Freedom of Information Act Annual Report 

Fiscal Year 2007 

I. Basic Information Regarding Report 

A. Name, title, address, and telephone number of person(s) to be 

contacted with questions about the report. 

Lawrence L. Calvert, Jr., Chief Freedom of Information Act Officer 

Nicole St. Louis, Freedom of Information Act Public Liaison 

John Vergelli, Freedom of Information Act Requester 

Service Center 

Candace J. Salley, Freedom of Information Act Requester 

Service Center 

Federal Election Commission 

999 E Street, NW 

Washington, DC 20463

(202) 694-1650 

B. Electronic address for report on the World Wide Web. 

http://www.fec.gov/press/foia.shtml 

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

Contact: FOIA Requester Service Center, ATTN: Candace J. Salley

Federal Election Commission 

999 E Street, NW 

Washington, DC 20463

(202) 694-1650 

II. How to Make a FOIA Request 

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

components and offices that receive FOIA requests. 

Federal Election Commission 

FOIA Requester Service Center, ATTN: Candace J. Salley

Room 408 

999 E Street, NW 

Washington, DC 20463

(202) 694-1650

(202) 219-1043 (fax number)

foia@fec.gov (email address) 
B. Brief description of the agency's response-time ranges. 

Requests received in FY 2007 were generally processed within 37 

days. 

Backlog from FY 2006 required 61-155 days. 

C. Brief description of why some requests are not granted. 

No responsive documents 

Release prohibited under the Federal Election Campaign Act 

III. Definitions of Terms and Acronyms Used in the Report (to be included in each 

report) 

A. Agency-specific acronyms or other terms. 

FEC – Federal Election Commission 

FECA – Federal Election Campaign Act 

B. Basic terms, expressed in common terminology. 

1. FOIA/PA request -- Freedom of Information Act/Privacy Act 

request. A FOIA request is generally a request for access to 

records concerning a third party, an organization, or a particular 

topic of interest. A Privacy Act request is a request for records 

concerning oneself; such requests are also treated as FOIA 

requests. (All requests for access to records, regardless of which 

law is cited by the requester, are included in this report.) 

2. Initial Request -- a request to a federal agency for access to 

records under the Freedom of Information Act. 

3. Appeal -- a request to a federal agency asking that it review at a 

higher administrative level a full denial or partial denial of access to 

records under the Freedom of Information Act, or any other FOIA 

determination such as a matter pertaining to fees. 

4. Processed Request or Appeal -- a request or appeal for which an 

agency has taken a final action on the request or the appeal in all 

respects. 

5. 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 in each track are processed on 
a first-in/first out basis. A requester who has an urgent need for 

records may request expedited processing (see below). 

6. Expedited processing -- an agency will process a FOIA request on 

an expedited basis when a requester has shown an exceptional 

need or urgency for the records which warrants prioritization of his 

or her request over other requests that were made earlier. 

7. Simple request -- a FOIA request that an agency using multi-track 

processing places in its fastest (nonexpedited) track based on the 

volume and/or simplicity of records requested. 

8. Complex request -- a FOIA request that an agency using multi-track 

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

complexity of records requested. 

9. Grant -- an agency decision to disclose all records in full in 

response to a FOIA request. 

10.Partial grant -- an agency decision to disclose a record in part in 

response to a FOIA request, deleting information determined to be 

exempt under one or more of the FOIA's exemptions; or a decision 

to disclose some records in their entireties, but to withhold others in 

whole or in part. 

11.Denial -- an agency decision not to release any part of a record or 

records in response to a FOIA request because all the information 

in the requested records is determined by the agency to be exempt 

under one or more of the FOIA's exemptions, or for some 

procedural reason (such as because no record is located in 

response to a FOIA request). 

12.Time limits -- the time period in the Freedom of Information Act for 

an agency to respond to a FOIA request (ordinarily 20 working days 

from proper receipt of a "perfected" FOIA request). 

13. "Perfected" request -- a FOIA request for records which adequately 

describes the records sought, which has been received by the 

FOIA office of the agency or agency component in possession of 

the records, and for which there is no remaining question about the 

payment of applicable fees. 

14.Exemption 3 statute -- a separate federal statute prohibiting the 

disclosure of a certain type of information and authorizing its with 

holding under FOIA subsection (b)(3). 

15.Median number -- the middle, not average, number. For example, 

of 3, 7, and 14, the median number is 7. 
16.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. 

IV. Exemption 3 Statutes 

A. List of Exemption 3 statutes relied on by agency during current fiscal 

year. 

Federal Election Campaign Act (FECA) 

1. Brief description of type(s) of information withheld under each 

statute 

Material regarding ongoing investigation of possible FECA 

violations – 2 USC 437g(a)(12)(A). 

2. Statement of whether a court has upheld the use of each statute. If 

so, then cite example. 

No court has ever addressed the issue. 

V. Initial FOIA/PA Access Requests 

A. Numbers of initial requests. 

1. Number of requests pending as of end of preceding fiscal year 4 

2. Number of requests received during current fiscal year 85 

3. Number of requests processed during current fiscal year 63 

4. Number of requests pending as of end of current fiscal year 26 

B. Disposition of initial requests. 

1. Number of total grants 8 

2. Number of partial grants 23 

3. Number of denials 1 

a. number of times each FOIA exemption used 

(counting each exemption once per request) 

(1) Exemption 1 0 
(2) Exemption 2 13 

(3) Exemption 3 2 

(4) Exemption 4 5 

(5) Exemption 5 3 

(6) Exemption 6 6 

(7) Exemption 7(A) 2 

(8) Exemption 7(B) 0 

(9) Exemption 7(C) 4 

(10) Exemption 7(D) 0 

(11) Exemption 7(E) 4 

(12) Exemption 7(F) 0 

(13) Exemption 8 0 

(14) Exemption 9 0 

4. Other reasons for nondisclosure (total) 31 

a. no records 17 

b. referrals 2 

c. request withdrawn 4 

d. fee-related reason 0 

e. records not reasonably described 0 

f. not a proper FOIA request for some other reason 2 

g. not an agency record 1 

h. duplicate request 1 

i. other (specify) material already on the public record 4 

VI. Appeals of Initial Denials of FOIA/PA Requests 
A. Numbers of appeals. 

1. Number of appeals received during fiscal year 1 

2. Number of appeals processed during fiscal year 1 

B. Disposition of appeals. 

1. Number completely upheld 0 

2. Number partially reversed 0 

3. Number completely reversed 0 

a. number of times each FOIA exemption used 

(counting each exemption once per appeal) 

(1) Exemption 1 0 

(2) Exemption 2 0 

(3) Exemption 3 0 

(4) Exemption 4 0 

(5) Exemption 5 0 

(6) Exemption 6 0 

(7) Exemption 7(A) 0 

(8) Exemption 7(B) 0 

(9) Exemption 7(C) 0 

(10) Exemption 7(D) 0 

(11)Exemption 7(E) 0 

(12) Exemption 7(F) 0 

(13) Exemption 8 0 

(14) Exemption 9 0 

4. Other reasons for nondisclosure (total) 1 

a. no records 0 
b. referrals 0 

c. request withdrawn 0 

d. fee-related reason 0 

e. records not reasonably described 0 

f. not a proper FOIA request for some other reason 0 

g. not an agency record 0 

h. duplicate request 0 

i. other (specify) dismissed 1 

VII. Compliance with Time Limits/Status of Pending Requests 

A. Median processing time for requests processed during the year. 

1. Simple requests (if multiple tracks used). 

a. number of requests processed 55 

b. median number of days to process 36 

2. Complex requests (specify for any and all tracks used). 

a. number of requests processed 0 

b. median number of days to process 0 

3. Requests accorded expedited processing. 

a. number of requests processed 8 

b. median number of days to process 79.5 

B. Status of pending requests. 

1. Number of requests pending as of end of current fiscal year 26 

a. number of simple requests pending as of end of current fiscal 

year 22 
b. number of expedited requests pending as of end of current fiscal 

year 4 

2. Median number of days that such requests were pending as of that 

date 38.5 

a. median number of days that simple requests were pending as of 

that date 32.5 

b. median number of days that expedited request were pending as 

of that date 106.5 

VIII. Comparisons with Previous Year(s) (Optional) 

A. Comparison of numbers of requests received 

B. Comparison of numbers of requests processed 

C. Comparison of median numbers of days requests were pending as of 

end of fiscal year 

D. Other statistics significant to agency 

 1. number of requests for expedited processing received 12 

2. number of these requests granted 12 

E. Other narrative statements describing agency efforts to improve 

timeliness of FOIA performance and to make records available to the 

public (e.g., backlog-reduction efforts; specification of average number of 

hours per processed request; training activities; public availability of new 

categories of records) 

IX. Costs/FOIA Staffing 

A. Staffing levels. 

1. Number of full-time FOIA personnel 0 

2. Number of personnel with part-time or occasional FOIA duties (in 

total workyears) < 1 

3. Total number of personnel (in work-years) < 1 

B. Total costs (including staff and all resources). 

1. FOIA processing (including appeals) $92,545.51 
2. Litigation-related activities (estimated) 0 

3. Total costs $92,545.51 

-

4. Comparison with previous year(s) (including percentage of change) 

(optional) 

FY 2006 $74,073.22 

FY 2007 $92,545.51 

Approximately 25% Increase 

C. Statement of additional resources needed for FOIA compliance 

(optional) 

X. Fees 

A. Total amount of fees collected by agency for processing requests 0 

B. Percentage of total costs 0% 

XI. FOIA Regulations (Including Fee Schedule) 

See attachment. 

XII. Report on FOIA Executive Order Implementation1 

A. Description of supplementation/modification of agency improvement 

plan (if applicable). 

There have been no supplementations or modifications of the plan. 

B. Report on agency implementation of plan, including its performance in 

meeting milestones, with respect to each improvement area. 

Area 1: FOIA Administration and Operations 

Improvement 1.C.: FOIA Request Tracking and Processing

The long-term goal in this improvement area is “increasing the use 

of technology in processing FOIA requests,” by exploring “existing 

software options for solutions to tracking FOIA response deadlines 

and maintaining electronic FOIA files.” FOIA staff have been 

consulting with staff from the Information Technology Division about 

attaining this goal. 

1 For the benefit of members of the public reading the form on the web site, this section of the 

report covers calendar year 2007, while sections I. – XI. covers fiscal year 2007. 
Assessment: Throughout CY 2007, we continued to experiment with 

existing software options in order to improve FOIA request tracking and 

processing. We attempted to make more sophisticated use of the 

advanced features of off-the-shelf software such as Adobe 8 and Microsoft 

Excel. For a small agency, this approach made sense, at least as an 

initial strategy. The goals and objectives in this area have been attained 

in that we have tentatively concluded that existing software options may 

not satisfy all of our FOIA needs. Specifically, in the area of request 

tracking, data input and maintenance are labor-intensive tasks using our 

current software, and statistical information such as that presented in this 

report must be compiled manually. Especially given the considerably 

expanded amount of statistical information that will be required for next 

year's version of this report pursuant to the OPEN Government Act of 

2007, we need to explore more specialized software options to track our 

FOIA requests. In the area of processing, we are hopeful that currently 

available software will eventually help us substantially reduce case 

processing times. However, this outcome will depend on successful 

resolution of several issues identified with the software we currently use. 

Area 3: Staff Training 

Improvement 3.A.: FOIA Awareness Training 

The goal in this improvement area is to train relevant FEC 

personnel about FOIA compliance policies and requirements, 

including searches, and the interaction of FOIA with the 

Commission’s Interim Disclosure Policy. 

Assessment: Throughout the third and fourth quarters of CY 2006, the 

FOIA staff developed a curriculum for this training. In the fourth quarter of 

CY 2006, the FOIA Public Liaison conducted a pilot training program for 

selected personnel in the Office of General Counsel’s Enforcement 

Division. The pilot training program was successful and generated useful 

feedback on the curriculum. Based on this feedback, the curriculum will be 

modified, and the training expanded to other units throughout the agency. 

This improvement area is progressing towards successful completion. 

Improvement 3.C.: Continuing Staff Training Evaluation

The goal in this improvement area is to “continually examine 

whether the training [outlined in Improvement Areas 3.B. and 3.C.] 

sufficiently reduces the agency’s occasional delays. 

Assessment: Both of the options noted in the Improvement Plan, training 

a group of attorneys to augment the Service Center on an as-necessary 

basis and supplementing the training of the program personnel liaisons, 

remain under evaluation. On-going. 

Area 4: FOIA Website 
Improvement 4.C.: Online FOIA Request Form

The goal in this improvement area is “to develop an online FOIA 

request form.” 

Assessment: As originally contemplated, this improvement aimed at an 

interactive form to be available on the agency’s website, from which data 

would be transferred automatically to the FOIA Service Center. This 

model turned out to be more complex than we anticipated. We are 

reporting this improvement area as a deficiency (see XII.C., below). 

Improvement 4.D: Customer Service Feedback Form 

The goal in this improvement area is to “create an online customer 

service feedback form.” 

Assessment: As with Improvement 4.C., this improvement was originally 

contemplated as an interactive form on the agency’s website, and proved 

to be more complex than we expected. We are reporting this 

improvement area as a deficiency (see XII.C., below). 

Area 6: FOIA and E-FOIA Reading Rooms 

Improvement 6.B.: Frequently Requested Records 

The goal in this improvement area is to review the history of recent 

FOIA requests with an eye to evaluating our standards for 

identifying frequently requested records, and updating those 

standards if necessary. 

Assessment: Our review of the request history indicated that the 

Commission already makes publicly available, through its extensive public 

disclosure operation in its unique role as a disseminator of campaign 

finance disclosure information, the most frequently requested information. 

We have discovered no reason not to follow the standard OMB guidance 

in this regard. The Chief FOIA Officer has approved this policy. This goal 

was attained in CY 2006 ahead of schedule. 

C. Identification and discussion of any deficiency in meeting plan 

milestones. 

1. Improvement Plan Area 4.C. 

2. Online FOIA Request Form; end of CY 2007. 

3. The Improvement Plan contemplated an interactive on-line form to be 

available on the agency’s website. As work progressed throughout CY 2007, 

however, this interactivity proved to be more difficult to accomplish than we 

expected. 
4. The FOIA Service Center is developing a printable version that a user 

may download and use for his or her submission; this printable version of the 

Request Form will be approved and available by March 1, 2008. In the longer 

term, agency FOIA personnel are consulting with the agency’s Information 

Technology Division to determine the actual viability and expense of a truly 

interactive webform. This consultation will be completed by March 31, 2008. 

Based upon the outcome of this consultation, the Chief FOIA Officer will 

recommend to the Commission whether to continue to work toward this goal in its 

original form, or to modify the Improvement Plan with regard to this goal. 

1. Improvement Plan Area 4.D. 

2. Customer Service Feedback Form; end of CY 2007. 

3. The Improvement Plan contemplated an interactive on-line form to be 

available on the agency’s website. As work progressed throughout CY 2007, 

however, this interactivity proved to be more difficult to accomplish than we 

expected. 

4. The FOIA Service Center is developing a printable version that a user 

may download and use for his or her feedback; this printable version of the 

Request Form will be approved and available by March 1, 2008. In the longer 

term, agency FOIA personnel are consulting with the agency’s Information 

Technology Division to determine the actual viability and expense of a truly 

interactive webform. This consultation will be completed by March 31, 2008. 

Based upon the outcome of this consultation, the Chief FOIA Officer will 

recommend to the Commission whether to continue to work toward this goal in its 

original form, or to modify the Improvement Plan with regard to this goal. 

D. Additional narrative statement regarding other executive order-related 

activities (optional). 

E. Concise description of FOIA exemptions. 

Exemption 1 This exemption protects from 

disclosure all national security 

information concerning national 

defense or foreign policy that has been 

properly classified. It rarely, if ever, 

applies to information in the possession 

of the FEC. 

Exemption 2 This exemption protects information 

related solely to the internal rules and 

practices of the FEC, including internal 

matters of a relatively trivial nature, and 
more substantial internal matters where 

disclosure would risk circumvention of 

a legal requirement. 

Exemption 3 This exemption permits the FEC to 

withhold information when otherwise 

permitted to do by statute. The most 

frequent basis for invoking Exemption 3 

at the FEC is the so-called 

“confidentiality provision” of the Federal 

Election Campaign Act of 1971, as 

amended. 2 U.S.C. §437g(a)(12). 

Exemption 4 This exemption protects trades secrets 

and commercial or financial information 

that is privileged or confidential. At the 

FEC, it is typically invoked with regard 

to contracts. 

Exemption 5 This exemption permits the FEC to 

withhold documents that are normally 

privileged in the civil discovery context. 

The most typical examples of 

documents to which this exemption 

applies are those documents protected 

by the attorney-client privilege and the 

deliberative process privilege. 

Exemption 6 This exemption allows the FEC to 

withhold information in personnel, 

medical, and similar files if the 

disclosure of the information would 

constitute a clearly unwarranted 

invasion of personal privacy. 

Exemption 7 This exemption allows the FEC to 

withhold information compiled for law 

enforcement purposes, if disclosure of 

the information could reasonably be 

expected to: 

• Interfere with a law enforcement 

proceeding (Exemption 7(A)) 

• Deprive someone of a fair 

hearing (Exemption 7(B)) 

• Make an unwarranted invasion 

into someone’s personal privacy 

(Exemption 7(C)) 

• Disclose the identity of a 

confidential source (Exemption 

7(D)) 

• Disclose investigative 

techniques or enforcement 
guidelines (Exemption 7(E)) 

• Endanger someone’s life or 

safety (Exemption 7(F)) 

At the FEC, it is not unusual for 

Exemptions 7(A), 7(C), 7(D), and 7(E) 

to apply; Exemptions 7(B) and 7(F) 

rarely, if ever, come into play. 

Exemption 8 This exemption protects records 

pertaining to the regulation or 

supervision of financial institutions, and 

is essentially irrelevant to the FEC. 

Exemption 9 This exemption pertains to records 

about geological and geophysical data, 

and is irrelevant to the FEC. 

F. Additional statistics: 

1. Ten Oldest Pending FOIA Requests 

Calendar 

Year 

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 

Requests Dec 8 Jan 3 

Feb 21 

Mar 29 

Jun 11 

Jul 27 

Aug 3 

Aug 6 

Aug 21 

Sept 10 

2. Consultations 

a. Number of Consultations Received, Processed and 

Pending 

Consultations Received 

From Other Agencies 

During FY 07 

Consultations Received 

From Other Agencies 

That Were Processed by 

Your Agency During 

FY07 

(includes those received 

prior to FY07) 

Consultations Received 

From Other Agencies 

That Were Pending at 

Your Agency as of 

October 1, 2007 

(includes those received 

prior to FY07) 

0 0 0 
b. Ten Oldest Pending Consultations Received From 

other Agencies 

Calendar 

Year 

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 

Requests 0 0 0 0 0 0 0 0 0 0 0 

G. Attachment: 

EXECUTIVE ORDER 13392: SUMMARY REPORT & PLAN OF 

THE FEDERAL ELECTION COMMISSION 

INTRODUCTION 

Pursuant to Executive Order 13392, issued on December 14, 2005, the 

Federal Election Commission undertook a comprehensive review and internal 

assessment of its compliance with the Freedom of Information Act (FOIA). 

Based upon this review and assessment, the FEC identified several areas in 

which efforts can be made to improve compliance with FOIA and created a plan 

for undertaking those improvements. This summary report and plan presents 

the agency's findings from the review and assessment, describes improvements 

currently being implemented, and establishes a timetable for improved future 

compliance. 

FEC FOIA OPERATIONS 

In early January 2006, the Office of General Counsel of the Federal 

Election Commission began a comprehensive review of the agency's FOIA 

compliance practices and procedures. Overall, the agency's review revealed 

that, with a few exceptions, the agency is meeting or exceeding the requirements 

of FOIA. As a "disclosure agency," the FEC strives on a daily basis to make 

campaign finance information available to the public in both paper and electronic 

format. Furthermore, pursuant in part to the guidelines established in the FEC's 

Interim Disclosure Policy,2 the agency also regularly discloses to the public 

information related to closed enforcement matters, completed audits, policy 

information, and other non-exempt materials. 

2

 On December 18, 2003, the FEC published for public comment in the Federal Register its Interim 

Disclosure Policy regarding placing closed files on the public record in enforcement, administrative fines, 

and alternative dispute resolution cases. With respect to each type of case, the policy lists the types of 

documents that the agency will affirmatively disclose as well as the timetable for placing such documents on 

the public record. The effective date of the Interim Disclosure Policy is January 1, 2004. See Statement of 

Policy Regarding Disclosure of Closed Enforcement and Related Files, 68 Fed. Reg. 70426 (December 18, 

2003) (codified at 1l C.F.R. pts. 4 and 111). 
As a small agency that routinely discloses information to the public, the 

FEC receives a relatively low number of FOIA requests annually, compared to 

other federal agencies.3 A review of agency FOIA request processing data 

revealed that delays in responding that can lead to backlogs are not common, 

and usually only occur when the agency receives a request that is particularly 

complex or voluminous. However, based upon guidance from the Department 

of Justice and the Office of Management and Budget, the agency has identified 

six specific areas that it believes warranted further consideration. With an eye 

toward improving customer service, the agency assessed current policies and 

procedures for each area, identified specific improvements that can be made in 

the short term, and established long-term goals toward improved FOIA 

compliance. 

AREAS OF REVIEW 

Based upon the guidelines provided in the Executive Order, the FEC 

chose six distinct areas for further review and consideration. 

Area 1: FOIA Administration and Operations 

Area 2: FOIA Staffing 

Area 3: Staff Training 

Area 4: FOIA Website 

Area 5: Multi-track and Expedited Processing 

Area 6: FOIA and E-FOIA Reading Rooms 

RESULTS OF REVIEW 

Beginning in January 2006, the Office of General Counsel of the Federal 

Election Commission conducted a comprehensive review of the agency's FOIA 

compliance practices and procedures. The results of this review are highlighted 

below. 

AREA 1: FOIA ADMINISTRATION AND OPERATIONS 

Prior to implementation of EO 13392, the FEC’s Press Office handled the 

agency's FOIA operations. Section 2 of the Executive Order mandated that each 

agency designate a Chief FOIA Officer and FOIA Public Liaison, as well as 

establish a FOIA Requester Service Center. In compliance with this mandate, 

the agency transferred responsibility for FOIA operations from the Press Office to 

the Office of General Counsel, General Law and Advice Division (GLA). GLA 

handles all of the FEC's administrative law, disclosure, Privacy Act, employment 

and labor law matters, and it administers the Commission's Ethics in Government 

Act program. In addition, GLA is responsible for providing legal advice on audit 

and repayment matters, as well as debt settlements, administrative terminations 

and administrative fines matters. The Commission named Associate General 

Counsel Thomasenia Duncan as the FEC's Chief FOIA Officer, and Ms. Duncan 

appointed GLA attorney John Vergelli to be the FOIA Public Liaison. 

3 The FEC receives and processes, on average, between 45 and 50 FOIA requests per fiscal year. 
Also in response to EO 13392, the agency created the FOIA Requester 

Service Center within GLA to handle the processing of all agency FOIA requests. 

The Service Center is staffed by GLA paralegal Candace Salley. These changes 

not only fulfilled the requirements of EO 13392, they also improved FOIA 

operations by placing responsibility for FOIA within the division that historically 

has been responsible for identifying responsive documents. As a result of these 

changes, the agency has been able to reduce some of the backlogs that 

occurred due to internal administrative coordination problems. The FEC also has 

internally publicized the creation of the FOIA Requester Service Center in order 

to ensure that all staff members are aware of its role in the agency. 

Since shifting operations to GLA, the FOIA Requester Service Center, 

under the guidance of the Chief FOIA Officer, has streamlined the internal 

procedures for handling FOIA requests. Most importantly, the Service Center 

created a standardized intake process that utilizes a detailed intake form for each 

request. The form has fields for establishing a tracking number for each request, 

clarifying the subject matter, identifying which divisions are most likely to have 

responsive documents, assigning search responsibilities, indicating whether the 

request qualifies for expedited processing, and establishing the timeframes for 

responding to the request. By gathering this information at the outset, the 

agency is better equipped to process the request in the most efficient and 

informed manner. The completed form also serves as an invaluable reference 

throughout the processing of FOIA requests, particularly in ensuring that all 

responsive documents are identified, and that the response is completed within 

the established timetables. 

AREA 2: FOIA STAFFING 

The FOIA Requester Service Center is currently staffed by one 

paralegal who is responsible for receiving FOIA requests, filling out a standard 

intake form to determine the proper processing track and plan, coordinating the 

processing, and corresponding with the Requester. Due to time constraints 

resulting from other responsibilities within GLA, the paralegal can only dedicate 

a limited amount of time to the FOIA Requester Service Center. 

The current staffing arrangement could prove to be inadequate in the 

long term, particularly if the agency receives complex or voluminous FOIA 

requests at the same time that GLA receives a large number of closed case 

files to process for placement on the public record in accordance with the 

agency's Interim Disclosure Policy. As noted above, GLA is responsible for 

placing closed files on the public record in enforcement and administrative fines 

cases. This includes reviewing entire case files to identify documents for public 

disclosure, and then reviewing each individual document to redact any 

information contained therein that falls under a relevant FOIA exemption. Since 

the same personnel within GLA handle both the affirmative disclosure and 

request processing responsibilities of the FOIA, FOIA staff can be subject to 

competing time demands. The agency will continue to monitor FOIA staff 

resources to determine whether adequate resources have been allocated, with 
an eye to making appropriate staffing recommendations. 

AREA 3: STAFF TRAINING 

In the past, the FEC has focused its FOIA staff training efforts on those 

few individuals who were responsible for the actual processing of FOIA 

requests. However, a review of other agencies' staff training policies suggests 

that wider FOIA awareness training among agency staff could have a positive 

effect on the agency's overall FOIA compliance. As a result, the FEC is in the 

process of implementing staff training improvements, as well as establishing 

future goals related to training. 

AREA 4: FOIA WEBSITE 

In compliance with the 1996 E-FOIA requirements, the FEC has 

maintained a FOIA website (www.fec.gov/press/foia) that includes basic 

information about making a FOIA request as well as copies of the agency's 

FOIA Annual Reports. After establishing the FOIA Requester Service Center 

earlier this year pursuant to EO 13392, the agency updated its FOIA website 

to include contact information for the FOIA Requester Service Center and 

FOIA Public Liaison. The website also was updated to include more easily 

accessible instructions for making FOIA requests of the FEC, and a brief 

overview of the types of records that the agency routinely makes publicly 

available. 

The FEC has conducted a review of other agencies' FOIA websites to 

identify ways that the FEC's FOIA website can be enhanced to improve 

customer service to the public. As a result of this review, the FEC intends to 

make several changes to its FOIA website. 

AREA 5: MULTI-TRACK AND EXPEDITED PROCESSING 

The Commission's Regulations lay out a general framework for multitrack processing at 11 C.F.R. § 4.7(f) and expedited processing at 11 C.F.R. § 

4.7(g). In the past, the agency has applied these regulations in a somewhat 

informal, case-by-case manner. As a result of this experience, the agency 

plans to standardize the processes for assigning requests to processing tracks, 

as described below. 

AREA 6: FOIA and E-FOIA READING ROOMS 

The agency's FOIA Reading Room is located within the Public Records 

Office on the first floor of the FEC building at 999 E Street, NW in Washington, 

DC. The reading room maintains an archive of completed compliance actions, 

alternative dispute resolution and administrative fines cases; litigation and audit 

reports; advisory opinion requests, public comments and final opinions; 

Commission memoranda, bulletins and directives; FEC newsletters and annual 

reports; press releases; federal register notices, public comments on proposed 

rulemakings, public hearing documents; Explanations and Justifications; and 

sunshine notices, agendas, agenda documents, minutes and audio tapes of past 

Commission meetings. The Public Records Office is open daily during normal 
business hours and on some weekends for public inspection and photocopying. 

Archived materials are searchable using the agency's KEA database and more 

recent materials can be located using web-based databases on terminals located 

in the reading room. 

Pursuant to the 1996 E-FOIA amendments, the agency also has placed 

most of the information that is available in the reading room onto its website as 

an Electronic Reading Room for easy public accessibility. The online materials 

include indexes for many databases, with full text searchability. 

To ensure that the FEC is fully complying with the E-FOIA requirements, 

the General Law and Advice Division has undertaken a review of the materials 

that are available in the Public Records Office / FOIA Reading Room and 

Electronic Reading Room. As a result of this review, the agency has identified 

several changes that can be made to improve customer service in accordance 

with EO 13392. 

IMPROVEMENT AREAS FOR AGENCY PLAN 

As a result of the agency's review of the six areas described above on 

pages 2 through 5, the FEC identified several improvement areas within each 

review area. The improvement areas discussed in greater detail below 

comprise the agency's plan under EO 13392. 

Area 1: FOIA Administration and Operations 

Improvement 1.A.: Correspondence Library 

Improvement 1.B.: Program Personnel Liaisons 

Improvement 1.C.: FOIA Request Tracking and Processing 

Area 2: FOIA Staffing 

Improvement 2.A.: FOIA Staff Resource Review 

Methodology 

Improvement 2.B.: FOIA Staff Resource Review 

Area 3: Staff Training 

Improvement 3.A.: FOIA Awareness Training 

Improvement 3.B.: Program Personnel Liaison Training 

Improvement 3.C.: Continuing Staff Training Evaluation 

Area 4: FOIA Website 

Improvement 4.A.: Centralized Links 

Improvement 4.B.: Detailed FOIA Instructions 

Improvement 4.C.: Online FOIA Request Form 

Improvement 4.D.: Customer Service Feedback Form 

Area 5: Multi-track and Expedited Processing 

Improvement 5.A.: Clarify Tracks 

Improvement 5.B.: Clarify Criteria for Expedited Processing 

Area 6: FOIA and E-FOIA Reading Rooms 

Improvement 6.A.: FOIA Reading Room Signage 

Improvement 6.B.: Frequently Requested Records 

AGENCY PLAN 
AREA 1: FOIA ADMINISTRATION AND OPERATIONS 

Improvement 1.A: Correspondence Library

Goals and Objectives: 

The FOIA Requester Service Center has been working to 

create a standardized process for responding to FOIA requests 

based upon GLA’s Standard Operating Procedures. As part of 

this effort, the Service Center is developing a library of 

correspondence form letters that assist in expediting response 

times and communicating more effectively with the public. A 

review of other agency FOIA practices indicates that many 

agencies are using standardized form letters for corresponding 

with Requesters, and the agency believes that this is another 

step in the streamlining process that began with the 

development of the standard intake form. Included in the 

correspondence library will be a standard acknowledgment 

letter that will be sent to every requester notifying them of the 

agency's receipt of their request and informing them of their 

track(s), tracking number, and anticipated timetable for 

completion of the request. The acknowledgment letter will also 

provide information about the ability to "opt in" to a faster track 

by limiting the request (see Improvement 5.A. below). 

Timetable: 

The agency anticipates completing the correspondence library 

by the end of the third quarter of CY2006. 

Improvement 1.B: Program Personnel Liaisons

Goals and Objectives: 

The agency will establish a central point of contact within each 

FEC division. This contact person will be responsible for 

corresponding with the FOIA Requester Service Center during 

the processing of requests. The individual contacts from each 

division will be identified with the assistance of the offices of the 

Commission's Staff Director and General Counsel. By 

identifying a single point of contact within each division, the 

agency will be better able to alleviate delays that occur when a 

division does not fully or timely respond to a request from the 

FOIA Requester Service Center. 

Timetable: 

The FEC will establish program personnel contacts within each 

division by the end of the second quarter of CY2006. 

Improvement 1.C: FOIA Request Tracking and Processing

Goals and Objectives: 
The FEC has identified a longer-term goal of increasing the use 

of technology in processing FOIA requests. In collaboration 

with the agency's Information Technology division, the FEC 

plans to look into existing software options for solutions to 

tracking FOIA response deadlines and maintaining electronic 

FOIA response files. 

Timetable: 

The agency plans to begin working with the Information 

Technology Division beginning in the second quarter of 

CY2006 and complete any upgrades by the end of CY2007. 

AREA 2: FOIA STAFFING 

Improvement 2.A: FOIA Staff Resource Review Methodology

Goals and Objectives: 

To assess the agency's FOIA staffing needs, OGC will work 

with the agency's Information Technology Division to establish 

a baseline methodology for reviewing the total staff resources 

that are expended on FOIA compliance. The agency will most 

likely utilize an existing software application, Law Manager 

98TM, to track the time that GLA personnel spend working on 

FOIA-related projects. The software application allows for 

several methods of statistical analysis of the input data. 

Timetable: 

The agency anticipates having a methodology in place by the 

end of the second quarter of CY2006. 

 Improvement 2.B: FOIA Staff Resource Review

Goals and Objectives: 

During the fourth quarter of CY2006, the agency will complete 

a study of FOIA staff resources using the methodology 

discussed above. By making a detailed and informed 

assessment of the staffing issues involved with administering 

the FOIA, the agency hopes to discover staffing solutions that 

will improve customer service and decrease or even eliminate 

the occasional backlogs. 

Timetable: 

The agency will complete the study by the end of CY2006. 

Based upon the outcome of the study, OGC will request 

additional budgetary allocations for future fiscal years, where 

necessary, to support improved staffing requirements. 

AREA 3: STAFF TRAINING 
Improvement 3.A: FOIA Awareness Training 

Goals and Objectives: 

The agency is planning FOIA awareness training for FEC 

personnel who maintain agency records likely to be responsive 

to FOIA requests. These training sessions will focus on 

providing employees with a basic understanding of the agency's 

FOIA compliance policies and requirements. Specific topics 

include procedures for conducting searches for responsive 

FOIA documents within an employee's own files, as well as 

general FOIA practices of making records publicly available in 

accordance with the agency's Interim Disclosure Policy. The 

objective of this awareness training will be to encourage FEC 

employees to maintain their office files in such a way as to 

facilitate a timely and thorough search of their files should they 

be responsive to a FOIA request, and that employees recognize 

which documents from their files should be placed on the public 

record at the appropriate time. 

Timetable: 

This training is preliminarily planned to take place during the 

third or fourth quarter of CY2006. 

Improvement 3.B: Program Personnel Liaison Training 

Goals and Objectives: 

The FEC is developing specialized training for the division 

liaisons discussed in Area 1.B above. This training will focus on 

skills for managing searches for responsive documents within 

the various divisions of the agency. The agency will also hold 

periodic training as necessary to keep the liaisons apprised of 

any procedural changes or to address any problems or 

complications that arise. 

Timetable: 

This training is preliminarily planned for the fourth quarter of 

CY2006. 

Improvement 3.C: Continuing Staff Training Evaluation 

Goals and Objectives: 

The FEC intends to continually examine whether the training 

discussed above sufficiently reduces the agency's occasional 

delays. If the agency determines that additional training is 

necessary to help reduce delays, OGC has considered two 

additional training possibilities. The first would be to train a 

group of OGC attorneys who would be available to assist with 

FOIA processing on a case-by-case basis. An alternative would 
be to provide the division liaisons with additional training in 

FOIA processing to assist on a case-by-case basis. Both of 

these possible courses of action remain available to the agency 

in the future, and will be explored further if necessary. 

Timetable: 

Ongoing. 

AREA 4: FOIA WEBSITE 

Improvement 4.A: Centralized Links 

Goals and Objectives: 

The FEC will provide direct, centralized links from the agency's 

FOIA website to the publicly available materials located 

elsewhere on the FEC website. This will be a "one stop 

shopping" list of all of the available disclosure materials on the 

website including but not limited to closed compliance matters, 

advisory opinion files, FEC newsletters and annual reports. 

Timetable: 

The FEC will complete the website link project by the end of 

CY2006. 

Improvement 4.B: Detailed FOIA Instructions 

Goals and Objectives: 

The FEC's FOIA webpage will have more detailed instructions 

for making FOIA requests and appeals, as well as information 

for following up on requests with the FOIA Requester Service 

Center and FOIA Public Liaison. The website also will include a 

more detailed description of the types of materials the agency 

maintains in its archives or closed files - the types of records 

which can only be accessed based upon a FOIA request. The 

FEC's FOIA website will link to relevant FOIA websites 

maintained by the Department of Justice that can provide 

Requesters with additional assistance. The agency is also 

considering publishing its schedule of fees and fee waiver 

application information. The information provided on the FEC's 

website will satisfy the FOIA Reference Guide requirements 

outlined in 5 U.S.C. § 552(g). 

Timetable: 

These changes will go online in stages beginning immediately 

and continuing throughout the third and fourth quarters of 

CY2006. Additionally, the FEC will continue to monitor 
feedback from the public regarding the user-friendliness of the 

agency's FOIA webpage and make upgrades as necessary. 

Improvement 4.C: Online FOIA Request Form 

Goals and Objectives: 

The FEC plans to work with its Information Technology 

department to develop an online FOIA request form. The 

agency envisions that such a form would serve a two-fold 

purpose. First, an online form would make it easier for the 

public to make FOIA requests for FEC materials by removing an 

added step in the process and clarifying what information is 

necessary. Second, an online form would improve the agency's 

processing of requests by standardizing the Requesters' 

information into a format that is easily exportable to the standard 

intake discussed above. Additional features, such as an online 

"track your request" function may also be considered. 

Timetable: 

The agency plans to undertake this task in CY2007. 

Improvement 4.D: Customer Service Feedback Form 

Goals and Objectives: 

The FEC will create an online customer service feedback form 

where requesters can comment on the FEC's handling of FOIA 

matters, make suggestions for improvements, or compliment 

agency personnel on their efforts in processing FOIA requests. 

The FOIA Public Liaison and Chief FOIA Officer will review the 

information submitted on the form in order to make changes or 

improvements as necessary. 

Timetable: 

The agency plans to undertake this task in CY2007. 

AREA 5: MULTI-TRACK AND EXPEDITED PROCESSING 

Improvement 5.A: Clarify Tracks 

Goals and Objectives: 

In order to more effectively and uniformly apply the 

Commission's Regulations for multi-track and expedited 

processing, the agency has more clearly defined the three 

available processing tracks as follows: expedited 10-day; 

intermediate 20-day; and extended 20+day. On its standard 

intake form the agency will create a track selection area to 

clearly show the track(s) to which a given request is assigned. 
Timetable: 

This task will be completed by the end of the second 

quarter of CY2006. 

 Improvement 5.B: Clarify Criteria for Expedited Processing 

Goals and Objectives: 

The FEC has also reviewed the language of 11 C.F.R. § 4.7(g) 

with a goal of clarifying the criteria for expedited processing. 

This information will be included on the FEC's standard intake 

form as a checkbox area for the expedited processing criteria. 

Timetable: 

This task will be completed by the end of the second 

quarter of CY2006. 

AREA 6: FOIA and E-FOIA READING ROOM 

Improvement 6.A.: FOIA Reading Room Signage 

Goals and Objectives: 

OGC is working with the Public Records Office to establish 

clearer signage for the FOIA Reading Room. This will eliminate 

any confusion the public may have about the location and 

accessibility of the FOIA materials. 

Timetable: 

The FEC intends to complete this task by the end of the third 

quarter of CY2006. 

Improvement 6.B.: Frequently Requested Records 

Goals and Objectives: 

Pursuant to E-FOIA amendment 5 U.S.C. § 552 (a)(2)(D), the 

agency has developed a protocol for determining which 

frequently requested records should be made publicly available. 

Under the Act, the agency is directed to make available to the 

public copies of all records which have been requested and 

which, due to their nature or subject matter, are likely to be the 

subject of subsequent requests for substantially the same 

records. OMB has recommended that a maximum of three (3) 

requests for the same documents should trigger this provision 

of the FOIA. The FEC plans to evaluate its records of FOIA 

requests to determine whether to adopt the OMB's 

recommendation or adopt a lower threshold for disclosure of 

documents produced in response to a FOIA request. To 

facilitate the disclosure, the FOIA Requester Service Center is 

working on developing a system for tracking and calling up 
processed FOIA requests. The FEC will also begin reviewing 

its past FOIA request responses to determine which document 

productions, if any, warrant disclosure based upon the criteria 

that the agency will establish. GLA will work with the agency's 

Information Technology Division to create a separate area on 

the agency's website to compile electronic versions of the 

document productions for public review, and will create a direct 

link from the agency's FOIA website to this new webpage. The 

FEC may include hardcopies of the documents in the FOIA 

Reading Room, or in the alternative, direct visitors in the FOIA 

Reading Room to the online location of the documents. 

Timetable: 

The agency plans to establish its "frequently requested records" 

disclosure policy by the end of the fourth quarter of CY2006 and 

begin implementing it by the end of the first quarter of CY2007. 

CONSOLIDATED TIMETABLE 

Areas anticipated to be completed by December 31, 2006 

Improvement 1.A.: Correspondence Library 

Improvement 1.B.: Program Personnel Liaisons 

Improvement 2.A.: FOIA Staff Resource Review Methodology 

Improvement 2.B.: FOIA Staff Resource Review 

Improvement 3.A.: FOIA Awareness Training 

Improvement 3.B.: Program Personnel Liaison Training 

Improvement 4.A.: Centralized Links 

Improvement 4.B.: Detailed FOIA Instructions 

Improvement 5.A.: Clarify Tracks 

Improvement 5.B.: Clarify Criteria for Expedited Processing 

Improvement 6.A.: FOIA Reading Room Signage 

Improvement 6.B.: Frequently Requested Records 

Areas anticipated to be completed by December 31, 2007 

Improvement 1.C.: FOIA Request Tracking and Processing 

Improvement 4.C.: Online FOIA Request Form 

Improvement 4.D.: Customer Service Feedback Form 

Areas anticipated to be completed after December 31, 2007 

Improvement 3 .C.: Continuing Staff Training Evaluation 

CONCLUSION 

The Federal Election Commission has already made and continues 

to make excellent progress in its implementation of EO 13392. The 

agency has identified several areas of improvement as outlined above, 

and has created concrete and realistic timetables for implementing those 
goals. Reports on the FEC's progress will be included in the agency's 

FY06 and FY07 FOIA Annual Reports. 
[Code of Federal Regulations] 

[Title 11, Volume 1] 

[Revised as of January 1, 2007] 

From the U.S. Government Printing Office via GPO Access 

[CITE: 11CFR4]

 TITLE 11--FEDERAL ELECTIONS 

 CHAPTER I--FEDERAL ELECTION COMMISSION 

PART 4_PUBLIC RECORDS AND THE FREEDOM OF INFORMATION ACT--Table of Contents 

Sec. 

4.1 Definitions. 

4.2 Policy on disclosure of records. 

4.3 Scope. 

4.4 Availability of records. 

4.5 Categories of exemptions. 

4.6 Discretionary release of exempt records. 

4.7 Requests for records. 

4.8 Appeal of denial. 

4.9 Fees. 

 Authority: 5 U.S.C. 552, as amended.

 Source: 44 FR 33368, June 8, 1979, unless otherwise noted. 

Sec. 4.1 Definitions. 

As used in this part: 

(a) Commission means the Federal Election Commission, established by 

the Federal Election Campaign Act of 1971, as amended. 

(b) Commissioner means an individual appointed to the Federal 

Election Commission pursuant to 2 U.S.C. 437c(a). 

(c) Request means to seek the release of records under 5 U.S.C. 552. 
 (d) Requestor is any person who submits a request to the Commission. 

(e) Act means the Federal Election Campaign Act of 1971, as amended 

by the Federal Election Campaign Act Amendments of 1974, 1976, and 1979, 

and unless specifically excluded, includes chapters 95 and 96 of the 

Internal Revenue Code of 1954 relating to public financing of Federal 

elections. 

(f) Public Disclosure Division of the Commission is that division 

which is responsible for, among other things, the processing of requests 

for public access to records which are submitted to the Commission 

pursuant to 2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), and 438(a). 

(g) Direct costs means those expenditures which the Commission 

actually incurs in searching for and duplicating (and, in the case of 

commercial use requestors, reviewing) documents to respond to a FOIA 

request. Direct costs include the salary of the employee performing the 

work (the basic rate of pay for the employee plus 16 percent of that 

rate to cover benefits) and the cost of operating duplicating equipment. 

Direct costs do not include overhead expenses such as the cost of space 

and heating or lighting the facility in which the records are stored. 

(h) Search means all time spent reviewing, manually or by automated 

means, Commission records for the purpose of locating those records that 

are responsive to a FOIA request, including page-by-page or line-by-line 

identification of material within documents. Search time does not 

include review of material in order to determine whether the material is 

exempt from disclosure. 

(i) Review means the process of examining a document located in 

response to a commercial use request to determine whether any portion of 

the document located is exempt from disclosure. Review also refers to 

processing any document for disclosure, i.e., doing all that is 

necessary to excise exempt portions of the document and otherwise 

prepare the document for release. Review does not include time spent by 

the Commission resolving general legal or policy issues regarding the 

application of exemptions.

 (j) Duplication means the process of making a copy of a document 

necessary to respond to a FOIA request. Examples of the form such copies 

can take include, but are not limited to, paper copy, microform, audiovisual materials, or machine readable documentation (e.g., magnetic tape 

or disk). 

(k) Commercial use means a purpose that furthers the commercial, 
trade, or profit interests of the requestor or the person on whose 

behalf the request is made. The Commission's determination as to whether 

documents are being requested for a commercial use will be based on the 

purpose for which the documents are being requested. Where the 

Commission has reasonable cause to doubt the use for which the requestor 

claims to have made the request or where that use is not clear from the 

request itself, the Commission will seek additional clarification before 

assigning the request to a specific category. 

(l) Educational institution means a preschool, a public or private 

elementary or secondary school, an institution of graduate higher 

education, an institution of undergraduate higher education, an 

institution of professional education, and an institution of vocational 

education, which operates a program or programs of scholarly research. 

(m) Non-commercial scientific institution means an organization that 

is not operated on a commercial basis, as that term is defined in 

paragraph (k) of this section, and which is operated solely for the 

purpose of conducting scientific research the results of which are not 

intended to promote any particular product or industry.

 (n) Representative of the news media means a person actively 

gathering news for an entity that is organized and operated to publish 

or broadcast news to the public. The term news means information that is 

about current events or that would be of current interest to the public. 

Examples of news media entities include, but are not limited to, 

television or radio stations broadcasting to the public at large, and 

publishers of periodicals (but only in those instances when they can 

qualify as disseminators of news, as defined in this paragraph) who make 

their products available for purchase or subscription by the general 

public. A freelance journalist may be regarded as working for a news 

organization and therefore considered a representative of the news media 

if that person can demonstrate a solid basis for expecting publication 

by that news organization, even though that person is not actually 

employed by that organization. The best means by which a freelance 

journalist can demonstrate a solid basis for expecting publication by a 

news organization is by having a publication contract with that news 

organization. When no such contract is present, the Commission will look 

to the freelance journalist's past publication record in making this 

determination. 

(o) Record and any other term used in this part in reference to 
information includes any information that would be a Commission record 

subject to the requirements of this part when maintained by the 

Commission in any format, including an electronic format. 

[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 52 

FR 39212, Oct. 21, 1987; 65 FR 9206, Feb. 24, 2000] 

Sec. 4.2 Policy on disclosure of records. 

(a) The Commission will make the fullest possible disclosure of 

records to the public, consistent with the rights of individuals to 

privacy, the rights of persons contracting with the Commission with 

respect to trade secret and commercial or financial information entitled 

to confidential treatment, and the need for the Commission to promote 

free internal policy deliberations and to pursue its official activities 

without undue disruption. 

(b) All Commission records shall be available to the public unless 

they are specifically exempt under this part. 

(c) To carry out this policy, the Commission shall designate a 

Freedom of Information Act Officer. 

Sec. 4.3 Scope. 

The regulations in this part implement the provisions of the Freedom 

of Information Act, 5 U.S.C. 552, with respect to the availability of 

records for inspection and copying. 

[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980] 

Sec. 4.4 Availability of records. 

(a) In accordance with 5 U.S.C. 552(a)(2), the Commission shall make 

the following materials available for public inspection and copying:

 (1) Statements of policy and interpretation which have been adopted 

by the Commission; 
 (2) Administrative staff manuals and instructions to staff that 

affect a member of the public; 

(3) Opinions of Commissioners rendered in enforcement cases, General 

Counsel's Reports and non-exempt 2 U.S.C. 437g investigatory materials 

shall be placed on the public record of the Agency no later than 30 days 

from the date on which all respondents are notified that the Commission 

has voted to close such an enforcement file; 

(4) Copies of all records, regardless of form or format, which have 

been released to any person under this paragraph (a) and which, because 

of the nature of their subject matter, the agency determines have become 

or are likely to become the subject of subsequent requests for 

substantially the same records; and 

(5) A general index of the records referred to in paragraph (a)(4) 

of this section. 

(b) In accordance with 5 U.S.C. 552(a)(3), the Commission shall make 

available, upon proper request, all non-exempt Agency records, or 

portions of records, not previously made public pursuant to 5 U.S.C. 

552(a)(1) and (a)(2). 

(c) The Commission shall maintain and make available current indexes 

and supplements providing identifying information regarding any matter 

issued, adopted or promulgated after April 15, 1975 as required by 5 

U.S.C. 552(a)(2)(C) and (E).These indexes and supplements shall be 

published and made available on at least a quarterly basis for public 

distribution unless the Commission determines by Notice in the Federal 

Register that publication would be unnecessary, impracticable, or not 

feasible due to budgetary considerations. Nevertheless, copies of any 

index or supplement shall be made available upon request at a cost not 

to exceed the direct cost of duplication. 

(d) The Freedom of Information Act and the provisions of this part 

apply only to existing records; they do not require the creation of new 

records. 

(e) If documents or files contain both disclosable and 

nondisclosable information, the nondisclosable information will be 

deleted and the disclosable information released unless the disclosable 

portions cannot be reasonably segregated from the other portions in a 

manner which will allow meaningful information to be disclosed. 

(f) All records created in the process of implementing provisions of 

5 U.S.C. 552 will be maintained by the Commission in accordance with the 
authority granted by General Records Schedule 14, approved by the 

National Archives and Records Service of the General Services 

Administration. 

(g) The Commission encourages the public to explore the information 

available on the Commission's World Wide Web site, located at http:// 

www.fec.gov. The site includes a Commission publication, Availability of 

FEC Information, which provides a detailed listing of the types of 

documents available from the FEC, including those available under FOIA, and 

directions on how to locate and obtain them. 

[44 FR 33368, June 8, 1979, as amended at 45 FR 31291, May 13, 1980; 65 

FR 9206, Feb. 24, 2000] 

Sec. 4.5 Categories of exemptions. 

(a) No requests under 5 U.S.C. 552 shall be denied release unless 

the record contains, or its disclosure would reveal, matters that are: 

(1) Specifically authorized under criteria established by an 

executive order to be kept secret in the interest of national defense or 

foreign policy and are in fact properly classified pursuant to such 

Executive order; 

(2) Related solely to the internal personnel rules and practices of 

the Commission; 

(3) Specifically exempted from disclosure by statute, provided that 

such statute (A) requires that the matters be withheld from the public 

in such a manner as to leave no discretion on the issue, or (B) 

establishes particular criteria for withhholding or refers to particular 

types of matters to be withheld; 

(4) Trade secrets and commercial or financial information obtained 

from a person which are privileged or confidential. Such information 

includes confidential business information which concerns or relates to 

the trade secrets, processes, operations, style of works, or apparatus, 

or to the production, sales, shipments, purchases, transfers, 

identification of customers, inventories, or amount of source of income, 

profits, losses, or expenditures of any person, firm, partnership, 

corporation, or other organization, if the disclosure is likely to have 

the effect of either impairing the Commission's ability to obtain such 
information as is necessary to perform its statutory functions, or 

causing substantial harm to the competitive position of the person, 

firm, partnership, corporation, or other organization from which the 

information was obtained, unless the Commission is required by law to 

disclose such information. These procedures shall be used for submitting 

business information in confidence: 

(i) A request for confidential treatment shall be addressed to the 

FOIA officer, Federal Election Commission, 999 E Street, NW., 

Washington, DC 20463, and shall indicate clearly on the envelope that it 

is a request for confidential treatment. 

(ii) With each submission of, or offer to submit, business 

information which a submitter desires to be treated as confidential 

under paragraph (a)(4) of this section, the submitter shall provide the 

following, which may be disclosed to the public: (A) A written 

description of the nature of the subject information, and a 

justification for the request for its confidential treatment, and (B) a 

certification in writing under oath that substantially identical 

information is not available to the public.

 (iii) Approval or denial of requests shall be made only by the FOIA 

officer or his or her designees. A denial shall be in writing, shall 

specify the reason therefore, and shall advise the submitter of the 

right to appeal to the Commission. 

(iv) For good cause shown, the Commission may grant an appeal from a 

denial by the FOIA Officer or his or her designee if the appeal is filed 

within fifteen (15) days after receipt of the denial. An appeal shall be 

addressed to the FOIA Officer, Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463 and shall clearly indicate that it is 

a confidential submission appeal. An appeal will be decided within 

twenty (20) days after its receipt (excluding Saturdays, Sundays and 

legal holidays) unless an extension, stated in writing with the reasons 

therefore, has been provided the person making the appeal. 

(v) Any business information submitted in confidence and determined 

to be entitled to confidential treatment shall be maintained in 

confidence by the Commission and not disclosed except as required by 

law. In the event that any business information submitted to the 

Commission is not entitled to confidential treatment, the submitter will 

be permitted to withdraw the tender unless it is the subject of a 

request under the Freedom of Information Act or of judicial discovery 
proceedings.

 (vi) Since enforcement actions under 2 U.S.C. 437g are confidential 

by statute, the procedures outlined in Sec. 4.5(a)(4) (i) thru (v) are 

not applicable. 

(5) Inter-agency or intra-agency memoranda or letters which would 

not be available by law to a party in litigation with the Commission.

 (6) Personnel and medical files and similar files, the disclosure of 

which would constitute a clearly unwarranted invasion of personal 

privacy.

 (7) Records or information compiled for law enforcement purposes, 

but only to the extent that the production of such law enforcement 

records or information: 

(i) Could reasonably be expected to interfere with enforcement 

proceedings;

 (ii) Would deprive a person of a right to a fair trial or an 

impartial adjudication; 

(iii) Could reasonably be expected to constitute an unwarranted 

invasion of personal privacy; 

(iv) Could reasonably be expected to disclose the identity of a 

confidential source, including a State, local, or foreign agency or 

authority or any private institution which furnished information on a 

confidential basis, and, in the case of a record or information compiled 

by a criminal law enforcement authority in the course of a criminal 

investigation, or by an agency conducting a lawful national security 

intelligence investigation, information furnished by a confidential 

source; 

(v) Would disclose techniques and procedures for law enforcement 

investigations or prosecutions, or would disclose guidelines for law 

enforcement investigations or prosecutions if such disclosure could 

reasonably be expected to risk circumvention of the law; or 

(vi) Could reasonably be expected to endanger the life or physical 

safety of any individual. 

(b) Whenever a request is made which involves access to records 

described in 11 CFR 4.5(a)(7): and 

(1) The investigation or proceeding involves a possible violation of 

criminal law; and 

(2) There is reason to believe that--

(i) The subject of the investigation or proceeding is not aware of 
its pendency, and 

(ii) Disclosure of the existence of the records could reasonably be 

expected to interfere with enforcement proceedings; 

The agency may, during only such time as that circumstance continues, 

treat the records as not subject to the requirements of the Freedom of 

Information Act. 

(c) Any reasonably segregable portion of a record shall be provided 

to any person requesting such record after deletion of the portions 

which are exempt. The amount of information deleted shall be indicated 

on the released portion of the record, unless including that indication 

would harm an interest protected by an exemption in paragraph (a) of 

this section under which the deletion is made. If technically feasible, 

the amount of the information deleted shall be indicated at the place in 

the record where such deletion is made.

 (d) If a requested record is one of another government agency or 

deals with subject matter to which a government agency other than the 

Commission has exclusive or primary responsibility, the request for such 

a record shall be promptly referred by the Commission to that agency for 

disposition or guidance as to disposition.

 (e) Nothing in this part authorizes withholding of information or 

limiting the availability of records to the public, except as 

specifically provided in this part; nor is this part authority to 

withhold information from Congress. 

[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985; 52 

FR 23638, June 24, 1987; 52 FR 39212, Oct. 21, 1987; 65 FR 9206, Feb. 

24, 2000] 

Sec. 4.6 Discretionary release of exempt records. 

 The Commission may, in its discretion, release requested records 

despite the applicability of the exemptions in Sec. 4.5(a), if it 

determines that it is in the public interest and that the rights of 

third parties would not be prejudiced. 
Sec. 4.7 Requests for records. 

(a) [Reserved] 

 (b)(1) Requests for copies of records pursuant to the Freedom of 

Information Act shall be addressed to FOIA officer, Federal Election 

Commission, 999 E Street, NW., Washington, DC 20463. The request shall 

reasonably describe the records sought with sufficient specificity with 

respect to names, dates, and subject matter, to permit the records to be located. A 

requester will be promptly advised if the records cannot be located on 

the basis of the description given and that further identifying 

information must be provided before the request can be satisfied. 

(2) Requests for Commission records and copies thereof shall specify 

the preferred form or format (including electronic formats) of the 

response. The Commission shall accommodate requesters as to form or 

format if the record is readily available in that form or format. When 

requesters do not specify the form or format of the response, the 

Commission shall respond in the form or format in which the document is 

most accessible to the Commission. 

(c) The Commission shall determine within twenty working days after 

receipt of a request, or twenty working days after an appeal is granted, 

whether to comply with such request, unless in unusual circumstances the 

time is extended or subject to Sec. 4.9(f)(3), which governs advance 

payments. In the event the time is extended, the requestor shall be 

notified of the reasons for the extension and the date on which a 

determination is expected to be made, but in no case shall the extended 

time exceed ten working days. An extension may be made if it is-- 

(1) Necessary to locate records or transfer them from physically 

separate facilities; or 

(2) Necessary to search for, collect, and appropriately examine a 

large quantity of separate and distinct records which are the subject of 

a single request; or 

(3) Necessary for consultation with another agency which has a 

substantial interest in the determination of the request, or with two or 

more components of the Commission which have a substantial subject 

matter interest therein. 

(d) If the Commission determines that an extension of time greater 

than ten working days is necessary to respond to a request satisfying 

the ``unusual circumstances'' specified in paragraph (c) of this 
section, the Commission shall so notify the requester and give the 

requester an opportunity to limit the scope of the request so that it 

may be processed within the time limit prescribed in paragraph (c) of 

this section, or arrange with the Commission an alternative time frame 

for processing the request or a modified request. 

(e) The Commission may aggregate and process as a single request 

requests by the same requester, or a group of requesters acting in 

concert, if the Commission reasonably believes that the requests 

actually constitute a single request that would otherwise satisfy the 

unusual circumstances specified in paragraph (c) of this section, and 

the requests involve clearly related matters. 

(f) The Commission uses a multitrack system to process requests 

under the Freedom of Information Act that is based on the amount of work 

and/or time involved in processing requests. Requests for records are 

processed in the order they are received within each track. Upon receipt 

of a request for records, the Commission shall determine which track is 

appropriate for the request. The Commission may contact requesters whose 

requests do not appear to qualify for the fastest tracks and provide 

such requesters the opportunity to limit their requests so as to qualify 

for a faster track. Requesters who believe that their requests qualify 

for the fastest tracks and who wish to be notified if the Commission 

disagrees may so indicate in the request and, where appropriate and 

feasible, shall also be given an opportunity to limit their requests. 

(g) The Commission shall consider requests for the expedited 

processing of requests in cases where the requester demonstrates a 

compelling need for such processing. 

(1) The term compelling need means:

 (i) That a failure to obtain requested records on an expedited basis 

could reasonably be expected to pose an imminent threat to the life or 

physical safety of an individual; or 

(ii) With respect to a request made by a person primarily engaged in 

disseminating information, urgency to inform the public concerning 

actual or alleged Federal government activity. 

(2) Requesters for expedited processing must include in their 

requests a statement setting forth the basis for the claim that a 

``compelling need'' exists for the requested information, certified by 

the requester to be true and correct to the best of his or her knowledge 

and belief. 
 (3) The Commission shall determine whether to grant a request for 

expedited processing and notify the requester of such determination 

within ten days of receipt of the request. Denials of requests for 

expedited processing may be appealed as set forth in Sec. 4.8. The 

Commission shall expeditiously determine any such appeal. As soon as 

practicable, the Commission shall process the documents responsive to a 

request for which expedited processing is granted. 

(h) Any person denied access to records by the Commission shall be 

notified immediately giving reasons therefore, and notified of the right 

of such person to appeal such adverse determination to the Commission. 

(i) The date of receipt of a request under this part shall be the 

date on which the FOIA Officer actually receives the request. 

[44 FR 33368, June 8, 1979, as amended at 45 FR 31292, May 13, 1980; 50 

FR 50778, Dec. 12, 1985; 52 FR 39213, Oct. 21, 1987; 65 FR 9206, Feb. 

24, 2000] 

Sec. 4.8 Appeal of denial. 

(a) Any person who has been notified pursuant to Sec. 4.6(d) of 

this part that his/her request for inspection of a record or for a copy 

has been denied, or who has received no response within ten working days 

(or within such extended period as is permitted under Sec. 4.7(c) of 

this part) after the request has been received by the Commission, may 

appeal the adverse determination or the failure to respond by requesting 

the Commission to direct that the record be made available. 

(b) The appeal request shall be in writing, shall clearly and 

prominently state on the envelope or other cover and at the top of the 

first page ``FOIA Appeal'', and shall identify the record in the form in 

which it was originally requested. 

(c) The appeal request should be delivered or addressed to the FOIA 

Officer, Federal Election Commission, 999 E Street, NW., Washington, DC 

20463. 

(d) The requestor may state facts and cite legal or other 

authorities as he/she deems appropriate in support of the appeal 

request. 

(e) For good cause shown, the Commission may disclose a record which 
is subject to one of the exemptions listed in Sec. 4.5 of this part. 

(f) The Commission will make a determination with respect to any 

appeal within twenty days (excluding Saturdays, Sundays and legal 

holidays) after receipt of the appeal (or within such extended period as 

is permitted under Sec. 4.7(c) of this part). If on appeal, the denial 

of the request for a record or a copy is in whole or in part upheld, the 

Commission shall advise the requestor of the denial and shall notify 

him/her of the provisions for judicial review of that determination as 

set forth in 5 U.S.C. 552(a)(4). 

(g) Because of the risk of misunderstanding inherent in oral 

communications, the Commission will not entertain any appeal from an 

alleged denial or failure to comply with an oral request. Any person who 

has orally requested a copy of a record that he/she believes to have 

been improperly denied should resubmit the request in writing as set 

forth in Sec. 4.7. 

[44 FR 33368, June 8, 1979, as amended at 50 FR 50778, Dec. 12, 1985] 

Sec. 4.9 Fees. 

(a) Exceptions to fee charges--(1) General. Except for a commercial 

use requester, the Commission will not charge a fee to any requester for 

the first two hours of search time and the first 100 pages of 

duplication in response to any FOIA request. 

(2) Free computer search time. For purposes of this paragraph, the 

term search time is based on the concept of a manual search. To apply 

this to a search conducted by a computer, the Commission will provide 

the equivalent dollar value of two hours of professional staff time, 

calculated according to paragraph (c)(4) of this section, in computer 

search time. Computer search time is determined by adding the cost of 

the computer connect time actually used for the search, calculated at 

the rate of $25.00 per hour, to the cost of the operator's salary for the time 

spent conducting the computer search, calculated at the professional staff 

time rate set forth at paragraph (c)(4) of this section. 

(3) Definition of pages. For purposes of this paragraph, the word 

pages refers to paper copies of a standard agency size which will 

normally be 8\1/2\<gr-thn-eq> x 11<gr-thn-eq> or 8\1/2\<gr-thn-eq> x 
14<gr-thn-eq>. Thus, while a requester would not be entitled to 100 free 

computer disks, for example, a requester would be entitled to 100 free 

pages of a computer printout. 

(4) Minimum charge. The Commission will not charge a fee to any 

requester when the allowable direct cost of that FOIA request is equal 

to or less than the Commission's cost of routinely collecting and 

processing a FOIA request fee. 

(b) Fee reduction or waiver--(1) The Commission will consider 

requests for the reduction or waiver of any fees assessed pursuant to 

paragraph (c)(1) of this section if it determines, either as a result of 

its own motion or in response to a written submission by the requester, 

that disclosure of the information is in the public interest because it 

is likely to contribute significantly to public understanding of the 

operations or activities of the government and that disclosure of the 

information is not primarily in the commercial interest of the 

requester. 

(2) A request for a reduction or waiver of fees shall be made in 

writing by the FOIA requestor; shall accompany the relevant FOIA request 

so as to be considered timely; and shall include a specific explanation 

as to why the fee for that FOIA request should be reduced or waived, 

applying the standard stated in paragraph (b)(1) of this section to the 

facts of that particular request. In addition, the explanation shall 

include: the requester's (and user's, if the requester and the user are 

different persons or entities) identity, qualifications and expertise in 

the subject area, and ability and intention to disseminate the 

information to the public; and a discussion of any commercial or 

personal benefit that the requestor (and user, if the requestor and user 

are different persons or entities) expects as a result of disclosure, 

including whether the information disclosed would be resold in any form 

at a fee above actual cost. 

(c) Fees to be charged. (1) The FOIA services provided by the 

Commission in response to a FOIA request for which the requestor will be 

charged will depend upon the category of the requestor. The categories 

of FOIA requestors are as follows: 

(i) Commercial use requestors. A requestor of documents for 

commercial use will be assessed reasonable standard charges for the full 

allowable direct costs of searching for, reviewing for release and 

duplicating the records sought, according to the Commission's schedule 
of fees for those services as set forth at paragraph (c)(4) of this 

section. A commercial use requestor is not entitled to two hours of free 

search time nor 100 free pages of duplication of documents. 

(ii) Educational and non-commercial scientific institution 

requestors. The Commission will provide documents to requestors in this 

category for the cost of duplication of the records provided by the 

Commission in response to the request, according to the Commission's 

schedule of fees as set forth at paragraph (c)(4) of this section, 

excluding charges for the first 100 pages of duplication. Requestors in 

this category will not be charged for search time. To be eligible for 

inclusion in this category, requestors must show that the request is 

being made as authorized by and under the auspices of a qualifying 

institution and that the records are not sought for a commercial use, 

but are sought in furtherance of scholarly (if the request is from an 

educational institution) or scientific (if the request is from a noncommercial scientific institution) research. 

(iii) Requestors who are representatives of the news media. The 

Commission will provide documents to requestors in this category for the 

cost of duplication of the records provided by the Commission in 

response to the request, according to the Commission's schedule of fees 

as set forth at paragraph (c)(4) of this section, excluding charges for 

the first 100 pages of duplication. Requestors in this category will not 

be charged for search time. To be eligible for inclusion in this 

category, the requestor must meet the criteria listed 

at 11 CFR 4.1(n) and his or her request must not be made for a 

commercial use. A request for records supporting the news dissemination 

function of the requestor shall not be considered to be a request that 

is for a commercial use. 

(iv) All other requestors. The Commission will charge requestors who 

do not fit into any of the categories listed in paragraph (c)(1)(i), 

(ii) or (iii) of this section the full direct costs of searching for and 

duplicating records in response to the request, according to the 

Commission's schedule of fees as set forth at paragraph (c)(4) of this 

section, excluding charges for the first two hours of search time and 

the first 100 pages of duplication. Requests from record subjects for 

records about themselves will continue to be treated under the fee 

provisions of the Privacy Act of 1974 which permit fees only for 

duplication. 
 Photocopying 

Photocopying from photocopying machines--$.07 per page 

Photocopying from microfilm reader-printer--$.15 per page 

Paper copies from microfilm-paper print machine--$.05 per frame page 

 Reels of Microfilm 

Daily film (partial or complete roll)--$2.85 per roll 

Other film (partial or complete roll)--$5.00 per roll 

 Publications: (new or not from available stocks) 

Cost of photocopying document--$.07 per page 

Cost of binding document--$.30 per inch 

 (2) The Commission may assess fees for the full allowable direct 

costs of searching for documents in response to a request even if the 

Commission fails to locate any documents which are responsive to that 

request and, in the case of commercial use requestors, of reviewing 

documents located in response to a request which the Commission 

determines are exempt from disclosure. 

(3) If the Commission estimates that search or duplication charges 

are likely to exceed $25.00, it will notify the requestor of the 

estimated amount of the fee unless the requestor has indicated in 

advance a willingness to pay a fee as high as that estimated by the 

Commission. Through this notification, the Commission will offer the 

requestor the opportunity to confer with Commission staff to reformulate 

the original request in order to meet the requestor's needs at a lower 

cost. 

(4) The following is the schedule of the Commission's standard fees. 

The cost of staff time will be added to all of the following fees, 

generally at the Professional rate listed below, except for the cost of 

Photocopying from photocopying machines which has been calculated to 

include staff time. 
 Publications: (available stock) 

If available from stock on hand, cost is based on previously calculated 

cost as stated in the publication (based on actual cost per copy, 

including reproduction and binding). Commission publications for which 

fees will be charged include, but are not limited to, the following: 

Advisory Opinion Index, Report on Financial Activity, Financial Control 

and Compliance Manual, MUR Index, and Guideline for Presentation in Good 

Order. 

 Computer Tapes 

Cost to process the request at the rate of $25.00 per hour connect time 

plus the cost of the computer tape ($25.00) and professional staff time 

(see Staff Time). 

 Computer Indexes (including Name Searches) 

Cost to process the request at the rate of $25.00 per hour connect time 

plus the cost of professional staff time (see Staff Time). 

 Staff Time 

Clerical: $4.50 per each half hour (agency average of staff below a GS11) for each request. 

Professional: $12.40 per each half hour (agency average of staff at GS11 and above) for each request. 

 Other Charges 

Certification of a Document: $7.35 per quarter hour. 

Transcripts of Commission meetings not previously transcribed: $7.50 per 

half hour (equivalent of a GS-11 executive secretary). 

The Commission will not charge a fee for ordinary packaging and mailing 

of records requested. When a request for special mailing or delivery 

services is received the Commission will package the records requested. 

The requestor will make all arrangements for pick-up and delivery of the 

requested materials. The requestor shall 
pay all costs associated with special mailing or delivery services 

directly to the courier or mail service. 

(5) Upon receipt of any request for the production of computer tape 

or microfilm, the Commission will advise the requestor of the identity 

of the private contractor who will perform the duplication services. If 

fees are charged for the production of computer tape or microfilm, they 

shall be made payable to that private contractor and shall be forwarded 

to the Commission. 

(d) Interest charges. FOIA requestors should pay fees within 30 days 

following the day on which the invoice for that request was sent to the 

requestor. If the invoice is unpaid on the 31st day following the day on 

which the invoice was sent, the Commission will begin assessing interest 

charges, which will accrue from the date the invoice was mailed. 

Interest will be charged at a rate that is equal to the average 

investment rate for the Treasury tax and loan accounts for the 12-month 

period ending on September 30 of each year, rounded to the nearest whole 

percentage point, pursuant to 31 U.S.C. 3717. The accrual of interest 

will be stayed by the Commission's receipt of the fee, even if the fee 

has not yet been processed. 

(e) Aggregating requests. A requestor may not file multiple 

requests, each seeking portions of a document or documents, in order to 

avoid payment of fees. When the Commission reasonably believes that a 

FOIA requestor or group of requestors acting in concert is attempting to 

break a request down into a series of requests for the purpose of 

evading the assessment of fees, the Commission will aggregate any such 

requests and charge the appropriate fees. In making this determination, 

the Commission will consider the time period in which the requests have 

occurred, the relationship of the requestors, and the subject matter of 

the requests. 

(f) Advance payments. The Commission will require a requestor to 

make an advance payment, i.e., a payment before work is commenced or 

continued on a request, when: 

(1) The Commission estimates or determines that allowable charges 

that a requestor may be required to pay are likely to exceed $250. In 

such a case, the Commission will notify the requestor of the likely cost 

and, where the requestor has a history of prompt payment of FOIA fees, 

obtain satisfactory assurance of full payment, or in the case of a 
requestor with no FOIA fee payment history, the Commission will require 

an advance payment of an amount up to the full estimated charges; or 

(2) A requestor has previously failed to pay a fee in a timely 

fashion (i.e., within 30 days of the date of the billing). In such a 

case, the Commission may require that the requestor pay the full amount 

owed plus any applicable interest or demonstrate that the fee has been 

paid and make an advance payment of the full amount of the estimated fee 

before the Commission begins to process a new request or a pending 

request from that requestor. 

(3) If the provisions of paragraph (f) (1) or (2) of this section 

apply, the administrative time limits prescribed in 11 CFR 4.7(c) will 

begin only after the Commission has received the payments or the 

requestor has made acceptable arrangements to make the payments required 

by paragraph (f) (1) or (2) of this section. 

[52 FR 39213, Oct. 21, 1987]