other records of the Council are available to the public upon request, except to the extent exempted from disclosure as provided in 5 U.S.C. 552(b) and described of this paragraph (b)(1), or if disclosure is prohibited by law. Unless specifically authorized by the Council, or as set forth in paragraph (b)(2) of this section, the following records, and portions thereof, are not available to the public: * * * * * (v) An intra-agency or interagency memorandum or letter that would not be routinely available by law to a private party in litigation, including, but not limited to, memoranda, reports, and other documents prepared by the personnel of the Council or its constituent agencies, and records of deliberations of the Council and discussions of meetings of the Council, any Council Committee, or Council staff, that are not subject to 5 U.S.C. 552b (the Government in the Sunshine Act). In applying this exemption, the Council will not withhold records based on the deliberative process privilege if the records were created 25 years or more before the date on which the records were requested. * * * * * (2) Discretionary release of exempt information. Notwithstanding the applicability of an exemption, the Council will only withhold records requested under this paragraph (b) if the Council reasonably foresees that disclosure would harm an interest protected by an exemption listed in 5 U.S.C. 552(b) and described in paragraph (b)(1) of this section. In addition, whenever the Council determines that full disclosure of a requested record is not possible, the Council will consider whether partial disclosure is possible and will take reasonable steps necessary to segregate and release the nonexempt portion of a record. The Council or the Council's designee may elect, under the circumstances of a particular request, to disclose all or a portion of any requested record where permitted by law. Such disclosure has no precedential significance. (3) * * * (v) * * * (A) Except where the Executive Secretary has determined to expedite the processing of a request, the Executive Secretary will respond by mail or electronic mail to all properly submitted initial requests within 20 working days of receipt. The time for response may be extended up to 10 additional working days in unusual circumstances, as defined in 5 U.S.C. [[Page 94940]] 552(a)(6)(B), where the Council has provided written notice to the requester setting forth the reasons for the extension and the date on which a determination is expected to be dispatched. In addition, where the extension of the 20-day time limit exceeds 10 working days, as described by the FOIA, the requester shall be provided with an opportunity to modify the scope of the FOIA request so that it can be processed within that time frame or provided an opportunity to arrange an alternative time frame for processing the request or a modified request. To aid the requester, the Council's FOIA Public Liaison is available to assist the requester for this purpose and in the resolution of any disputes between the requester and the Council. The Council's FOIA Public Liaison's contact information is available at http://www.ffiec.gov/foia.htm. The requester may also seek dispute resolution services from the Office of Government Information Services. (B) * * * (3) The right of the requester to seek assistance from the Council's FOIA Public Liaison; and (4) When an adverse determination is made (including a determination that the requested record is exempt, in whole or in part; the request does not reasonably describe the records sought; the information requested is not a record subject to the FOIA; the requested record does not exist, cannot be located, or has been destroyed; the requested record is not readily reproducible in the form or format sought by the requester; a fee waiver request or other fee categorization matter is denied; and a request for expedited processing is denied), the Executive Secretary will advise the requester in writing of that determination and will further advise the requester: * * * * * (iv) The right of the requester to appeal any adverse determination to the Chairman of the Council within 90 days following the date of issuance of the notification, as specified in paragraph (b)(3)(vi) of this section; and (v) The right of the requester to seek dispute resolution services from the Council's FOIA Public Liaison or the Office of Government Information Services. (vi)(A) Appeals of responses to initial requests. A requester may appeal any adverse determination in writing, within 90 days of the date of issuance of the adverse determination. Appeals shall be submitted to the Chairman of the Council: (1) By sending a letter to: FFIEC, Attn: Executive Secretary, 3501 Fairfax Drive, Room B-7081a, Arlington, VA, 22226-3550. Both the mailing envelope and the request should be marked ``Freedom of Information Act Appeal,'' ``FOIA Appeal,'' or the like; or (2) By facsimile clearly marked ``Freedom of Information Act Appeal,'' ``FOIA Appeal,'' or the like to the Executive Secretary at (703) 562-6446; or (3) By email with the subject line marked ``Freedom of Information Act Appeal,'' ``FOIA Appeal,'' or the like to [email protected]. (B) Appeals should refer to the date and tracking number of the original request and the date of the Council's initial ruling. Appeals should include an explanation of the basis for the appeal. * * * * * (4) Procedure for access to records if request is granted. (i) When a request for access to records is granted, in whole or in part, a copy of the records to be disclosed will be promptly delivered to the requester or made available for inspection in an electronic format, whichever was requested. Inspection of records, or duplication and delivery of copies of records will be arranged so as not to interfere with their use by the Council and other users of the records. * * * * * (5) * * * (ii) Fees to be charged. The Council will charge fees that recoup the full allowable direct costs it incurs, except that the charging of search and/or duplication fees is subject to the restrictions of paragraph (b)(5)(ii)(G) of this section. The Council may contract with the private sector to locate, reproduce, and/or disseminate records. Provided, however, that the Council has ensured that the ultimate cost to the requester is no greater than it would be if the Council performed these tasks. Fees are subject to change as costs change. In no case will the Council contract out responsibilities which the FOIA provides that it alone may discharge, such as determining the applicability of an exemption, or determining whether to waive or reduce fees. * * * * * (E) Fees to exceed $25. If the Council estimates that duplication and/or search fees are likely to exceed $25, it will notify the requester of the estimated amount of fees, unless the requester has indicated in advance his/her willingness to pay fees as high as those anticipated. In the case of such notification by the Council, the requester will then have the opportunity to confer with the Council's FOIA Public Liaison with the object of reformulating the request to meet his/her needs at a lower cost. * * * * * (G) Restriction on assessing fees. (1) The Council will not charge fees to any requester, including commercial use requesters, if the cost of collecting a fee would be equal to or greater than the fee itself. (2)(i) If the Council fails to comply with the time limits specified in the FOIA in which to respond to a request, the Council will not charge search fees, or, in the case of a requester described in paragraph (b)(5)(iii)(B) of this section, will not charge duplication fees, except as described in paragraphs (b)(5)(ii)(G)(2)(ii) through (iv) of this section. (ii) If the Council has determined that unusual circumstances apply (as the term is defined in the FOIA) and the Council provided a timely written notice to the requester in accordance with the FOIA, a failure to comply with the time limit shall be excused for an additional 10 working days. (iii) If the Council has determined that unusual circumstances apply (as the term is defined in the FOIA) and more than 5,000 pages are necessary to respond to the request, the Council may charge search fees, or, in the case of requesters described in paragraph (b)(5)(iii)(B) of this section, may charge duplication fees, if the following steps are taken: The Council provided timely written notice of unusual circumstances to the requester in accordance with the FOIA; and The Council discussed with the requester via written mail, email message, or telephone (or made not less than three good-faith attempts to do so) how the requester could effectively limit the scope of the request in accordance with 5 U.S.C. 552(a)(6)(B)(ii). If this exception is satisfied, the Council may charge all applicable fees incurred in the processing of the request. (iv) If a court has determined that exceptional circumstances exist, as defined by the FOIA, a failure to comply with the time limits shall be excused for the length of time provided by the court order. * * * * * (iii) Categories of requesters--(A) Commercial use requesters. The Council will assess fees for commercial use requesters sufficient to recover the full direct costs of searching for, reviewing for release, and duplicating the records sought. Commercial use requesters are not entitled to two hours of free search [[Page 94941]] time nor 100 free pages of reproduction of documents. * * * * * (v) Fees for unsuccessful search and review. The Council may assess fees for time spent searching and reviewing, even if it fails to locate the records or if records located are determined to be exempt from disclosure. * * * * * Federal Financial Institutions Examination Council. Judith E. Dupre, FFIEC Executive Secretary. [FR Doc. 2016-30696 Filed 12-23-16; 8:45 am] BILLING CODE 7535-01-P 6714-01-P 6210-01-P 4810-33-P 4810-AM-P
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days, where the Committee has Committee deems it appropriate to send of this section, may charge duplication
provided written notice to the requester, the documents by another means. fees.
setting forth the reasons for the * * * * * (3) If the Committee has determined
extension and the date on which a (h) Appeal of an adverse that unusual circumstances exist, as
determination is expected to be determination. A requester may appeal described in 5 U.S.C. 552(a)(6)(B), and
dispatched; and an adverse determination by filing a more than 5,000 pages are necessary to
(ii) Extend the 20-day time limit for a written appeal with the Committee, as respond to the request, the Committee
period of more than 10 working days follows: may charge search fees, or, in the case
where the Committee has provided the (1) The appeal shall prominently of requesters described in paragraph
requester with an opportunity to limit display the phrase FREEDOM OF (c)(2) of this section, may charge
the scope of the request so that it may INFORMATION ACT APPEAL on the duplication fees, if the Committee has:
be processed within that time frame or first page, and shall be addressed to the (i) Provided timely written notice of
with an opportunity to arrange an Secretary of the Committee, Federal unusual circumstances to the requester
alternative time frame for processing the Open Market Committee, 20th and C in accordance with the FOIA; and
original request or a modified request, Streets NW., Washington, DC 20551; or (ii) Discussed with the requester via
and has notified the requester that the sent by facsimile to the Secretary of the written mail, email, or telephone (or
Committee’s FOIA Public Liaison is Committee, (202) 452–2921; or sent by made not less than three good-faith
available to assist the requester for this email to the Secretary of the Committee attempts to do so) how the requester
purpose and in the resolution of any at FOMC-FOIA-Mailbox@frb.gov. could effectively limit the scope of the
disputes between the requester and the * * * * * request in accordance with 5 U.S.C.
Committee and of the requester’s right 552(a)(6)(B)(ii).
■ 6. In § 271.7, revise paragraph (a) to
to seek dispute resolution services from (4) If a court has determined that
read as follows: exceptional circumstances exist, as
the Office of Government Information
Services. § 271.7 Exemptions from disclosure. defined by the FOIA, a failure to comply
(e) * * * (a) Types of records exempt from with the time limits shall be excused for
(4) The right of the requester to seek disclosure. Pursuant to 5 U.S.C. 552(b), the length of time provided by the court
assistance from the Committee’s FOIA the following records of the Committee order.
Public Liaison; and are exempt from disclosure under this * * * * *
(5) When an adverse determination is part. The Committee will withhold By order of the Federal Open Market
made (including determinations that the records or information only when it Committee, December 13, 2016.
requested record is exempt, in whole or reasonably foresees that disclosure Brian Madigan,
in part; the request does not reasonably would harm an interest protected by an Secretary, Federal Open Market Committee.
describe the records sought; the exemption described in 5 U.S.C. 552(b) [FR Doc. 2016–30674 Filed 12–23–16; 8:45 am]
information requested is not a record and in this paragraph (a), or when
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subject to the FOIA; the requested disclosure is prohibited by law. In
record does not exist, cannot be located, applying the exemption in paragraph
or has been destroyed; the requested (a)(5) of this section, the Committee will
record is not readily reproducible in the not withhold records based on the FEDERAL FINANCIAL INSTITUTIONS
form or format sought by the requester; deliberative process privilege if the EXAMINATION COUNCIL
to deny a fee waiver request or other fee records were created 25 years or more 12 CFR Part 1101
categorization matter; and to deny a before the date on which the records
request for expedited processing), the were requested. [Docket No. FFIEC–2016–0004]
Secretary will advise the requester in * * * * *
writing of that determination and will Description of Office, Procedures, and
■ 7. In § 271.9, add paragraph (i) to read Public Information
further advise the requester of:
as follows:
(i) The right to appeal to the AGENCY: Federal Financial Institutions
Committee any adverse determination, § 271.9 Fee schedules; waiver of fees. Examination Council (FFIEC).
as specified in paragraph (h) of this * * * * * ACTION: Interim final rule.
section; (i) Restrictions on charging fees. (1) If
(ii) The right to seek dispute the Committee fails to comply with the SUMMARY: The Federal Financial
resolution services from the time limits specified in the FOIA in Institutions Examination Council
Committee’s FOIA Public Liaison or which to respond to a request, the (FFIEC or Council), on behalf of its
from the Office of Government Committee will not charge search fees, members, is amending its regulations to
Information Services; and or, in the case of requests from incorporate changes to the Freedom of
(iii) The name and title or position of requesters described in paragraph (c)(2) Information Act (FOIA). This interim
the person responsible for the adverse of this section, will not charge final rule reflects the required changes
determination. duplication fees, except as permitted necessitated by the FOIA Improvement
* * * * * under paragraphs (i)(2) through (i)(4) of Act of 2016 (Act) consisting of
(g) Providing responsive records. (1) this section. extending the deadline for
Copies of requested records shall be sent (2) If the Committee has determined administrative appeals, including
asabaliauskas on DSK3SPTVN1PROD with RULES
to the requester by regular U.S. mail to that unusual circumstances exist, as information on dispute resolution
the address indicated in the request, or described in 5 U.S.C. 552(a)(6)(B), and services, and amends parts of the fee
sent in electronic format to the email has provided timely written notice to determination. This interim final rule
address indicated in the request, unless the requester and subsequently also corrects a duplicate entry that
the requester elects to take delivery of responds within the additional 10 days occurred in the 2010 update of the
the documents at the Board’s Freedom provided in § 271.6(d)(3), the Board may regulations. The Council has reviewed
of Information Office or makes other charge search fees, or in the case of the proposed regulations and adopt
acceptable arrangements, or the requesters described in paragraph (c)(2) them in this interim final rule.
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time nor 100 free pages of reproduction On October 19, 2016, SBA issued a 13 CFR 127
of documents. correction pertaining to 8(a) joint
Government contracts, Reporting and
* * * * * venture profits. 81 FR 71981. As SBA
recordkeeping requirements, Small
(v) Fees for unsuccessful search and explained, due to the change made to
businesses.
review. The Council may assess fees for § 121.103(h), which eliminated the
time spent searching and reviewing, ability of a joint venture to be populated Accordingly, 13 CFR parts 125, 126,
even if it fails to locate the records or with individuals intended to perform and 127 are corrected by making the
if records located are determined to be contracts awarded to the joint venture, following correcting amendments:
exempt from disclosure. a conforming correction was needed to
§ 124.513(c), which references PART 125—GOVERNMENT
* * * * *
populated joint ventures. Specifically, CONTRACTING PROGRAMS
Federal Financial Institutions Examination
Council. § 124.513(c)(4) provided that in the case
■ 1. The authority citation for part 125
Judith E. Dupre, of a populated separate legal entity joint
continues to read as follows:
FFIEC Executive Secretary. venture, 8(a) Participant(s) must receive
profits from the joint venture Authority: 15 U.S.C. 632(p), (q), 634(b)(6),
[FR Doc. 2016–30696 Filed 12–23–16; 8:45 am] 637, 644, 657f, and 657q.
BILLING CODE 7535–01–P 6714–01–P 6210–01–P 4810–
commensurate with their ownership
33–P 4810–AM–P interests in the joint venture. Because ■ 2. In § 125.8, revise paragraph
SBA eliminated populated joint (b)(2)(iv) to read as follows:
ventures, that provision was
SMALL BUSINESS ADMINISTRATION superfluous and was deleted. SBA’s 8(a) § 125.8 What requirements must a joint
joint venture rule now states that the venture satisfy to submit an offer for a
13 CFR Parts 125, 126, and 127 procurement or sale set aside or reserved
8(a) Participant(s) in a joint venture
for small business?
RIN 3245–AG24 must receive profits from the joint
venture commensurate with the work * * * * *
Small Business Mentor Protégé performed by the 8(a) Participant(s). 13 (c) * * *
Programs; Correction CFR 124.513(c)(4). This change was (2) * * *
necessary because under the mentor (iv) Stating that each participant must
AGENCY: U.S. Small Business protégé program, a protégé may perform
Administration. receive profits from the joint venture
as little as 40% of the total work commensurate with the work performed
ACTION: Correcting amendments. performed by the joint venture in by the concern;
SUMMARY: The U.S. Small Business aggregate. It would not make sense to * * * * *
Administration (SBA) published a final require a firm to receive 51% of the
profits for doing only 40% of the work. ■ 3. In § 125.18, revise paragraph
rule in the Federal Register on July 25, (b)(2)(iv) to read as follows:
2016, amending its regulations to The same language that SBA corrected
establish a new Government-wide in the 8(a) regulations is currently in § 125.18 What requirements must an
mentor-protégé program for all small place for joint ventures under all small SDVO SBC meet to submit an offer on a
business concerns, consistent with mentor protégé, Service-Disabled contract?
SBA’s mentor-protégé program for Veteran-Owned, Women-Owned and * * * * *
Participants in SBA’s 8(a) Business HUBZone small business programs. (b) * * *
Development (BD) program. The rule SBA’s intent was for profits to be (2) * * *
also made several additional changes to commensurate with the work performed
current size, 8(a), Office of Hearings and (iv) Stating that the SDVO SBC(s)
by each member of the joint venture. must receive profits from the joint
Appeals, and HUBZone regulations, These rules currently state that in the
concerning among other things, venture commensurate with the work
case of a separate legal entity, the firm performed by the SDVO SBC;
ownership and control, changes in must receive profits commensurate with
primary industry, economic * * * * *
their ownership interests in the joint
disadvantage of a Native Hawaiian venture, which is contrary to SBA’s
Organization (NHO), standards of PART 126—HUBZONE PROGRAM
intent. Consequently, SBA is correcting
review, and interested party status for §§ 125.8(b)(2)(iv), 125.18(b)(2)(iv),
some appeals. This document makes ■ 4. The authority citation for part 126
126.616(c)(4) and 127.506(c)(4) to the continues to read as follows:
several technical corrections to that make the rules consistent with
final rule, eliminating a portion of a Authority: 15 U.S.C. 632(a), 632(j), 632(p),
124.513(c)(4) and across all programs.
sentence concerning joint venture 644; and 657a; Pub. L. 111–240, 24 Stat.
profits. List of Subjects 2504.
DATES: Effective December 27, 2016. 13 CFR 125 ■ 5. In § 126.616, revise paragraph (c)(4)
FOR FURTHER INFORMATION CONTACT: to read as follows:
Michael McLaughlin, Office of Policy, Government contracts, Government
procurement, Reporting and § 126.616 What requirements must a joint
Planning & Liaison, U.S. Small Business
recordkeeping requirements, Small venture satisfy to submit an offer on a
Administration, 409 Third Street SW., HUBZone contract?
asabaliauskas on DSK3SPTVN1PROD with RULES
Washington, DC 20416; 202–205–5353; businesses, Technical assistance,
michael.mclaughlin@sba.gov. Veterans. * * * * *
SUPPLEMENTARY INFORMATION: The final (c) * * *
13 CFR 126
rule published on July 25, 2016, at 81 (4) Stating that the HUBZone SBC(s)
FR 48557, contained errors that must be Administrative practice and must receive profits from the joint
corrected in order ensure consistency procedure, Government procurement, venture commensurate with the work
within the regulations and to avoid Penalties, Reporting and recordkeeping performed by the HUBZone SBC;
public uncertainty or confusion. requirements, Small businesses. * * * * *
VerDate Sep<11>2014 19:06 Dec 23, 2016 Jkt 241001 PO 00000 Frm 00033 Fmt 4700 Sfmt 4700 E:\FR\FM\27DER1.SGM 27DER1](https://thefederalregister.org/doc/81_FR_95185/page/5.svg)
Document Created: 2018-02-14 09:13:40
Document Modified: 2018-02-14 09:13:40
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Rules and Regulations | |
| Action | Interim final rule. | |
| Dates | Effective December 27, 2016. | |
| Contact | Judith Dupre, Executive Secretary, Federal Financial Institutions Examination Council, via telephone: (703) 516-5590, or via email: [email protected] | |
| FR Citation | 81 FR 94937 | |
| CFR Associated | Freedom of Information; Foia Exemptions; Schedule of Fees and Waivers Or Reductions of Fees |
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