FEDERAL ENERGY REGULATORY COMMISSION

ANNUAL FREEDOM OF INFORMATION ACT REPORT

FY 1999

I. Basic Information Regarding the Report

A. Contact with questions about the report.

Heide Sanford

FOIA Liaison

Federal Energy Regulatory Commission

888 First Street, NE, Code EA-20

Washington, DC 20426

Telephone : 202-208-0857

FAX Number: 202-208-0500

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

http://www.ferc.fed.us/foia/1999annr.pdf

C. 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 : 202-208-1371

FAX Number: 202-208-2320

E-Mail : Public.ReferenceRoom@FERC.fed.us

II. How to Make a FOIA Request

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

(http://www.ferc.fed.us/foia/frefguide.htm)

A. Name, address, and telephone number of individual receiving FOIA requests at the
Commission.

Kathleen M. Hirning

Director, Office of External Affairs

Federal Energy Regulatory Commission

888 First Street, NE, Code EA-1

Washington, DC 20426

Telephone: 202-208-0004

B. The Commission's most rapid response for FY 1999 equaled one day. The longest

response time for FY 1999 equaled 438 days.

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

documents, (b) some or part of the material requested falls within one or more of the

exemptions to FOIA and is not appropriate for discretionary release, or (c) another

method of providing the material to the requester is negotiated, such as having the

requester become an intervener in a Commission proceeding.

III. Definitions of Terms and Acronyms Used in the Report

A. Agency-specific acronyms or other terms.

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

records that are readily identifiable and were previously cleared for release.

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

records that are readily identifiable and require limited review.

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

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

significant search and/or review.

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 the 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 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 withholding 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 the Commission during FY 1999.

1. The National Defense Authorization Act of 1997, Pub. L. No. 104-201, §

821, 110 Stat. 2422 codified at 41 U.S.C. 

§ 253b(m), prohibits agencies from releasing the proposals of unsuccessful

offerers.

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

To our knowledge, the statute has not been considered by the courts.

V. Initial FOIA/PA Access Requests

A. Numbers of initial requests.

1. Number of requests pending 

as of end of preceding fiscal year : 24

2. Number of requests received during 

current fiscal year : 67
3. Number of requests processed 

during fiscal year : 77

4. Number of requests pending as of

end of current fiscal year : 14

B. Disposition of initial requests.

1. Number of total grants : 20

2. Number of partial grants : 9

3. Number of denials : 48

a. Number of times each FOIA 

exemption used

(1) Exemption 1 : 0

 (2) Exemption 2 : 1

 (3) Exemption 3 : 1

 (4) Exemption 4 : 3

 (5) Exemption 5 : 7

 (6) Exemption 6 : 1

 (7) Exemption 7(A) : 2

 (8) Exemption 7(B) : 0

 (9) Exemption 7(C) : 0

 (10) Exemption 7(D): 2

 (11) Exemption 7(E): 0

 (12) Exemption 7(F): 0

 (13) Exemption 8 : 0
 (14) Exemption 9 : 1

4. Other reasons for nondisclosure

a. No records : 18

b. Referrals : 3

c. Request withdrawn : 24

d. Fee-related reason : 1

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 : 0

VI. Appeals in Initial Denials of FOIA/PA Requests

A. Numbers of appeals.

1. Number of appeals received

during fiscal year : 3

2. Number of appeals processed

during fiscal year : 3

B. Disposition of appeals.

1. Number completely upheld : 1

2. Number partially reversed : 1

3. Number completely reversed : 0 
a. Number of times each

FOIA exemption used

(1) Exemption 1 : 0

(2) Exemption 2 : 0

 

(3) Exemption 3 : 0

(4) Exemption 4 : 0

(5) Exemption 5 : 1

(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

a. No records : 0

b. Referrals : 0

c. Request withdrawn : 1

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 : 0 

VII. Compliance with Time Limits/Status of Pending

Requests

A. Median processing time for requests 

processed during the year.

1. Track one requests

a. Number of requests processed : 15

b. Median number of days to

process : 12

2. Track two requests

a. Number of requests processed : 50

b. Median number of days to

process : 68

3. Track three requests

a. Number of requests processed : 11

b. Median number of days to

process : 42

4. Requests accorded expedited

processing : 0

a. Number of requests processed

b. Median number of days to

process
B. Status of pending requests

1. Track one requests

a. Number of requests pending

as of end of current fiscal 

 year : 0

b. Median number of days that

such requests were pending as

 of that date : 0

2. Track two requests

a. Number of requests pending

as of end of current fiscal

year : 12

b. Median number of days that

such requests were pending as

of that date : 113

3. Track three requests

a. Number of requests pending

as of end of current fiscal

year : 2

b. Median number of days that

such requests were pending as

of that date : 8

VIII. Comparisons with Previous Year(s): N/A

A. There was a 32% decrease in the number of requests received in FY 1999 as

compared to FY 1998.

B. There were 10% fewer requests processed in FY 1999 than in FY 1998.

C. The median number of days requests were pending as of the end of FY 1999 is

42% smaller as compared to the end of FY 1998.

D. Other statistics significant to agency: None
E. Other narrative statements describing agency efforts to improve timeliness of

FOIA performance and to make records available to the public (e.g., backlogreduction efforts; specification of average number of hours per processed

request; training activities; public availability of new categories of records).

It is possible that the Commission is experiencing a significant reduction in the

number of requests received as a result of the implementation of the FOIA

Web Page, as well as, the Commission's RIMS on the Web. RIMS identifies

documents in a proceeding. The system also allows documents to be printed

from the Web if they are dated after November 1995. 

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

work-years) : 1.41

3. Total number of personnel

(in work-years) : 1.41

B. Total costs.

1. FOIA processing : $497,000

2. Litigation-related activities : N/A

3. Total costs : $497,000

4. Comparison with 

previous year : 17% Inc.

X. Fees

A. Total amount of fees collected

processing requests : $2,660

B. Percentage of total costs : .54%
XI. FOIA Regulations (Including Fee Schedule)

The Commission's FOIA regulations, 18 C.F.R.

§ 388.108, can be accessed through GPO

(http://www.access.gpo.gov/nara/cfr/index.html)