FEDERAL ELECTION 

COMMISSION 

2014 CHIEF FOIA OFFICER REPORT 
 

 

 

2014 Chief FOIA Officer Report 

Federal Election Commission 

Gregory R. Baker, Deputy General Counsel - Administration 

Section I: Steps Taken to Apply the Presumption of Openness 

Describe the steps your agency has taken to ensure that the presumption of openness is being 

applied to all decisions involving the FOIA. To do so, you should answer the questions listed 

below and then include any additional information you would like to describe how your agency 

is working to apply the presumption of openness. 

FOIA Training: 

1. Did your agency hold an agency FOIA conference, or otherwise conduct training during 

this reporting period? 

No. 

2. If so, please provide the number of conferences or trainings held, a brief description of 

the topics covered, and an estimate of the number of participants from your agency who 

were in attendance. 

N/A. 

3. Did your FOIA professionals attend any FOIA training, such as that provided by the 

Department of Justice? 

Yes. 

4. Provide an estimate of the percentage of your FOIA professionals who attended 

substantive FOIA training during this reporting period. 

50 %. 

5. OIP has issued guidance that every agency should make core, substantive FOIA training 

available to all their FOIA professionals at least once each year. Provide your agency’s 

plan for ensuring that such training is offered to all agency FOIA professionals by March 

2015. Your plan should anticipate an upcoming reporting requirement for your 2015 

Chief FOIA Officer Reports that will ask whether all agency FOIA professionals attended 

substantive FOIA training in the past year. 

The FEC’s FOIA professionals have all been informed of the training requirement, and 

have been instructed to provide their supervisor with information regarding the 

training(s) they plan to attend in satisfaction of this requirement. All FEC FOIA 

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professionals are expected to register for appropriate training for calendar year 2015 by 

no later than April 1, 2014. 

Outreach: 

6. Did your FOIA professionals engage in any outreach and dialogue with the requester 

community or open government groups regarding your administration of the FOIA? If 

so, please briefly discuss that engagement. 

The FEC did not engage in any formal outreach with the requester community or open 

government groups regarding our administration of FOIA. However, we regularly 

communicate with requesters, including many who work for open government groups, on 

a case-by-case basis to ensure that we can meet their information needs as efficiently as 

possible. 

Discretionary Disclosures: 

In his 2009 FOIA Guidelines, the Attorney General strongly encouraged agencies to make 

discretionary releases of information even when the information might be technically exempt 

from disclosure under the FOIA. OIP encourages agencies to make such discretionary releases 

whenever there is no foreseeable harm from release. 

7. Does your agency have a formal process in place to review records for discretionary 

release? If so, please briefly describe this process. If your agency is decentralized, 

please specify whether all components at your agency have a process in place for making 

discretionary releases. 

No. 

8. During the reporting period did your agency make any discretionary releases of otherwise 

exempt information? 

Yes. Although the Agency does not have a formal process in place to review records for 

discretionary release, the FEC makes discretionary releases of otherwise exempt 

information on a case-by-case basis in our FOIA releases. Decisions to make 

discretionary releases are made through an informal process in consultation with the 

office or division in which the record(s) are maintained. 

9. What exemptions would have covered the information that was released as a matter of 

discretion? 

Exemption 5. 

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10. Provide a narrative description, or some examples of, the types of information that your 

agency released as a matter of discretion. 

The FEC discretionarily released internal emails or portions thereof between FEC staff 

regarding enforcement matters, where those emails contained information that could 

have been withheld under the deliberative process privilege, but the Agency did not 

foresee that disclosure of the information would cause harm to the Agency. In its public 

disclosure of closed enforcement records, the FEC regularly releases General Counsel’s 

Reports (portions of which would be protected by the deliberative process and/or 

attorney work-product privileges) in connection with its Interim Disclosure Policy. 

11. If your agency was not able to make any discretionary releases of information, please 

explain why. 

N/A. 

Other Initiatives: 

12. Did your agency post all of the required quarterly FOIA reports for Fiscal Year 2013? If 

not, please explain why not and what your plan is for ensuring that such reporting is 

successfully accomplished for Fiscal Year 2014. 

Yes. 

13. Describe any other initiatives undertaken by your agency to ensure that the presumption 

of openness is being applied. If any of these initiatives are online, please provide links in 

your description. 

None. 

Section II: Steps Taken to Ensure that Your Agency 

Has an Effective System in Place for Responding to Requests 

Describe here the steps your agency has taken to ensure that your management of your FOIA 

program is effective and efficient. To do so, answer the questions below and then include any 

additional information that you would like to describe how your agency ensures that your FOIA 

system is efficient and effective. 

Personnel: 

During Sunshine Week 2012 OPM announced the creation of a new job series entitled the 

Government Information Series, to address the work performed by FOIA and Privacy Act 

professionals. Creation of this distinct job series was a key element in recognizing the 

professional nature of their work. 

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1. Has your agency converted all of its FOIA professionals to the new Government 

Information Specialist job series? 

The FEC’s Office of Human Resources is evaluating whether any positions would be 

properly reclassified in the GS-0306 Government Information Specialist series. The FEC 

does not have any employees dedicated full-time to FOIA or Privacy Act work. The 

Agency’s FOIA Program operations are managed by paralegal specialists and attorneys 

classified in the GS-905 Occupation Series, who perform work in various areas including 

FOIA. Therefore, we do not anticipate that the FEC’s FOIA professionals will be 

converted to the new Government Information Specialist job series. 

2. If not, what proportion of personnel has been converted to the new job series? 

N/A. 

3. If not, what is your plan to ensure that all FOIA professionals’ position descriptions are 

converted? 

N/A. 

Processing Procedures: 

4. For Fiscal Year 2013 did your agency maintain an average of ten or less calendar days to 

adjudicate requests for expedited processing? If not, describe the steps your agency will 

take to ensure that requests for expedited processing are adjudicated within ten calendar 

days or less. 

Yes. In Fiscal Year 2013, the FEC adjudicated requests for expedited processing in an 

average of 3 calendar days. All requests for expedited processing received by the Agency 

were adjudicated in ten or less calendar days. 

5. Has your agency taken any steps to make the handling of consultations and referrals more 

efficient and effective, such as entering into agreements with other agencies or 

components on how to handle certain categories or types of records involving shared 

equities so as to avoid the need for a consultation or referral altogether, or otherwise 

implementing procedures that speed up or eliminate the need for consultations. If so, 

please describe those steps. 

No. The FEC typically receives few consultations and referrals each year and currently 

processes those received efficiently. 

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Requester Services: 

6. Do you use e-mail or other electronic means to communicate with requesters when 

feasible? 

Yes. 

7. Does your agency notify requesters of the mediation services offered by the Office of 

Government Information Services (OGIS) at NARA? 

No. The Agency is taking steps to ensure this language is included in all future final 

response letters in administrative appeals. 

8. Describe any other steps your agency has undertaken to ensure that your FOIA system 

operates efficiently and effectively, such as conducting self-assessments to find greater 

efficiencies, improving search processes, eliminating redundancy, etc. 

The FEC’s FOIA Office has been working extensively with the Agency’s Office of the 

Chief Information Officer to develop a new electronic case management system for 

tracking FOIA requests and appeals. Once this system is complete, the FEC will be able 

to more easily track the progress of FOIA matters and ensure that matters are processed 

as efficiently as possible. 

Section III: Steps Taken to Increase Proactive Disclosures 

Both the President and Attorney General focused on the need for agencies to work 

proactively to post information online without waiting for individual requests to be received. 

Describe here the steps your agency has taken both to increase the amount of material that is 

available on your agency website, and the usability of such information, including providing 

examples of proactive disclosures that have been made during this past reporting period (i.e., 

from March 2013 to March 2014). In doing so, answer the questions listed below and describe 

any additional steps taken by your agency to make and improve proactive disclosures of 

information. 

Posting Material: 

1. Do your FOIA professionals have a system in place to identify records for proactive 

disclosures? 

No. 

2. If so, describe the system that is in place. 

N/A. 

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3. Provide examples of material that your agency has posted this past reporting period, 

including links to where this material can be found online. 

In the past year, the FEC has continued to post updated information online regarding its 

enforcement and compliance processes—thresholds, manuals, and other procedural 

guidance—to make the FEC’s processes more transparent to the public. This 

information is available at the following link: 

http://www.fec.gov/law/procedural_materials.shtml. 

Making Posted Material More Useful: 

4. 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, such as soliciting feedback on the content and presentation 

of posted material, improving search capabilities on the site, posting material in open 

formats, making information available through mobile applications, providing 

explanatory material, etc.? 

Yes. 

5. If so, provide examples of such improvements. 

Since 2009, the FEC has had an ongoing initiative to solicit user feedback on its website 

and to make the website more user-friendly. In June 2013, the FEC’s Press Office 

launched a revamped website designed to help the public, including researchers, 

academics and media, find information on the Commission and campaign finance law 

and to locate statistical data more quickly and easily. A news release regarding the 

launch of the revamped Press Office website is available at the following link: 

http://www.fec.gov/press/press2013/20130620NewPressSite.shtml. 

6. Did your agency use any means to publicize or highlight important proactive disclosures 

for public awareness? If so, was social media utilized? 

The FEC regularly uses news releases to make the public aware of the availability of 

draft Advisory Opinions and closed Enforcement case files on the Agency’s website. 

These releases appear on the “What’s New on Fec.gov” page on the Agency’s website. 

The FEC also has a Twitter account through which it publicizes this information, as well 

as other noteworthy items taking place at the Agency. 

7. Has your agency encountered challenges that make it difficult to post records you 

otherwise would like to post? If so, please briefly explain what those challenges are. 

No. 

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8. Describe any other steps taken to increase proactive disclosures at your agency. 

None. 

Section IV: Steps Taken to Greater Utilize Technology 

A key component of the President's FOIA Memorandum was the direction to "use modern 

technology to inform citizens about what is known and done by their Government." In addition 

to using the internet to make proactive disclosures, agencies should also be exploring ways to 

utilize technology in responding to requests. Over the past several years agencies have reported 

widespread use of technology in receiving and tracking FOIA requests and preparing agency 

Annual FOIA Reports. For 2014, as we have done over the past years, the questions have been 

further refined and now also address different, more innovative aspects of technology use. 

Online tracking of FOIA requests: 

1. Can a FOIA requester track the status of his/her request electronically? 

No. 

2. If yes, how is this tracking function provided to the public? For example, is it being done 

through regularly updated FOIA logs, online portals, or other mediums? 

N/A. 

3. Describe the information that is provided to the requester through the tracking system. 

For example, some tracking systems might tell the requester whether the request is 

"open" or "closed," while others will provide further details to the requester throughout 

the course of the processing, such as "search commenced" or "documents currently in 

review.” List the specific types of information that are available through your agency's 

tracking system. 

N/A. 

4. In particular, does your agency tracking system provide the requester with an estimated 

date of completion for his/her request? 

N/A. 

5. If your agency does not provide online tracking of requests, is your agency taking steps to 

establish this capability? If not, please explain why. 

As a small agency, which generally receives less than 100 FOIA requests per year, the 

costs of establishing an online tracking system is relatively high compared to the number 

of requesters seeking information from the FEC. Although the FEC does not have an 

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online tracking system, the Agency strives to provide requesters with detailed status 

update information as quickly as possible. 

Use of technology to facilitate processing of requests: 

6. Beyond using technology to redact documents, is your agency taking steps to utilize more 

advanced technology to facilitate overall FOIA efficiency, such as improving record 

search capabilities, utilizing document sharing platforms for consultations and referrals, 

or employing software that can sort and de-duplicate documents? 

Yes. 

7. If so, describe the technological improvements being made. 

As mentioned in the response to Part II, Question 8, the FEC’s FOIA Office has been 

working on a new electronic case management system for tracking FOIA requests and 

appeals, which will enable the matters to be more easily tracked and efficiently 

processed. This system will also eventually serve as a platform for FEC FOIA 

professionals to share documents within the FOIA Office. 

8. Are there additional technological tools that would be helpful to achieving further 

efficiencies in your agency’s FOIA program? 

Yes. The availability of software to sort and de-duplicate documents would be helpful in 

achieving further efficiencies in the FEC’s FOIA Program. 

Section V: Steps Taken to Improve Timeliness in 

Responding to Requests and Reduce Backlogs 

The President and the Attorney General have emphasized the importance of improving 

timeliness in responding to requests. This section 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 those contained in the specified 

sections of your agency’s 2013 Annual FOIA Report and, when applicable, your agency’s 2012 

Annual FOIA Report. 

Simple Track Requests: 

1. 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 

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that are placed in the agency’s fastest (non-expedited) track, based on the low volume 

and/or simplicity of the records requested. 

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

Yes. 

b. If so, for your agency overall, for Fiscal Year 2013, was the average number of 

days to process simple requests twenty working days or fewer? 

During FY 2013, the FEC processed simple requests in an average of 16.3 days. 

c. If your agency does not track simple requests separately, was the average number 

of days to process non-expedited requests twenty working days or fewer? 

N/A. 

Backlogs and “Ten Oldest” Requests, Appeals and Consultations: 

2. 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. 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 2012 and Fiscal Year 2013 when 

completing this section of your Chief FOIA Officer Report. 

Backlogs 

a. If your agency had a backlog of requests at the close of Fiscal Year 2013, did that 

backlog decrease as compared with Fiscal Year 2012? 

At the close of Fiscal Year 2013, the FEC had twelve backlogged FOIA requests, 

which is seven more than the FEC had at the end of Fiscal Year 2012. 

b. If your agency had a backlog of administrative appeals in Fiscal Year 2013, did 

that backlog decrease as compared to Fiscal Year 2012? 

At the close of Fiscal Year 2013, the FEC had three backlogged administrative 

appeals, which is two more than the FEC had at the end of Fiscal Year 2012. 

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Ten Oldest Requests 

c. In Fiscal Year 2013, did your agency close the ten oldest requests that were 

pending as of the end of Fiscal Year 2012? 

No. 

d. 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 2012 

Annual FOIA Report. If you had less than ten total oldest requests to close, 

please indicate that. For example, if you only had seven requests listed as part of 

your "ten oldest" in Section VII.E. and you closed two of them, you should note 

that you closed two out of seven “oldest” requests. 

Of the eight “oldest” requests pending at the end of Fiscal Year 2012, six were 

closed during Fiscal Year 2013. 

Ten Oldest Appeals 

e. In Fiscal Year 2013, did your agency close the ten oldest administrative appeals 

that were pending as of the end of Fiscal Year 2012? 

No. 

f. If no, please provide the number of these appeals your agency was able to close, 

as well as the number of appeals your agency had in Section VI.C.(5) of your 

Fiscal Year 2012 Annual FOIA Report. 

The FEC had one administrative appeal pending at the end of Fiscal Year 2012 

and it was not closed in Fiscal Year 2013. The FEC received three administrative 

appeals during Fiscal Year 2013; and of those appeals, one was closed during 

Fiscal Year 2013. 

Ten Oldest Consultations 

g. In Fiscal Year 2013, did your agency close the ten oldest consultations received 

by your agency and pending as of the end of Fiscal Year 2012? 

The FEC did not have any pending consultations at the end of Fiscal Year 2012. 

h. If no, please provide the number of these consultations your agency did close, as 

well as the number of pending consultations your agency listed in Section XII.C. 

of your Fiscal Year 2012 Annual FOIA Report. 

N/A. 

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Reasons for Any Backlogs: 

3. If you answered “no” to any of the questions in item 2 above, describe why your agency 

was not able to reduce backlogs and/or close the ten oldest pending requests, appeals, and 

consultations. In doing so, answer the following questions then include any additional 

explanation: 

Request and/or Appeal Backlog 

a. Was the lack of a reduction in the request and/or appeal backlog a result of an 

increase in the number of incoming requests or appeals? 

Yes. The FEC experienced an increase in the number of incoming FOIA requests. 

The FEC received 87 FOIA requests in Fiscal Year 2013, whereas the Agency 

had received only 60 FOIA requests during Fiscal Year 2012. The FEC did not 

experience an increase in the number of incoming administrative appeals. The 

FEC received three appeals in Fiscal Year 2013, whereas the Agency had 

received four appeals in Fiscal Year 2012. 

b. Was the lack of a reduction in the request and/or appeal backlog caused by a loss 

of staff? 

Yes. During Fiscal Year 2013, the FEC’s FOIA Public Liaison and an 

experienced attorney who worked on FOIA matters left the Agency. These losses 

represented a 25 percent reduction in the number of Agency staff processing 

FOIA requests and appeals. 

c. Was the lack of a reduction in the request and/or appeal backlog caused by an 

increase in the complexity of the requests received? 

Yes. The lack of reduction in both request and the appeal backlog was caused by 

an increase in the complexity of the requests received. 

d. What other causes, if any, contributed to the lack of a decrease in the request 

and/or appeal backlog? 

N/A. 

“Ten oldest” Not Closed 

e. Briefly explain the obstacles your agency faced in closing its ten oldest requests, 

appeals, and consultations from Fiscal Year 2012. 

The two “oldest” FOIA requests from Fiscal Year 2012 that were not closed 

during Fiscal Year 2013 both involved requests for voluminous records. With 

respect to one of the requests, the FEC was also awaiting a response from 

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another agency on a consultation and did not receive the response until just 

before the close of FY 2013. The “oldest” FOIA appeal relates to the “oldest” 

request for which the agency was awaiting a consultation response at the end of 

FY 2013. 

f. If your agency was unable to close any of its ten oldest requests or appeals 

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. 

The request as to which the FEC was awaiting a response from another agency 

on a consultation was received by the FEC on November 18, 2011. The 

consultation was sent to the other agency on May 21, 2013 and the FEC received 

a response on September 27, 2013. This FOIA request was closed by the FEC in 

November 2013. 

Plans for Closing of Ten Oldest Pending Requests, Appeals, and Consultations and Reducing 

Backlogs: 

Given the importance of these milestones, it is critical that Chief FOIA Officers assess the 

causes for not achieving success and create plans to address them. 

4. If your agency did not close its ten oldest pending requests, appeals, and consultations, 

please provide a plan describing how your agency intends to close those “ten oldest” 

requests, appeals, and consultations during Fiscal Year 2014. 

In November 2013, the FEC closed one of the two “oldest” pending requests from FY 

2012. With respect to the other outstanding “oldest” request from FY 2012, the FEC’s 

FOIA Office has made this matter a top priority for 2014, and anticipates that it will be 

closed by the end of FY 2014. The “oldest” pending administrative appeal was an 

appeal of the agency’s failure to provide records in response to the request mentioned 

above that was closed in November 2013, so we anticipate that the appeal will soon be 

closed. 

5. If your agency had a backlog of more than 1000 pending requests and did not reduce that 

backlog in Fiscal Year 2013, provide your agency’s plan for achieving backlog reduction 

in the year ahead. 

N/A. 

Interim Responses: 

OIP has issued guidance encouraging agencies to make interim releases whenever they are 

working on requests that involve a voluminous amount of material or require searches in 

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multiple locations. By providing rolling releases to requesters agencies facilitate access to the 

requested information. 

6. Does your agency have a system in place to provide interim responses to requesters when 

appropriate? 

Yes. 

7. If your agency had a backlog in Fiscal Year 2013, please provide an estimate of the 

number or percentage of cases in the backlog where a substantive, interim response was 

provided during the fiscal year, even though the request was not finally closed. 

At the end of Fiscal Year 2013, the FEC had provided one or more substantive, interim 

responses to the requester in 58 percent of backlogged FOIA requests. 

Use of FOIA’s Law Enforcement “Exclusions” 

In order to increase transparency regarding the use of the FOIA’s statutory law enforcement 

exclusions, which authorize agencies under certain exceptional circumstances to “treat the 

records as not subject to the requirements of [the FOIA],” 5 U.S.C. § 552(c)(1), (2), (3), please 

answer the following questions: 

1. Did your agency invoke a statutory exclusion during Fiscal Year 2013? 

No. 

2. If so, what was the total number of times exclusions were invoked? 

N/A. 

Spotlight on Success 

Out of all the activities undertaken by your agency since March 2013 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. As noted above, these agency success stories will be highlighted 

during Sunshine Week by OIP. 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 a key achievement. A complete description of all your efforts will be 

contained in the body of your Chief FOIA Officer Report. 

Since March 2013, the FEC’s FOIA Office has made communication with FOIA 

requesters a priority. To this end, we have undertaken efforts with respect to several 

FOIA requests that were ambiguous and/or extremely broad in scope to reach out to the 

requesters and provide additional information about the FEC’s organizational structure 

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and operations, and the way in which the FEC’s records are maintained. By engaging in 

these conversations with requesters, we have been able to more accurately target the 

specific records the requesters would like to receive and to provide these records to the 

requesters more quickly. These efforts have also reduced the amount of time the FEC’s 

FOIA Office spends processing records that are of little or no interest to the requester. 

In the coming year, we plan to continue reaching out to requesters, particularly those 

who frequently file requests with the Agency, to ensure that we are meeting their 

information needs are efficiently as possible. 

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