2021 Chief FOIA Officer Report

 

Margaret McCloskey Shanks, Deputy Secretary and Chief FOIA Officer for the Board of Governors of the Federal Reserve System (Board), hereby submits the Chief FOIA Officer Report on behalf of the Board.

Section I: Steps Taken to Apply the Presumption of Openness

The guiding principle underlying DOJ's FOIA Guidelines is the presumption of openness.

Please answer the following questions in order to describe the steps your agency has taken to ensure that the presumption of openness is being applied to all decisions involving the FOIA. You may also include any additional information that illustrates how your agency is working to apply the presumption of openness.

A. FOIA Leadership

1. The FOIA requires each agency to designate a Chief FOIA Officer who is a senior official at the Assistant Secretary or equivalent level. See 5 U.S.C. § 552(j)(1) (2018). Is your agency's Chief FOIA Officer at this level?

Yes

2. Please provide the name and title of your agency's Chief FOIA Officer.

Margaret McCloskey Shanks, Deputy Secretary of the Board

B. FOIA Training

3. The FOIA directs agency Chief FOIA Officers to ensure that FOIA training is offered to agency personnel. See 5 U.S.C. § 552(a)(j)(2)(F). Please describe the efforts your agency has undertaken to ensure proper FOIA training is made available and used by agency personnel.

The Board incorporated the Office of Information Policy's (OIP) FOIA training modules into the Board's internal training application, which is accessible by all Board staff. Employees with responsibility for administering the FOIA must meet specific performance standards, which require demonstrating appropriate subject matter expertise.

4. Did your FOIA professionals or the personnel at your agency who have FOIA responsibilities attend substantive FOIA training during the reporting period such as that provided by the Department of Justice?

Yes

5. If yes, please provide a brief description of the type of training attended or conducted and the topics covered.

Board FOIA professionals attended training provided by OIP on the following topics:

  • Exemption 4, which covered the requirements for protecting trade secrets and certain commercial and financial information, as well as the submitter-notice process for exemption determinations;
  • Processing from Start to Finish, which discussed processing a FOIA request from receipt by the agency to final response to the requester;
  • Virtual Privacy Considerations, which discussed the interface between the FOIA and the Privacy Act and covered FOIA exemptions 6 and 7(C);
  • FOIA Litigation, which provided guidance on successful litigation strategies and preparation of Vaughn indices and declarations;
  • Exemptions 1 and 7, which covered Executive Order 13526 and the withholding of classified national security information, as well as the FOIA's primary exemption for law enforcement records; and
  • Procedural Requirements and Fees, which covered the FOIA's procedural requirements, as well as fee and fee waiver provisions.

Board FOIA professionals also attended the following programs provided by the American Society of Access Professionals:

  • 13th Annual National Training Conference, which provided information and guidance on numerous FOIA topics, including FOIA exemptions, redaction practices, reasonable searches, the foreseeable harm standard, backlog reduction, and customer service;
  • Significant Recent FOIA Decisions, which described recent court rulings pertaining to the FOIA and explained how administration of the FOIA has been affected by those rulings, including how the rulings impact application of specific FOIA exemptions; and
  • Exemption 5: Deliberative Process Privilege: Is it Going Away?, which discussed the impact of the Supreme Court's decision in U.S. Fish & Wildlife Service v. Sierra Club, Inc., on the application of FOIA exemption 5.

6. Please provide an estimate of the percentage of your FOIA professionals and staff with FOIA responsibilities who attended substantive FOIA training during this reporting period.

One hundred percent of the Board's FOIA professionals with responsibility for administering the Board's FOIA program attended substantive FOIA training during this reporting period.

7. OIP has directed agencies to "take steps to ensure that all of their FOIA professionals attend substantive FOIA training at least once throughout the year." If your response to the previous question is that less than 80% of your FOIA professionals attended training, please explain your agency's plan to ensure that all FOIA professionals receive or attend substantive FOIA training during the next reporting year.

N/A

C. Outreach

8. Did your FOIA professionals engage in any outreach or dialogue with the requester community or open government groups regarding your administration of the FOIA? Please describe any such outreach or dialogue, and, if applicable, any specific examples of how this dialogue has led to improvements in your agency's FOIA administration.

Yes. The Board's FOIA Public Liaison and other FOIA professionals communicate with FOIA requesters by email and telephone regarding the Board's administration of the FOIA, including the Board's FOIA rules and processes. In addition to routine matters such as status inquiries, the Board's FOIA professionals assist requesters with, for example, clarifying the scope of their FOIA requests, which enables the Board to provide requesters with the information they are seeking in a more efficient and timely manner. The Board's FOIA professionals also assist requesters in understanding the rationale for disclosure determinations, including application of exemptions, which helps to streamline the appeal process.

D. Other Initiatives


9. Describe any efforts your agency has undertaken to inform non-FOIA professionals of their obligations under the FOIA. In particular, please describe how often and in what formats your agency provides FOIA training or briefings to non-FOIA staff.

As previously discussed in response to Question 3, the Board has incorporated OIP's FOIA training modules into the Board's internal training application, which is accessible by all Board staff. In addition, the Board's Chief FOIA Officer and FOIA Public Liaison both serve, on a regular and ongoing basis, as resources to assist Board staff in understanding and executing their responsibilities under the FOIA.

10. Optional -- If there are any other initiatives undertaken by your agency to ensure that the presumption of openness is being applied, please describe them here.

As communicated by the Board's senior leaders, including a message from Chair Powell to introduce the Board's 2020-2023 Strategic Plan, the Board prioritizes improving transparency by, for example, explaining its policymaking approach and decisions as clearly as possible and publishing its reports and findings, all in a manner that is readily and easily accessible by the public. The Board is committed to expanding and enhancing activities and platforms that inform, educate, and engage the public.

The Board has undertaken several initiatives to further these objectives. For example, the Board works to increase accessibility by providing information in a wide variety of formats, often posting information in multiple formats to meet different user preferences. The Board also assesses emerging and innovative communication formats and channels, such as both live streaming and on-demand viewing of speeches and conferences. For more specific examples, see responses to questions in Section III of this report.

Section II: Steps Taken to Ensure that Your Agency Has an Effective System in Place for Responding to Requests

DOJ's FOIA Guidelines emphasize that "[a]pplication of the proper disclosure standard is only one part of ensuring transparency. Open government requires not just a presumption of disclosure, but also an effective system for responding to FOIA requests." It is essential that agencies effectively manage their FOIA program.

Please answer the following questions to describe the steps your agency has taken to ensure that the management of your FOIA program is effective and efficient. You should also include any additional information that describes your agency's efforts in this area.

1. For Fiscal Year 2020, what was the average number of days your agency reported for adjudicating requests for expedited processing? Please see Section VIII.A. of your agency's Fiscal Year 2020 Annual FOIA Report.

The Board adjudicated requests for expedited processing in an average of six days.

2. If your agency's average number of days to adjudicate requests for expedited processing was above ten calendar days, according to Section VIII.A. of your agency's Fiscal Year 2020 Annual FOIA Report, please describe the steps your agency will take to ensure that requests for expedited processing are adjudicated within ten calendar days or less.

N/A

3. During the reporting period, did your agency conduct a self-assessment of its FOIA program? If so, please describe the methods used, such as reviewing Annual Report or raw data, using active workflows and track management, reviewing and updating processing procedures, etc.

  • Note: In September 2017, OIP released a FOIA Self-Assessment Toolkit as a resource for agencies conducting a self-assessment of their FOIA program. The Toolkit is available on OIP's website for all agencies to use.

The Board assesses its FOIA program by analyzing quarterly and annual reporting data, as well as raw data, and updating processing procedures as appropriate. The Board utilizes active workflows and track management systems.

4. Standard Operating Procedures (SOPs): Having SOPs can improve the consistency and quality of an agency's FOIA process. In addition, describing an agency's standard practices for handling FOIA requests on agency FOIA websites can help requesters better understand how their request will be handled.

a) Does your agency have SOPs that outline general processes for handling FOIA requests and appeals?

Yes, the Board maintains SOPs that outline FOIA processes.

b) If not, does your agency have plans to create FOIA SOPs?

N/A

c) If yes, how often are they reviewed/updated to account for changes in law, best practices, and technology?

The Board's SOPs are reviewed and updated as necessary to ensure they are current and accurate.

d) In addition to having SOPs, does your agency post or otherwise describe your standard processes for handling requests on your website?

Yes, the Board's public website includes detailed information about FOIA processes, including the process for handling requests.

5. The FOIA Improvement Act of 2016 requires additional notification to requesters about the services provided by the agency's FOIA Public Liaison. Please provide an estimate of the number of times requesters sought assistance from your agency's FOIA Public Liaison during FY 2020 (please provide a total number or an estimate of the number).

FOIA requesters sought assistance from the Board's FOIA Public Liaison approximately 20 times during FY 2020.

6. Does your agency frequently receive common categories of first-party requests? If so, please describe the types of request and if your agency has explored establishing alternative means of access to these records outside of the FOIA process?

The Board does not frequently receive common categories of first-party requests.

7. The FOIA Improvement Act of 2016 required all agencies to update their FOIA regulations within 180 days. Has your agency updated its FOIA regulations in accordance with the FOIA Improvement Act of 2016? If not, what is your agency's plan to update your regulations?

Yes, the Board updated its FOIA regulations in accordance with the FOIA Improvement Act of 2016.

8. Please explain how your agency worked to mitigate the impact of the COVID-19 pandemic on FOIA processing. Examples could include, but are not limited to: altering workflows, implementing new technology, providing notices and instructions or otherwise communicating directly with requesters.

The Board's FOIA professionals quickly and seamlessly transitioned all operations as necessary to ensure that current circumstances, including the COVID-19 pandemic and staff's move to fulltime remote work status, did not impact FOIA processing.

9. Optional -- Please describe:

  • Best practices used to ensure that your FOIA system operates efficiently and effectively
  • Any challenges your agency faces in this area

To ensure that the Board's FOIA program operates efficiently and effectively, the Board's Chief FOIA Officer regularly reviews the status of pending FOIA requests and takes steps to identify reasons for delay and to advocate for additional staff resources to locate and produce responsive documents as quickly as feasible.

The Board's records management professionals have made several improvements to search processes and capabilities, thus decreasing the time needed to identify and produce responsive records. For example, a new email-archiving technology has greatly improved the Board's ability to search for and provide responsive emails.

Section III: Steps Taken to Increase Proactive Disclosures

The Department of Justice has long focused on the need for agencies to work proactively to post information online without waiting for individual requests to be received.

Please answer the following questions to describe the steps your agency has taken to increase the amount of material that is available on your agency websites. In addition to the questions below, you should also describe any additional steps taken by your agency to make and improve proactive disclosures of information.

1. Provide examples of material that your agency has proactively disclosed during the past reporting year, including records that have been requested and released three or more times in accordance with 5 U.S.C. § 552(a)(2)(D). Please include links to these materials as well.

As previously stated, the Board is committed to promoting transparency and openness by providing information of public interest in a timely manner and in a variety of easily accessible formats that meet a wide range of user preferences. The items described below are currently available on the Board's public website.

2. Beyond posting new material, is your agency taking steps to make the posted information more useful to the public, especially to the community of individuals who regularly access your agency's website?

Yes

3. If yes, please provide examples of such improvements. In particular, please describe steps your agency is taking to post information in open, machine-readable, and machine-actionable formats, to the extent feasible. If not posting in open formats, please explain why and note any challenges.

Board personnel and contractors use software to post information in open, machine-readable, and machine-actionable formats.

4. Optional -- Please describe:

  • Best practices used to improve proactive disclosures
  • Any challenges your agency faces in this area

The Board's senior leaders, including Chair Powell, clearly communicated that improving transparency is a priority for the organization and demonstrated their own commitment to furthering that objective. Accordingly, and as is evident from the discussion above, Board staff focus considerable attention and dedicate significant resources to seeking and identifying a wide range of information regarding the Board's actions, activities, and decisions for proactive disclosure. In addition, the Board's Information Disclosure section designated one FOIA professional to review the Board's FOIA logs and identify records for proactive disclosure.

Section IV: Steps Taken to Greater Utilize Technology

A key component of FOIA administration is using technology to make information more accessible. In addition to using the internet to make proactive disclosures, agencies should also be exploring ways to utilize technology in responding to requests.

Please answer the following questions to describe how your agency is utilizing technology to improve its FOIA administration and the public's access to information. You should also include any additional information that describes your agency's efforts in this area.

1. Please briefly describe the types of technology your agency uses to support your FOIA program. In addition, please highlight if your agency is leveraging or exploring any new technology that you have not previously reported. If so, please describe the type of technology.

The Board currently uses in-house software to support the FOIA program. The Board is transitioning to commercial-off-the-shelf software that will streamline and automate the entire life cycle of processing FOIA requests, from initial request receipt to final delivery of documents. The software will also ensure that the Board's FOIA request web portal is fully interoperable with DOJ's National FOIA Portal on FOIA.gov in accordance with DOJ's Memorandum M-19-10.

2. OIP issued guidance in 2017 encouraging agencies to regularly review their FOIA websites to ensure that they contain essential resources, and are informative and user-friendly. Has your agency reviewed its FOIA website(s) during the reporting period to ensure it addresses the elements noted in the guidance?

Yes

3. Did your agency successfully post all four quarterly reports for Fiscal Year 2020?

Yes

4. If your agency did not successfully post all quarterly reports, with information appearing on FOIA.gov, please explain why and provide your agency's plan for ensuring that such reporting is successful in Fiscal Year 2021.

N/A

5. The FOIA Improvement Act of 2016 requires all agencies to post the raw statistical data used to compile their Annual FOIA Reports. Please provide the link to this posting for your agency's Fiscal Year 2019 Annual FOIA Report and, if available, for your agency's Fiscal Year 2020 Annual FOIA Report.

Report 2019: https://www.federalreserve.gov/foia/annrept_2019.htm

Raw Data 2019: https://www.federalreserve.gov/foia/annualreports.htm

6. Optional -- Please describe:

  • Best practices used in greater utilizing technology
  • Any challenges your agency faces in this area.

    The Board is utilizing more robust software to assist in maintaining and archiving records needed to process FOIA requests. In addition, FIRMA, the Board's electronic recordkeeping system, currently maintains over 4.3 million documents, increasing in volume by about 750,000 documents each year in recent years.
     

Section V: Steps Taken to Improve Timeliness in Responding to Requests and Reducing Backlogs


The Department of Justice has emphasized the importance of improving timeliness in responding to requests. This section of your Chief FOIA Officer Report addresses both time limits and backlog reduction. Backlog reduction is measured both in terms of numbers of backlogged requests or appeals and by looking at whether agencies closed their ten oldest requests, appeals, and consultations.

For the figures required in this Section, please use the numbers contained in the specified sections of your agency's FY 2019 and 2020 Annual FOIA Reports.

A. Simple Track

Section VII.A. of your agency's Annual FOIA Report, entitled "FOIA Requests – Response Time for All Processed Requests," includes figures that show your agency's average response times for processed requests. For agencies utilizing a multi-track system to process requests, there is a category for "simple" requests, which are those requests that are placed in the agency's fastest (non-expedited) track, based on the low volume and/or simplicity of the records requested.

1. Does your agency utilize a separate track for simple requests?

The Board uses simple, complex, and expedited tracks to process requests.

2. If your agency uses a separate track for simple requests, according to Annual FOIA Report Section VII.A., was the agency overall average number of days to process simple requests twenty working days or fewer in Fiscal Year 2020?

Yes, the average number of days to process a simple request was twelve.

3. Please provide the percentage of requests processed by your agency in Fiscal Year 2020 that were placed in your simple track. Please use the following calculation based on the data from your Annual FOIA Report: (processed simple requests from Section VII.C.1.) divided by (requests processed from Section V.A.) x 100.

Forty-two percent of FOIA requests processed by the Board were placed in the simple track.

4. If your agency does not track simple requests separately, was the average number of days to process all non-expedited requests twenty working days or fewer?

N/A

B. Backlogs

Section XII.A. of your agency's Annual FOIA Report, entitled "Backlogs of FOIA Requests and Administrative Appeals" shows the numbers of any backlogged requests or appeals from the fiscal year. You should refer to these numbers from your Annual FOIA Reports for both Fiscal Year 2019 and Fiscal Year 2020 when completing this section of your Chief FOIA Officer Report.

BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 2020, according to Annual FOIA Report Section XII.A., did that backlog decrease as compared with the backlog reported at the end of Fiscal Year 2019?

No

6. If not, according to Annual FOIA Report Section V.A., did your agency process more requests during Fiscal Year 2020 than it did during Fiscal Year 2019?

Yes

7. If your agency's request backlog increased during Fiscal Year 2020, please explain why and describe the causes that contributed to your agency not being able to reduce its backlog. When doing so, please also indicate if any of the following were contributing factors:

  • An increase in the number of incoming requests.
  • A loss of staff.
  • An increase in the complexity of the requests received. If possible, please provide examples or briefly describe the types of complex requests contributing to your backlog increase.

Any other reasons – please briefly describe or provide examples when possible.
The Board's request backlog increased during Fiscal Year 2020 because, among other reasons, the number of incoming requests increased. In addition, a significant number of requests, including those (12% of total requests) related to the Board's actions in response to the economic downturn caused by the COVID-19 pandemic, were more complex to process.

8. If you had a request backlog please report the percentage of requests that make up the backlog out of the total number of requests received by your agency in Fiscal Year 2020. Please use the following calculation based on the data from your Annual FOIA Report: (backlogged requests from Section XII.A.) divided by (requests received from Section V.A.) x 100. If your agency has no request backlog, please answer with "N/A."

The percentage of requests that make up the backlog out of the total number of requests received is less than three percent.

BACKLOGGED APPEALS

9. If your agency had a backlog of appeals at the close of Fiscal Year 2020, according to Section XII.A. of the Annual FOIA Report, did that backlog decrease as compared with the backlog reported at the end of Fiscal Year 2019?

No

10. If not, according to Section VI.A. of the Annual FOIA Report, did your agency process more appeals during Fiscal Year 2020 than it did during Fiscal Year 2019?

Yes, the Board processed more appeals during Fiscal Year 2020 than it did during Fiscal Year 2019.

11. If your agency's appeal backlog increased during Fiscal Year 2020, please explain why and describe the causes that contributed to your agency not being able to reduce its backlog. When doing so, please also indicate if any of the following were contributing factors:

  • An increase in the number of incoming appeals.
  • A loss of staff.
  • An increase in the complexity of the requests received. If possible, please provide examples or briefly describe the types of complex requests contributing to your backlog increase.
  • Any other reasons – please briefly describe or provide examples when possible.

The Board's appeal backlog increased during Fiscal Year 2020 because, among other reasons, the number of appeals increased. In addition, a significant number of appeals, including those (38% of total appeals) related to the Board's response to the COVID-19 pandemic, were more complex to process.

12. If you had an appeal backlog please report the percentage of appeals that make up the backlog out of the total number of appeals received by your agency in Fiscal Year 2020. Please use the following calculation based on the data from your Annual FOIA Report: (backlogged appeals from Section XII.A.) divided by (appeals received from Section VI.A.) x 100. If your agency did not receive any appeals in Fiscal Year 2020 and/or has no appeal backlog, please answer with "N/A."

The percentage of appeals that make up the backlog out of the total number of requests received is fifteen percent.

C. Backlog Reduction Plans

13. In the 2020 guidelines for Chief FOIA Officer Reports, any agency with a backlog of over 1000 requests in Fiscal Year 2019 was asked to provide a plan for achieving backlog reduction in the year ahead. Did your agency implement a backlog reduction plan last year? If so, describe your agency's efforts in implementing this plan and note if your agency was able to achieve backlog reduction in Fiscal Year 2020?

N/A

14. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2020, please explain your agency's plan to reduce this backlog during Fiscal Year 2021.

N/A

D. Status of Oldest Requests, Appeals, and Consultations

Section VII.E., entitled "Pending Requests – Ten Oldest Pending Requests," Section VI.C.(5), entitled "Ten Oldest Pending Administrative Appeals," and Section XII.C., entitled "Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency," show the ten oldest pending requests, appeals, and consultations. You should refer to these numbers from your Annual FOIA Reports for both Fiscal Year 2019 and Fiscal Year 2020 when completing this section of your Chief FOIA Officer Report.

OLDEST REQUESTS

15. In Fiscal Year 2020, did your agency close the ten oldest pending perfected requests that were reported in Section VII.E. of your Fiscal Year 2019 Annual FOIA Report?

No

16. If no, please provide the number of these requests your agency was able to close by the end of the fiscal year, as listed in Section VII.E. of your Fiscal Year 2019 Annual FOIA Report. If you had fewer than ten total oldest requests to close, please indicate that.

The Board closed seven of the ten oldest requests listed in the Fiscal Year 2019 Annual FOIA Report by the end of the fiscal year.

17. Beyond work on the ten oldest requests, please describe any steps your agency took to reduce the overall age of your pending requests.

To reduce the overall age of pending requests, the Board increased its communications with requesters to narrow the scope of requests and provide previously released records that were substantially similar to the requested records.

TEN OLDEST APPEALS

18. In Fiscal Year 2020, did your agency close the ten oldest appeals that were reported pending in Section VI.C.(5) of your Fiscal Year 2019 Annual FOIA Report?

Yes

19. If no, please provide the number of these appeals your agency was able to close by the end of the fiscal year, as listed in Section VI.C.(5) of your Fiscal Year 2019 Annual FOIA Report. If you had fewer than ten total oldest appeals to close, please indicate that.

N/A

20. Beyond work on the ten oldest appeals, please describe any steps your agency took to reduce the overall age of your pending appeals.

The Board dedicated significant resources to processing appeals in a timely manner.

TEN OLDEST CONSULTATIONS

21. In Fiscal Year 2020, did your agency close the ten oldest consultations that were reported pending in Section XII.C. of your Fiscal Year 2019 Annual FOIA Report?

No

22. If no, please provide the number of these consultations your agency was able to close by the end of the fiscal year, as listed in Section XII.C. of your Fiscal Year 2019 Annual FOIA Report. If you had fewer than ten total oldest consultations to close, please indicate that.

The Board closed three of the four consultations that were reported pending in the Fiscal Year 2019 Annual FOIA Report.

E. Additional Information on Ten Oldest Requests, Appeals, and Consultations & Plans

23. Briefly explain any obstacles your agency faced in closing its ten oldest requests, appeals, and consultations from Fiscal Year 2019.

The Board did not close three of the ten oldest requests from Fiscal Year 2019 due to their complexity. The Board has closed the three remaining oldest requests from Fiscal Year 2019 in Fiscal Year 2020.

The Board did not close one consultation listed as pending in the Fiscal Year 2019 report due to the nature and complexity of that request.

24. If your agency was unable to close any of its ten oldest requests because you were waiting to hear back from other agencies on consultations you sent, please provide the date the request was initially received by your agency, the date when your agency sent the consultation, and the date when you last contacted the agency where the consultation was pending.

N/A

25. If your agency did not close its ten oldest pending requests, appeals, or consultations, please provide a plan describing how your agency intends to close those "ten oldest" requests, appeals, and consultations during Fiscal Year 2021.

As previously discussed in response to Question 23 in Section V, the Board closed the three remaining "ten oldest" requests. The Board will also dedicate additional resources to closing the pending consultation.

F. Success Stories

Out of all the activities undertaken by your agency since March 2020 to increase transparency and improve FOIA administration, please briefly describe here at least one success story that you would like to highlight as emblematic of your agency's efforts. The success story can come from any one of the five key areas, but should not be something that you have reported in a prior year. As noted above, OIP will highlight these agency success stories during Sunshine Week. To facilitate this process, all agencies should use bullets to describe their success story and limit their text to a half page. The success story is designed to be a quick summary of key achievements. A complete description of all your efforts will be contained in the body of your Chief FOIA Officer Report.

  • Created a webpage dedicated to COVID-19 information and resources, such as the Main Street Lending Program, Chair Powell's interviews on 60 Minutes and the Today Show, and supervisory and regulatory actions.
  • Live-streamed eight FOMC press conferences and three open Board meetings.
  • Live-streamed FedListens: Perspectives on Maximum Employment and Price Stability and Exploring Careers in Economics event.
  • Published 142 economic research papers and 69 economic notes from Finance and Economics Discussion Series and from International Finance Discussion Papers.
  • Answered 15,456 emails received through the public website.
    • Responded to 1,946 comments from the public on the Main Street Lending Program.
    • Responded to 577 comments from the public about COVID-19.
  • Issued approximately 240 press releases, including approximately 20 orders on banking applications, and published approximately 60 speeches.
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Last Update: February 26, 2021