1

Federal Trade Commission 

FREEDOM OF INFORMATION ACT ANNUAL REPORT 

Fiscal Year 2012 

(Oct. 1, 2011 - Sept. 30, 2012) 

TABLE OF CONTENTS 

I. Basic Information Regarding Report 2 

II. Making a FOIA Request 2 

III. Acronyms, Definitions, and Exemptions

 

3 

IV. Exemption 3 Statutes 7 

V. FOIA Requests 8 

VI. Administrative Appeals of Initial Determinations of FOIA 

Requests

9 

VII. FOIA Requests: Response Time for Processed and Pending 

Requests

11 

VIII. Requests for Expedited Processing and Requests for Fee 

Waiver

13 

IX. FOIA Personnel and Costs 14 

X. Fees Collected for Processing Requests 14 

XI. FOIA Regulations 14 

XII. Backlogs, Consultations, and Comparisons 14 
2

I. Basic Information Regarding Report 

1. Name, title, address, and telephone number of person to be contacted with 

questions about the report: 

Andrea Kelly 

Paralegal Specialist 

600 Pennsylvania Avenue, N.W., Room 585 

Washington, D.C. 20580 

(202) 326-2836 

Akelly@ftc.gov 

2. Electronic link for access to the Report on the FTC’s website: 

http://www.ftc.gov/foia/annualreports.shtm. 

3. How to obtain a copy of the report in paper form: 

Federal Trade Commission 

Consumer Response Center 

Room 130 

600 Pennsylvania Avenue, N.W. 

Washington, D.C. 20580 

II. Making a FOIA Request 

All FOIA requests must be in the form of a written request precisely describing the records 

sought. Any request for nonpublic records will be handled as a FOIA request regardless of 

how it is identified, but requests should be identified as a "FOIA request" in order to avoid 

delay in processing. 

FOIA requests should contain a precise description of the records sought, including the 

subject matter, relevant time period, and the name and address of any company to which the 

request pertains. Requests should also include an agreement to pay any FOIA processing 

fees and the requester's address and telephone number. 
3

1. Names, addresses, and telephone numbers of all individual agency 

components and offices that receive FOIA requests:

Regardless of how submitted (via mail, fax, or e-mail) requests should be addressed 

as follows: 

Freedom of Information Act Request 

Office of the General Counsel 

Federal Trade Commission 

600 Pennsylvania Avenue, N.W. 

Washington, D.C. 20580 

Facsimile: 202-326-2477 

E-mail address: FOIA@FTC.GOV 

2. Brief description of why some requests are not granted and an overview of 

certain general categories of records to which the FOIA exemptions apply. 

The FTC primarily receives requests for consumer complaints regarding a company’s 

business practices and requests for records relating to the FTC’s law enforcement 

investigations. The majority of requests that are initially denied, or partially denied, 

are based on personal privacy concerns reflected in FOIA Exemption 6. Many 

denials are also due to statutory constraints on disclosure or because disclosure would 

interfere with ongoing law enforcement activities. 

III. Acronyms, Definitions, and Exemptions 

1. Agency-specific acronyms or terms: 

FOIA – Freedom of Information Act (5 U.S.C. § 552) 

FTC – Federal Trade Commission 

HSR – Hart-Scott-Rodino (Clayton Act) 

FY – Fiscal Year 

PA – Privacy Act (5 U.S.C. § 552a) 

2. Basic terms, expressed in common terminology: 

a. Administrative Appeal – a request to a federal agency asking that it 

review at a higher administrative level a FOIA determination made by the 

agency at the initial request level. 

b. Average Number – the number obtained by dividing the sum of a group 

of numbers by the quantity of numbers in the group. For example, of 3, 7, 

and 14, the average number is 8. 
4

c. Backlog – the number of requests or administrative appeals that are 

pending at an agency at the end of the fiscal year and are beyond the 

statutory time period for a response. 

d. Component – for agencies that process requests on a decentralized basis, 

a “component” is an entity, also sometimes referred to as an Office, 

Division, Bureau, Center, or Directorate, within the agency that processes 

FOIA requests. The FOIA now requires that agencies include in their 

Annual FOIA Report data for both the agency overall and for each 

principal component of the agency. 

e. Consultation – the procedure whereby the agency responding to a FOIA 

request first forwards a record to another agency for its review because 

that other agency has an interest in the document. Once the agency in 

receipt of the consultation finishes its review of the record, it responds 

back to the agency that forwarded it. That agency, in turn, will then 

respond to the FOIA requester. 

f. Exemption 3 Statute – a federal statute that exempts information from 

disclosure and which the agency relies on to withhold information under 

subsection (b)(3) of the FOIA. 

g. FOIA Request – a FOIA request is generally a request to a federal agency 

for access to records concerning another person (i.e., a “third-party” 

request), or concerning an organization, or a particular topic of interest. 

FOIA requests also include requests made by requesters seeking records 

concerning themselves (i.e., “first-party” requests) when those requesters 

are not subject to the Privacy Act, such as non-U.S. citizens. Moreover, 

because all first-party requesters should be afforded the benefit of both the 

access provisions of the FOIA as well as those of the Privacy Act, FOIA 

requests also include any first-party requests where an agency determines 

that it must search beyond its Privacy Act “systems of records” or where a 

Privacy Act exemption applies, and the agency looks to FOIA to afford the 

greatest possible access. All requests which require the agency to utilize 

the FOIA in responding to the requester are included in this Report. 

Additionally, a FOIA request includes records referred to the agency for 

processing and direct response to the requester. It does not, however, 

include records for which the agency has received a consultation from 

another agency. (Consultations are reported separately in Section XII of 

this Report.) 

h. Full Grant – an agency decision to disclose all records in full in response 

to a FOIA request. 

i. Full Denial – an agency decision not to release any records in response to 

a FOIA request because the records are exempt in their entireties under 
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one or more of the FOIA exemptions, or because of a procedural reason, 

such as when no records could be located. 

j. Median Number – the middle, not average, number. For example, of 3, 7, 

and 14, the median number is 7. 

k. Multi-Track Processing – a system in which simple requests requiring 

relatively minimal review are placed in one processing track and more 

voluminous and complex requests are placed in one or more other tracks. 

Requests granted expedited processing are place in yet another track. 

Requests in each track are processed on a first in/first out basis. 

i. Expedited Processing – an agency will process a FOIA request on an 

expedited basis when a requester satisfies the requirements for 

expedited processing as set forth in the statute and in agency 

regulations. 

ii. Simple Request – a FOIA request that an agency using multi-track 

processing places in its fastest (non-expedited) track based on the low 

volume and/or simplicity of the records requested. 

iii. Complex Request – a FOIA request that an agency using multi-track 

processing places in a slower track based on the high volume and/or 

complexity of the records requested. 

l. Partial Grant/Partial Denial – in response to a FOIA request, an agency 

decision to disclose portions of the records and to withhold other portions 

that are exempt under the FOIA, or to otherwise deny a portion of the 

request for a procedural reason. 

m. Pending Request or Pending Administrative Appeal – a request or 

administrative appeal for which an agency has not taken final action in all 

respects. 

n. Perfected Request – a request for records which reasonably describes 

such records and is made in accordance with published rules stating the 

time, place, fees (if any) and procedures to be followed. 

o. Processed Request or Processed Administrative Appeal – a request or 

administrative appeal for which an agency has taken final action in all 

respects. 

p. Range in Number of Days – the lowest and highest number of days to 

process requests or administrative appeals. 

q. Time Limits – the time period in the statute for an agency to respond to a 

FOIA request (ordinarily twenty working days from receipt of a perfected 

FOIA request). 
6

3. Descriptions of the nine FOIA exemptions:

a. Exemption 1: classified national defense and foreign relations information 

b. Exemption 2: information that is related solely to the internal personnel 

rules and practices of an agency 

c. Exemption 3: information that is prohibited from disclosure by another 

federal law 

d. Exemption 4: trade secrets and other confidential business information 

e. Exemption 5: inter-agency or intra-agency communications that are 

protected by legal privileges 

f. Exemption 6: information involving matters of personal privacy 

g. Exemption 7: records or information compiled for law enforcement 

purposes, to the extent that the production of those records (A) could 

reasonably by expected to interfere with enforcement proceedings, (B) 

would deprive a person of a right to a fair trial or an impartial adjudication, 

(C) could reasonably be expected to constitute an unwarranted invasion of 

personal privacy, (D) could reasonably be expected to disclose the identity 

of a confidential source, (E) would disclose techniques and procedures for 

law enforcement investigations or prosecutions, or would disclose 

guidelines for law enforcement investigations or prosecutions, or (F) could 

reasonably be expected to endanger the life or physical safety of any 

individual 

h. Exemption 8: information relating to the supervision of financial 

institutions 

i. Exemption 9: geological information on wells 
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IV. Exemption 3 Statutes 

Statute Type of Information Withheld Case Citation Total Number of 

Times Relied upon 

by Agency 

15 U.S.C. § 46(f) 

(Federal Trade 

Commission Act) 

"[A]ny trade secret or any commercial 

or financial information which is 

obtained from any person and which 

is privileged or confidential." 

Doherty v. FTC, 

No. 80-0513, 

1981 WL 2094, at 

*3 (D.D.C. June 

24, 1981) (15 

U.S.C. § 46(f)). 

57 

15 U.S.C. §57b-2 

(Federal Trade 

Commission Act)

Certain investigative materials 

received by the FTC and "provided 

pursuant to any compulsory process 

under this subchapter or which is 

provided voluntarily in place of such 

compulsory process;” 

or 

“any material reflecting a consumer 

complaint obtained from any other 

foreign source, if that foreign source 

supplying the material has requested 

confidential treatment as a condition 

of providing the material;” 

or 

“any material reflecting a consumer 

complaint submitted to a Commission 

reporting mechanism sponsored in 

part by foreign law enforcement 

agencies or other foreign government 

agencies.” 

A. Michael's 

Piano, Inc. v. 

FTC, 18 F.3d 

138, 143-44 (2d 

Cir. 1994) (15 

U.S.C. § 57b-2); 

Carter, Fullerton 

& Hayes, LLC v. 

FTC, 637 F. 

Supp. 2d 1, 9 

(D.D.C. 2009) 

(15 U.S.C. § 57b2); National 

Educ. Ass'n v. 

FTC, No. 79-959-

S, 1983 WL 

1883, at *1 (D. 

Mass. Sept. 26, 

1983) (15 U.S.C. 

§ 57b-2).

108 

15 U.S.C. §18a(h) 

( Hart-ScottRodino Antitrust 

Improvements 

Act) 

Information submitted in connection 

with the premerger notification 

provisions of the Hart-Scott-Rodino 

Antitrust Improvements Act of 

1976. 

Its use was 

upheld in 

Lieberman v. 

FTC, 771 F.2d 32 

(2nd Cir. 1985).

16 

21 U.S.C. § 355 

(Medicare 

Modernization 

Act) 

Any information or documentary 

material that may have been filed 

pursuant to a pharmaceutical 

agreement notification. 

None 2 
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V. FOIA Requests 

A. Received, Processed and Pending FOIA Requests

 

 Number of 

Requests 

Pending as of 

Start of Fiscal 

Year 

Number of 

Requests 

Received in 

Fiscal Year 

Number of 

Requests 

Processed in 

Fiscal Year 

Number of 

Requests 

Pending as of 

End of Fiscal 

Year 

Agency Overall 30* 1415 1438 7 

*The FTC’s FOIA Annual Report for Fiscal Year 2011 mistakenly reported that there were 32 requests 

pending at the start of the fiscal year, and 28 requests pending at the end. In reality, there were 34 requests 

pending at the start of FY2011, and 30 requests pending at the end. 

 B. (1) Disposition of FOIA Requests- All Processed Requests 

B. (2) Disposition of FOIA Requests- “Other” Reasons for “Full Denials Based on 

Reasons Other Than Exemptions” 

Description of “Other” Reasons for Denials 

from Chart B. (1) & Number of Times 

Those Reasons Were Relied Upon 

Total 

Public Records 13 

Glomar (The agency could neither confirm 

nor deny the existence of a record) 3 

Number 

of Full 

Grants 

Number 

of 

Partial 

Grants 

& 

Partial 

Denials 

Number of 

Denials 

Based on 

Exemptions 

Number of Full Denials Based on Other Reasons than Exemption 

 No 

Records 

All Records 

Referred to 

Another 

Component 

or Agency 

Request 

Withdrawn 

FeeRelated 

Reason 

Records 

Not 

Reasonably 

Described 

Improper 

FOIA 

Request for 

Some Other 

Reason 

Not an 

Agency 

Record 

Duplicate 

Request 

Other 

See 

B. (2) 

Total 

637 483 19 223 0 27 10 5 10 2 6 16 1438 
9

B. (3) Disposition of FOIA Requests- Number of Times Exemptions Applied 

VI. Administrative Appeals of Initial Determinations of FOIA Requests 

A. Received, Processed and Pending Administrative Appeals 

Number of Appeals 

Pending as of Start 

of Fiscal Year 

Number of Appeals 

Received in Fiscal 

Year 

Number of Appeals 

Processed in Fiscal 

Year 

Number of Appeals 

Pending as of End 

of Fiscal Year 

 3 29 32 0 

B. Disposition of Administrative Appeals- All Processed Appeals 

Number 

Affirmed 

on 

Appeal 

Number Partially 

Affirmed & 

Partially 

Reversed/Remanded 

on Appeal 

Number Completely 

Reversed/Remanded 

on Appeal 

Number 

Granted a 

Discretionary 

Disclosure or 

Amendment 

to the Initial 

Response 

Number 

of 

Appeals 

Closed 

for 

Other 

Reasons 

Total 

17 6 5 3 1 32 

C. (1) Reasons for Denial On Appeal- Number of Times Exemptions Applied 

Ex. 

1 

Ex 

2 

Ex. 

3 

Ex. 

4 

Ex. 

5 

Ex.

6 

 Ex. 

7(a)

Ex. 

7(b)

Ex. 

7(c)

Ex. 

7(d)

Ex. 

7(e)

Ex. 

7(f) 

Ex. 

8 

Ex. 

9 

0 0 4 2 11 5 5 0 0 0 1 0 0 0 

Ex.

1 

Ex

2 

Ex. 

3 

Ex.

4 

Ex. 

5 

Ex. 

6 

 Ex. 

7(a) 

Ex. 

7(b) 

Ex. 

7(c) 

Ex. 

7(d) 

Ex. 

7(e) 

Ex. 

7(f) 

Ex.

8 

Ex.

9 

Agency 

Total 0 0 138 57 86 432 31 0 9 5 9 0 0 0 
10

C. (2) Reasons for Denial on Appeal- Reasons Other than Exemptions 

C. (3) Reasons for Denial on Appeal- Other Reasons 

Description of “Other” Reasons for Denial 

on Appeal from Chart C. (2) & Number of 

Times Those Reasons Were Relied upon 

Total 

Appeal Based on Lack 

of a Vaughn Index 4 

Requester Category Upheld 2 

Search Determined to be Adequate 1 

C. (4) Response time for Administrative Appeals 

Median Number of 

Days 

Average Number of 

Days 

Lowest Number of 

Days 

Highest Number of 

Days 

18 18.81 10 43 

C. (5) Ten Oldest Pending Administrative Appeals 

 10th

Oldest 

Appeal 

9th 8th 7th 6th 5th 4th 3rd 2nd Oldest 

Appeal

Date of 

Receipt N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 

Number 

of Days 

Pending 

N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 

No 

Records 

Records 

Referred 

at Initial 

Request 

Level 

Request 

Withdrawn 

FeeRelated 

Reason 

Records 

Not 

Reasonably 

Described 

Improper 

Request 

For other 

Reason 

Not 

Agency 

Record 

Duplicate 

Request or 

Appeal 

Request in 

Litigation 

Appeal Based 

Solely on 

Denial of 

Request for 

Expedited 

Processing 

Other 

See 

C. (3) 

0 0 1 5 0 0 0 0 0 0 7 
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VII. FOIA Requests: Response Time for Processed and Pending Requests 

A. Processed Requests- Response Time for All Processed Perfected Requests 

 Simple Complex Expedited Processing 

 Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Agency 

Overall 3 5.29 1 129 26.5 49.48 1 463 16 11.4 1 18 

B. Processed Requests- Response Time for Perfected Requests in Which 

Information was Granted 

 Simple Complex Expedited Processing 

 Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Agency 

Overall 5 6.73 1 106 15 29.8 1 499 5 5.33 2 9 

C. Processed Requests- Response Time in Day Increments 

Simple Requests 

 1-20 

Days 

21-

40 

Days 

41-

60 

Days 

61-

80 

Days 

81-

100 

Days

101-

120 

Days

121-

140 

Days

141-

160 

Days

161-

180 

Days

181-

200 

Days 

201-

300 

Days 

301-

400 

Days

401+

Days

Total

Agency 

Total 1130 18 1 1 1 1 0 0 0 0 0 0 0 1152
12

Complex Requests 

Requests Granted Expedited Processing 

D. Pending Requests- All 

All Pending Perfected Requests 

 Simple Complex Expedited 

 Number 

Pending 

Median 

Number 

of Days 

Average 

Number 

of Days 

Number 

Pending

Median 

Number 

of Days 

Average 

Number 

of Days 

Number 

Pending 

Median 

Number 

of Days 

Average 

Number of 

Days 

Agency 

Overall 2 5 5 5 6 22.8 0 0 0 

 1-20 

Days 

21-

40 

Days 

41-

60 

Days 

61-

80 

Days 

81-

100 

Days

101-

120 

Days

121-

140 

Days

141-

160 

Days

161-

180 

Days

181-

200 

Days 

201-

300 

Days 

301-

400 

Days

401+

Days

Total

Agency 

Total 195 40 13 12 5 4 3 6 0 2 1 0 2 283 

 1-20 

Days 

21-

40 

Days 

41-

60 

Days 

61-

80 

Days 

81-

100 

Days

101-

120 

Days

121-

140 

Days

141-

160 

Days

161-

180 

Days

181-

200 

Days 

201-

300 

Days 

301-

400 

Days

401+

Days

Total

Agency 

Total 3 0 0 0 0 0 0 0 0 0 0 0 0 3 
13

E. Pending Requests-Ten Oldest Perfected Requests 

VIII. Requests for Expedited Processing and Requests for Fee Waiver 

A. Requests for Expedited Processing 

 

Number 

Granted 

Number 

Denied 

No 

Determination:

Closed in Less 

Than 10 days 

Median 

Number of 

Days to 

Adjudicate

Average 

Number of 

Days to 

Adjudicate 

Number 

Adjudicated 

within Ten 

Calendar 

Days 

Agency 

Total 3 12 2 2 3 14 

B. Requests for Fee Waiver 

Number 

Granted 

Number 

Denied Not Billable 

Median 

Number of 

Days to 

Adjudicate 

Average 

Number of 

Days to 

Adjudicate 

Agency 

Total 9 17 76 5 12.23 

10th

Oldest 

Request 

and 

Number 

of Days 

Pending 

9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest 

Request 

and 

Number 

of Days 

Pending 

Date of 

Receipt 9/27/2012 9/24/2012 9/21/2012 9/21/2012 9/20/2012 9/19/2012 5/11/2012 

Number 

of Days 

Pending 

N/A N/A N/A 1 4 5 5 6 7 96 
14

IX. FOIA Personnel and Costs 

 Personnel Costs 

Number of 

“Full-Time 

FOIA 

Employees” 

Number of 

“Equivalent 

Full-Time 

FOIA 

Employee” 

Total 

Number 

of “FullTime 

FOIA 

Staff” 

Processing 

Costs 

Litigation 

Related 

Costs 

Total 

Costs 

Agency 

Overall 1 10.45 11.45 $620,096 $15,845 $635,941 

X. Fees Collected For Processing Requests 

 Total Amount of Fees 

Collected 

Percentage of Total Costs 

Agency Overall $28,981.38 4.67% 

XI. FOIA Regulations 

The Federal Trade Commission’s FOIA regulations, including fee schedule, are located 

at FTC FOIA Regulations 16 CFR 4.11

XII. Backlogs, Consultations, and Comparisons 

 Number of Backlogged 

Requests as of End of Fiscal 

Year 

Number of Backlogged 

Appeals as of End of Fiscal 

Year 

Agency Overall 1 0 
15

B. Consultations on FOIA Requests- Received, Processed, and Pending 

Consultations 

Number of 

Consultations 

Received from 

Other Agencies 

that Were Pending 

at Your Agency as 

of Start of the 

Fiscal Year 

Number of 

Consultations 

Received from 

Other Agencies 

During the Fiscal 

Year 

Number of 

Consultations 

Received from 

Other Agencies that 

Were Processed by 

Your Agency 

During the Fiscal 

Year 

Number of 

Consultations 

Received from Other 

Agencies that Were 

Pending at Your 

Agency as of End of 

the Fiscal Year 

Agency 

Overall 0 2 2 0 

C. Consultations on FOIA Requests- Ten Oldest Consultations Received from Other 

Agencies and Pending at the FTC 

10th Oldest 

Consultation 

and Number 

of Days 

Pending 

9th 8th 7th 6th 5th 4th 3rd 2nd 

Oldest 

Consultation 

and Number 

of Days 

Pending 

Date of 

Receipt N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 

Number 

of Days 

Pending 

0 0 0 0 0 0 0 0 0 0 

D. Comparison of Numbers of Requests from Previous and Current Annual ReportRequest Received, Processed, and Backlogged 

Number of Request Received Number of Requests Processed 

Number 

Received 

During FY2011

Number 

Received 

During FY2012

Number 

Processed 

During FY2011 

Number 

Processed 

During FY2012

Agency Overall 1523 1415 1527 1438 

 Number of Backlogged Requests 

as of End of FY 2011 

Number of Backlogged Requests 

as of End of FY2012 

Agency Overall 7 1 
16

E. Comparison of Numbers of Administrative Appeals from Previous and Current 

Annual Report- Received, Processed, and Backlogged 

 Number of Appeals Received Number of Appeals Processed 

 Number 

Received 

During FY2011

Number 

Received 

During FY2012

Number 

Processed 

During FY2011 

Number 

Processed 

During FY2012

Agency Overall 28 29 25 32 

 Number of Backlogged Appeals as 

of End of FY 2011 

Number of Backlogged Appeals 

as of End of FY2012 

Agency Overall 3 0