Appendix B to Part 145 - Schedule of Fees
17:2.0.1.1.17.0.1.11.15 : Appendix B
Appendix B to Part 145 - Schedule of Fees
(a) Charges for requests. The following charges may be
made where applicable for responding to requests for records.
(1) $4.75 for each quarter hour spent by clerical personnel in
searching for or reviewing records.
(2) When a search or review cannot be performed by clerical
personnel, $10.25 for each quarter hour spent by professional
personnel in searching or reviewing records.
(3) When searches require the expertise of a computer
specialist, staff time for programming and performing searches will
be charged at $10.25 per quarter hour. For searches of records
stored on personal computers used as workstations by Commission
staff and shared access network servers, the computer processing
time is included in the search time for the staff member using the
workstation as set forth in paragraph (a) of this appendix.
(4) Document duplication, including computer printouts, will be
charged at $0.15 per page.
(5) For copies of materials other than paper records, the
requester will be charged the actual cost of materials and
reproduction, including the time of clerical personnel at a rate of
$4.75 per quarter hour.
(6) When a request has been made and granted to examine
Commission records at an office of the Commission other than the
office in which the records are routinely maintained, the
requester:
(i) Will reimburse the Commission for the actual cost of
transporting the records; and
(ii) Will be charged at a rate of $4.75 for each quarter hour
spent by clerical personnel in preparing the records for
transit.
(7) For certifying that requested records are true copies, the
charge will be $3.00 per certification.
(8) Upon request, records will be mailed by means of overnight
or express mail at the fee of $10.00 per package mailed.
(b) Waiver or reduction of fees. Fees will be waived or
reduced by the Commission if:
(1) The fee is less than or equal to $10.00, the approximate
cost to the Commission of collecting the fee; or,
(2) If the Commission determines that the disclosure of the
information is likely to contribute significantly to public
understanding of the operations or activities of the government and
is not primarily in the commercial interest of the requester.
(c) Applicability of fees. Fees shall be charged even if
no records are ultimately furnished to the requester. Fees apply to
various types of requests as follows.
(1) Commercial use request. Fees for search time, review
time and duplication of records will be charged to requests from or
on behalf of one who seeks information for a user or purpose that
furthers the commercial, trade or profit interests of the requester
or the person on whose behalf the request is made.
(2) Educational institution or noncommercial scientific
institution. Only duplication fees will be charged to schools
or to organizations which operate solely for the purpose of
scientific research, the results of which are not intended to
promote any particular product or industry. No charge will be made
for the first 100 pages duplicated or for search or review
time.
(3) Representative of the news media. Only duplication
fees will be charged to any person actively gathering news for an
entity that is organized and operated to publish or broadcast news
to the public. No charge will be made for the first 100 pages
duplicated or for search or review time.
(4) Other requesters. Fees for search time and
duplication will be charged to requesters who are not covered by
one of the categories above. No charge will be made for the first
two hours of search time, the first 100 pages of duplication, or
for review time. If the search is for records stored in a computer
format, a combination of computer operation charges and search time
charges will be waived up to the equivalent of two hours of
professional search time.
(d) Aggregation of requests. For purposes of determining
fees, the Commission may aggregate reasonably related requests if
multiple requests are made within a 30-day period or if there is a
solid basis for believing that multiple requests were made solely
to avoid fees.
(e) Notification of fees. A request for Commission
records may state that the party is willing to pay fees up to a
stated limit for services to be provided in searching, reviewing
and duplicating requested records. If such a statement is made, no
work will be done that will result in fees beyond the stated limit
without written authorization. If no limit is stated, no work will
be done that will result in fees in excess of $25.00 without
written authorization from the requester.
(f) Advance payment of fees. The Commission may request
advance payment of all or part of the fee (i) when fees are
expected to exceed $250; or (ii) when a requester has previously
failed to pay fees in a timely fashion.
(g) Payment of fees. Payment should be made by check or
money order payable to the Commodity Futures Trading
Commission.
(h) Interest on fees. The Commission will begin charging
interest on unpaid bills starting on the 31th day following the day
on which the bill was sent. Interest will be at the rate prescribed
in 31 U.S.C. 3717.
(i) Collection of fees. If fees not paid, the Commission
may disclose debts to appropriate authorities for collection or to
consumer reporting agencies.
[52 FR 19308, May 22, 1987, as amended at 64 FR 27, Jan. 4, 1999;
69 FR 67507, Nov. 18, 2004]