FEDERAL ENERGY REGULATORY COMMISSION 

Annual Freedom of Information Act Report 

FY 2008 

 February 2009
FEDERAL ENERGY REGULATORY COMMISSION 

 ANNUAL FREEDOM OF INFORMATION ACT REPORT 

 FY 2008 

I. BASIC INFORMATION REGARDING REPORT 

1. Contact with questions about the report. 

Toyia Johnson 

FOIA Liaison 

Federal Energy Regulatory Commission 

888 First Street, NE, Code EA-10 

Washington, DC 20426 

 Toyia.Johnson@ferc.gov

Telephone : 202-502-8389 

FAX Number: 202-208-2106 

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

http://www.ferc.gov/legal/ceii-foia/foia/ann-rep.asp

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

Write to the following address: 

Public Reference and Files Maintenance Branch Federal Energy Regulatory 

Commission 888 First Street, NE, Room 2A Washington, DC 20426 

Telephone: 202-502-8371 

FAX Number: 202-208-2320 

E-Mail: public.referenceroom@ferc.gov 

II. MAKING A FOIA REQUEST 

1. Name, address, and telephone number of agency component that receive 

FOIA requests.

Patricia Schaub 

Acting Director, Office of External Affairs 

FOIA Officer 

Federal Energy Regulatory Commission 

888 First Street, NE, Code EA-1 

Washington, DC 20426 

Telephone: 202-502-8004 
 2 

Requests may be submitted by mail, electronic mail or by utilizing the online 

FOIA form at http://www.ferc.gov/legal/ceii-foia/foia 

 

Please refer to the FOIA Reference Guide on the Commission's Web Site 

http://www.ferc.gov/legal/ceii-foia/foia/guide/basics.asp 

2. Some FOIA requests are not granted because (a) the agency has no 

responsive documents, (b) the responsive documents fall within one or more 

FOIA exemptions and are not appropriate for discretionary release, or (c) a 

request has been rendered moot because the responsive documents were 

subsequently released through other means, such as a negotiated disclosure in 

the course of a Commission proceeding. 

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS 

1. Agency-specific acronyms or other terms. 

a. Track One Requests -- the processing track for a FOIA request that 

is seeking records that are readily identifiable or were 

previously cleared for release. 

b. Track Two Requests -- the processing track for a FOIA request that is 

seeking records that are readily identifiable and require limited review. 

c. Track Three Requests -- the processing track for a FOIA request that 

is seeking records that are complex and/or voluminous and require a 

significant search and/or review. 

2. Definitions of terms used in this Report: 

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

review at a higher administrative level a FOIA determination made by 

the agency at the initial request level. 

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

group of numbers by the quantity of numbers in the group. For 

example, of 3, 7, and 14, the average number is 8. 

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

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

statutory time period for a response. 

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

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

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

processes FOIA requests. The FOIA now requires that agencies 
 3 

include in their Annual FOIA Report data for both the agency overall 

and for each principal component of the agency. All FOIA requests 

for the Federal Energy Regulatory Commission are received and 

processed by the Washington DC branch. 

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

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

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

agency in receipt of the consultation finishes its review of the record, it 

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

will then respond to the FOIA requester. 

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

from disclosure and which the agency relies on to withhold 

information under subsection (b)(3) of the FOIA. 

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

agency for access to records concerning another person (i.e., a “thirdparty” request), or concerning an organization, or a particular topic of 

interest. FOIA requests also include requests made by requesters 

seeking records concerning themselves (i.e., “first-party” requests) 

when those requesters are not subject to the Privacy Act, such as nonU.S. citizens. Moreover, because all first-party requesters should be 

afforded the benefit of both the access provisions of the FOIA as well 

as those of the Privacy Act, FOIA requests also include any first-party 

requests where an agency determines that it must search beyond its 

Privacy Act “systems of records” or where a Privacy Act exemption 

applies, and the agency looks to FOIA to afford the greatest possible 

access. All requests which require the agency to utilize the FOIA in 

responding to the requester are included in this Report. 

Additionally, a FOIA request includes records referred to the agency 

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

however, include records for which the agency has received a 

consultation from another agency. (Consultations are reported 

separately in Section XII of this Report.) 

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

response to a FOIA request. 

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

response to a FOIA request because the records are exempt in their 

entireties under one or more of the FOIA exemptions, or because of a 

procedural reason, such as when no records could be located.
 4 

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

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

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

requiring relatively minimal review are placed in one processing track 

and more voluminous and complex requests are placed in one or more 

other tracks. Requests granted expedited processing are placed in yet 

another track. Requests in each track are processed on a first in/first 

out basis. 

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

on an expedited basis when a requester satisfies the 

requirements for expedited processing as set forth in the statute 

and in agency regulations. 

ii. Simple Request – a FOIA request that an agency using multitrack processing places in its fastest (non-expedited) track based 

on the low volume and/or simplicity of the records requested. 

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

multi-track processing places in a slower track based on the 

high volume and/or complexity of the records requested. 

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

agency decision to disclose portions of the records and to withhold 

other portions that are exempt under the FOIA, or to otherwise deny a 

portion of the request for a procedural reason. 

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

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

all respects. 

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

such records and is made in accordance with published rules stating 

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

o. Processed Request or Processed Administrative Appeal – a request 

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

all respects. 

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

process requests or administrative appeals. 

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

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

perfected FOIA request). 
 5 

3. Include the following concise descriptions of the nine FOIA exemptions: 

a. Exemption 1: classified national defense and foreign relations 

information 

b. Exemption 2: internal agency rules and practices 

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

another federal law 

d. Exemption 4: trade secrets and other confidential business 

information 

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

protected by legal privileges 

f. Exemption 6: information involving matters of personal privacy 

 

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

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

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

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

adjudication, (C) could reasonably be expected to constitute an 

unwarranted invasion of personal privacy, (D) could reasonably be 

expected to disclose the identity of a confidential source, (E) would 

disclose techniques and procedures for law enforcement investigations 

or prosecutions, or would disclose guidelines for law enforcement 

investigations or prosecutions, or (F) could reasonably be expected to 

endanger the life or physical safety of any individual 

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

institutions 

i. Exemption 9: geological information on wells 
 6 

IV. EXEMPTION 3 STATUTES 

A. List of Exemption 3 statutes relied on by the Commission during 

FY 2008. 

1. All Exemption 3 statutes relied upon to withhold information and 

the number of times they were relied upon. 

2. Statement of whether a court upheld the use of this statute. Our 

use of the statute has not been challenged in court. 

Statute Type of 

InformationWithheld

Case 

Citation

Agency 

Overall

Total Number of Times 

Relied upon by Agency

16 U.S.C. § 470aa, et seq. 

(1994) [Specifically 

16 U.S.C. § 470hh(a)] 

Archaeological survey data None Federal 

Energy 

Regulatory 

Commission 

2 

. 
 7 

V. FOIA REQUESTS 

A. Received, Processed and Pending FOIA Requests 

1. The numbers of received, processed, and pending requests. 

Column 1 Column 2 Column 3 Column 4

Number of 

Requests 

Pending as of 

Start of 

Fiscal Year

Number of 

Requests 

Received in 

Fiscal Year

Number of 

Requests 

Processed in 

Fiscal Year

Number of 

Requests Pending 

as of End of Fiscal 

Year

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

AGENCY 

OVERALL 

Federal Energy 

Regulatory 

Commission 

(FERC) 

11 111 96 26 
 8 

B.(1) Disposition of FOIA Requests – 

1. The number of request di

Number 

of 

Full 

Grants

Number 

of 

Partial 

Grants/ 

Partial 

Denials

Number of 

Full Denials 

Based on 

Exemptions

Number of 

No 

Records

All Records 

Referred to 

Another 

Component 

or Agency

Request 

Withdrawn

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

AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

39 21 12 11 1 11 
 9 

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

 Based on Reasons Other than Exemptions” from Section V, B (1) Chart 

Component Description of “Other” Reasons 

for Denials from Chart B (1) & 

Number of Times Those Reasons 

Were Relied upon 

TOTAL 

Federal Energy Regulatory 

Commission (FERC) 

 N/A N/A 

 

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

Ex. 

1 

Ex. 

2

Ex. 

3 

Ex. 

 4 

Ex. 

5

Ex. 

6 

Ex. 

7(A)

Ex. 

 (B)

Ex. 

7(C)

Ex. 

7(D)

Ex. 

7(E)

Ex. 

7(F) 

Ex. 

8

Ex. 

9 

 0 0 0 0 0 0 0 0 0 0 0 0 0 0 

AGENCY 

OVERALL 

Federal Energy 

Regulatory 

Commission 

(FERC) 

0 0 2 8 9 16 2 0 1 0 0 2 0 0 

 
 10 

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA 

REQUESTS 

A. Received, Processed and Pending Administrative Appeals 

 Column 1 Column 2 Column 3 Column 4 

Number of 

Appeals Pending 

 as of Start of 

Fiscal Year 

Number of 

Appeals Received 

in Fiscal Year 

Number of 

Appeals 

Processed in 

Fiscal Year 

Number of 

Appeals Pending 

as of End of 

Fiscal Year 

 0 8 7 1 

B. Disposition of Administrative Appeals – All Processed Appeals 

Number 

Affirmed on 

Appeal

Number Partially 

Affirmed & Partially 

Reversed/Remanded 

on Appeal

Number Completely 

Reversed/Remanded 

on Appeal

Number of 

Appeals 

Closed for 

Other 

Reasons

TOTAL

 3 0 0 4 7 

C. (1) Reasons for Denial on Appeal – Number of Times Exemptions Applied 

Ex. 

1 

Ex. 

2 

Ex. 

3 

Ex. 

4 

Ex. 

5 

Ex. 

6 

Ex. 

7(A) 

Ex. 

7(B) 

Ex. 

7(C) 

Ex. 

7(D) 

Ex. 

7(E) 

Ex. 

7(F) 

Ex. 

8 

Ex. 

 9 

0 0 0 1 1 1 0 0 0 0 0 0 0 0 
 11 

C. (2) Reasons for Denial on Appeal – Reasons Other th

1. Number of administrative appeals resulting i

No 

Records

Records 

Referred 

at Initial 

Request 

Level

Request 

Withdrawn

FeeRelated 

Reason

Records 

not 

Reasonably 

Described

Impro

Requ

 for O

Reaso

0 0 0 2 0 0 

C. (3) Reasons for Denial on Appeal – “Other” Reasons 

Descriptions of the “other” reasons and the num

Description of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied upon 

Description # Description # 
 12 

C. (4) Response Time for Administrative Appeals

 1. Provide the median, average, and range in nu

C. (5) Ten Oldest Pending Administrative Appeals 

 1. Dates of receipt of the ten oldest pending adm

 10th Oldest  Appeal 9th 8th 7th 6th Date of Receipt of Ten Oldest Appeals 

N/A 

Date 

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

Number of Days Pending 

0 0 0 0 0 

Median Number

of Days

Average Number

of Days

 28 27 
 13 

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSE

A. Processed Requests – Response Time for All Process

1. Median, average and range in number of day

TRACK 1 TRACK 2 

Median Number of Days 

Average Number of Days 

Lowest Number of Days 

Highest Number of Days 

Median Number of Days 

AveragNumbof Day

 N/A N/A N/A N/A N/A N/A AGENCY OVERALLFederal Energy Regulatory Commission (FERC) 

19 18 1 40 21 25 
 14 

MNuof 

 N/AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

0 
 15 

B. Processed Requests – Response Time for Perfected R

1. The median, average and range in number of d

which information was granted. (“Granted” re

TRACK 1 TRACK 2 Median Number of Days 

Average Number of Days 

Lowest Number of Days 

Highest Number of Days 

Median Number of Days 

AveragNumbof Day

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

AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

19 20 4 36 29 34 
 16 

MeNumof D

 N/A AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

0 
 17 

C. Processed Requests – Response Time in Day Increments 

1. The number of perfected requests processed 

Increments. 

TRACK 1 

1-20 Days 

21-40 Days 

41-60 Days 

61-80 Days 

81-100 Days 

101-120 Days 

121-140 Days 

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

AGENCY OVERALL Federal Energy Regulatory Commission (FERC)

27 17 0 0 0 0 0 
 18 

TRACK 

1-20 Days 

21-40 Days 

41-60 Days 

61-80 Days 

81-100 Days 

101-120 Days 

121-140 Days 

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

AGENCY OVERALL Federal Energy Regulatory Commission (FERC)

3 6 0 0 0 0 1 
 19 

TRACK 

1-20 Days 

21-40 Days 

41-60 Days 

61-80 Days 

81-100 Days 

101-120 Days 

121-14Days 

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

AGENCY OVERALL Federal Energy Regulatory Commission (FERC)

1 2 0 1 0 1 0 
 20 

REQUESTS GRANTED EXPEDITED PR

1-20 Days 

21-40 Days 

41-60 Days 

61-80 Days 

81-100 Days 

101-120 Days 

121-140 Days 

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

AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

0 0 0 0 0 0 0 

1 No requests for expedited processing were granted. However, som

the ten day statutory response timeline, therefore, making the request 
 21 

D. Pending Requests – All Pending Perfected Requests

1. Number of perfected requests pending as of the end of the fiscal year, 

and the median and average number of days those requests had been 

pending. 

TRACK 1 TRACK 2 TRACK 3

Number 

Pending 

Median 

Number 

of Days 

Average 

Number 

of Days 

Number 

Pending 

Median 

Number 

of Days 

Average 

Number 

of Days 

Number 

Pending 

Median 

Number 

of Days 

Average 

Number 

of Days 

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

AGENCY 

OVERALL 

Federal 

Energy 

Regulatory 

Commission 

(FERC) 

12 16.5 16 8 5 8 6 9.5 132 

EXPEDITED

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

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

AGENCY OVERALL 

Federal Energy Regulatory Commission 

(FERC) 

0 0 0 0 
 22 

E. Pending Requests – Ten Oldest Pending Perfected R

1. Dates of receipt of the ten oldest perfected reque

of days those requests had been pending. 

2 FOIA number FY04-191 was on hold for 252 days in FY 2006 at t

Date of Receipt of Ten Oldest Pending 

10th 

Oldest 

Request 

and 

Number 

of Day 

Pending 

9th 8th 7th 6

 N/A N/A N/A N/A N/A Agency Overall Federal Energy Regulatory Commission (FERC) 

9/15/08 11 days 

9/8/08 16 days 

9/5/08 17 days 

9/4/08 18 days 

9/319 
 23 

VIII. REQUESTS FOR EXPEDITED PROCESSING A

 FEE WAIVER

• Information for adjudicated requests for expedit

requests for expedited processing or requests for 

include requests for expedited processing or reqand, as a result, were neither granted nor denied

A. Requests for Expedited Processing 

1. Requests for expedited processing mad

the administrative appeal level. 

Number Granted

Number Denied

MNDA

 N/A N/A NAGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

0 8 1

. 
 24 

B. Requests for Fee Waiver 

1. Requests for a waiver of fees made bot

 at the administrative appeal level. 

Number Granted

Number Denied

 N/A N/A AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

0 6 
 25 

IX. FOIA PERSONNEL AND COSTS

A. Personnel 

PERSONNEL 

Number of 

“Full-Time 

FOIA 

Employees”

Number of 

“Equivalent 

Full-Time 

FOIA 

Employees” 

Tota

Numbe

“Full-T

FOIA S

 N/A N.A N/A 

AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

1 3.54 4.54 
 26 

X. FEES COLLECTED FOR PROCESSING REQUESTS 

Total Amount of FCollected 

N/A 

AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

$2637.59 
 27 

XI. FOIA REGULATIONS 

• Electronic links to FERC’s FOIA regulations 

FOIA REGULATION: 18 C.F.R. § 38

http://www.ac

FEE SCHEDULE: http://www.ferc.go

XII. BACKLOGS, CONSULTATIONS, AND COMPARISON

A. Backlogs of FOIA Requests and Administrative App

1. The number of FOIA requests and administr

period as of the end of the fiscal year. (Such r

Number of Backlogged 

Requests as of End of 

Fiscal Year 

N/A 

AGENCY OVERALL Federal Energy Regulatory Commission (FERC) 

1 
 28 

 B. Consultations on FOIA Requests – Received, Processed, 

• The consultation portions of the Annual Repo

other agencies, not sent to other agencies. 

 Column 1 Colu

Number of Consultations 

Received from Other 

Agencies that Were 

Pending at Your Agency 

as of Start of the Fiscal 

Year

Number of 

Consultations 

Received from 

Other Agencie

During the Fisc

Year

 N/A N/A AGENCY OVERALL Federal Energy Regulatory Commission (FERC)

0 0 
 29 

C. Consultations on FOIA Requests – Ten Oldest Con

Your Agency 1. Provide the dates of receipt of the ten oldest 

agency as of the end of the fiscal year. 

10th Oldest 

Consultation 

and Number 

of Days 

Pending 

9th 8th 7th 6

 N/A N/A N/A N/A N/A Agency Overall Federal Energy Regulatory Commission (FERC) 

0 0 0 0 0 

Date Number of Days 

0 0 0 0 0 
 30 

D. Comparison of Numbers of Requests from Previous and Current 

Annual Report – Requests Received, Processed, and Backlogged 

1. The number of requests received and the number of 

requests processed during the fiscal year from last year’s 

Annual Report and the number of those received and 

processed during the fiscal year from the current Annual 

Report. 

 Column 1 Column 2 Column 3 Column 4 

NUMBER OF REQUESTS 

RECEIVED

NUMBER OF REQUESTS 

PROCESSED

Number Received 

During Fiscal 

Year from Last 

Year’s Annual 

Report

Number 

Received 

During Fiscal 

Year from 

Current 

Annual 

Report

Number 

Processed 

During Fiscal 

Year from Last 

Year’s Annual 

Report

Number Processed 

During Fiscal Year 

from Current 

Annual Report

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

Agency 

Overall 

Federal Energy 

Regulatory 

Commission 

(FERC)

99 111 104 96
 31 

Column 1 Column 2 

Number of Backlogged 

Requests as of End of 

the Fiscal Year from 

Previous Annual Report 

Number of Backlogged Requests 

as of End of the Fiscal Year from 

Current Annual Report 

N/A N/A 

AGENCY 

OVERALL 

Federal Energy Regulatory Commission 

(FERC) 

Data not required to be 

reported until FY2009 

1 
 32 

E. Comparison of Numbers of Administrative Appeals from Previous 

and Current Annual Report – Appeals Received, Processed, and 

Backlogged 

1. The number of administrative appeals received and the number of 

administrative appeals processed during the fiscal year from last 

year’s Annual Report and the number of those received and 

processed during the fiscal year from the current Annual Report. 

 

Column 1 Column 2 Column 3 Column 4

NUMBER OF APPEALS RECEIVED NUMBER OF APPEALS PROCESSED

Number Received 

During Fiscal Year 

from Last Year’s 

Annual Report

Number 

Received During 

Fiscal Year from 

Current Annual 

Report

Number Processed 

During Fiscal Year 

from Last Year’s 

Annual Report

Number Processed 

During Fiscal Year 

from Current 

Annual Report

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

Agency 

Overall 

Federal Energy 

Regulatory 

Commission 

(FERC)

9 8 11 7 
 33 

Column 1 Column 2 

Number of Backlogged 

Appeals as of End of the 

Fiscal Year from 

Previous Annual Report 

Number of Backlogged Appeals 

as of End of the Fiscal Year from 

Current Annual Report 

N/A N/A 

AGENCY 

OVERALL 

Federal Energy Regulatory Commission 

(FERC) 

Data not required to be 

reported until FY2009 

0 
 34 

 

F. Discussion of Other FOIA Activities (Optional) 

1. Agency’s efforts to improve FOIA administration. 

The Commission is continuing its efforts to acquire additional software to handle FOIA 

requests in the most efficient manner possible. This software would assist the Commission in 

streamlining the FOIA process by using templates for routine correspondence, permit 

requesters to view the status of request on our webpage and easily identify similar FOIA 

requests. 

We are also developing additional training for pertinent staff members to make sure 

that they are abreast of new developments regarding FOIA regulations and have a clear 

understanding of their role in the FOIA process. 
 35