1

FEDERAL ENERGY REGULATORY COMMISSION

Annual Freedom of Information Act Report

FY2013

 February 
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FEDERAL ENERGY REGULATORY COMMISSION

 ANNUAL FREEDOM OF INFORMATION ACT REPORT

 FY2013

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-1

Washington, DC 20426 

 Toyia.Johnson@ferc.gov

Telephone : 202-502-6088

Toll-free: 1-866-208-3372

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.

Leonard M. Tao

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 

 Toll Free: 1-866-208-3372

Requests may be submitted via:
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• Online FOIA request form: http://www.ferc.gov/legal/ceii-foia/foia/foianew-form/FOIARequest.aspx

• Mail: 888 First Street, NE, Code EA-1, Washington, DC 20426

• Fax: 202-208-2106

• E-mail: FOIA-CEII@ferc.gov

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. 

SIMPLE

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. 

COMPLEX

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. 
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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 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 “third-party” 

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

FOIA requests also include requests made by requesters seeking records 

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

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

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

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

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

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

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

the greatest possible access. All requests that 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.) 
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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.

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 multi-track 

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

low volume and/or simplicity of the records requested. 

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

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

a. Exemption 1: classified national defense and foreign relations

information 

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

personnel rules and practices of an agency.

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

federal law.

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

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

protected by legal privileges 

f. Exemption 6: information involving matters of personal privacy

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

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

reasonably 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 
IV. EXEMPTION 3 STATUTES 

Statute Type of Information

Withheld Case Citation Agency / Component

Number of 

Times

Relied upon

by Agency / 

Component

Total Number 

of

Times Relied 

upon

by Agency 

Overall

16 U.S.C. § 470hh Information pertaining to the nature 

and location of certain 

archaeological resources

Hornbostel v. U.S. Dep't of the 

Interior, 305 F. Supp. 2d 21, 30 

(D.D.C. 2003), summary affirmance 

granted, No. 03-5257, 2004 WL 

1900562 (D.C. Cir. Aug. 25, 2004).

FERC

8 8
V.A. FOIA REQUESTS -- RECEIVED, PROCESSED AND PENDING FOIA REQUESTS

Agency / Component

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

FERC 14 100 99 15

0

AGENCY OVERALL 14 100 99 15
V.B.(1). DISPOSITION OF FOIA REQUESTS -- ALL PROCESSED REQUESTS

Agency / 

Component

Number 

of Full 

Grants

Number 

of Partial 

Grants / 

Partial 

Denials

Number of 

Full Denials 

Based on 

Exemptions

Number of Full Denials Based on Reasons Other than Exemptions

No 

Records

All Records 

Referred to 

Another 

Component 

or Agency

Request 

Withdrawn

FeeRelated 

Reason

Records 

not 

Reasonably 

Described

Improper 

FOIA 

Request 

for Other 

Reason

Not 

Agency 

Record

Duplicate 

Request

Other 

*Explain 

in Chart 

Below

TOTAL

FERC 14 30 27 17 0 10 0 0 0 0 0 1 99

0

AGENCY 

OVERALL 14 30 27 17 0 10 0 0 0 0 0 1 99
V.B.(2). DISPOSITION OF FOIA REQUESTS -- "OTHER" REASONS FOR "FULL DENIALS 

BASED ON REASONS OTHER THAN EXEMPTIONS"

Agency / 

Component Description of "Other" Reasons for Denials from Chart B(1)

Number of Times 

"Other" Reason 

Was Relied Upon

TOTAL

FERC No Communication 1 1

AGENCY 

OVERALL 1
V.B.(3). DISPOSITION OF FOIA REQUESTS -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency / 

Component 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

FERC 0 1 8 19 20 18 5 1 1 0 5 9 0 1

AGENCY 

OVERALL 0 1 8 19 20 18 5 1 1 0 5 9 0 1
VI.A. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS --

RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS

Agency / Component

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

FERC 1 13 12 2

0

AGENCY OVERALL 1 13 12 2
VI.B. DISPOSITION OF ADMINISTRATIVE APPEALS -- ALL PROCESSED APPEALS

Agency / Component 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

FERC 6 4 1 1 12

0

AGENCY OVERALL 6 4 1 1 12
VI.C.(1). REASONS FOR DENIAL ON APPEAL -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency / 

Component 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

FERC 0 0 1 3 4 2 1 0 0 0 0 3 0 0

AGENCY 

OVERALL 0 0 1 3 4 2 1 0 0 0 0 3 0 0
VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS

Agency / 

Component

No 

Records

Records 

Referred at 

Initial 

Request 

Level

Request 

Withdrawn

FeeRelated 

Reason

Records 

not 

Reasonably 

Described

Improper 

Request 

for Other 

Reasons

Not 

Agency 

Record

Duplicate 

Request or 

Appeal

Request in 

Litigation

Appeal 

Based 

Solely on 

Denial of 

Request 

for 

Expedited 

Processing

Other 

*Explain in 

chart 

below

FERC 0 0 0 0 0 0 0 0 0 0 1

AGENCY 

OVERALL 0 0 0 0 0 0 0 0 0 0 1
VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS

Agency / 

Component Description of "Other" Reasons for Denial on Appeal from Chart C(2)

Number of Times 

"Other" Reason 

Was Relied Upon

TOTAL

FERC Appeal submitted prematurely / Moot 1 1

AGENCY 

OVERALL 1
VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS

Agency / Component Median Number of Days Average Number of 

Days Lowest Number of Days Highest Number of Days

AGENCY OVERALL 22.00 23.00 7.00 30.00
VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS

Agency / 

Component

10th 

Oldest 

Appeal

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

Appeal

Date of Appeal

Number of Days 

Pending

AGENCY 

OVERALL

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A2014-09-192014-09-16

Number of Days 

Pending 0 0 0 0 0 0 0 0 7 10
VII.A. FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

Agency / 

Component

SIMPLE COMPLEX EXPEDITED PROCESSING

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

AGENCY 

OVERALL 20 23 2 87 22 45 2 268 N/A N/A N/A N/A
VII.B. PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS 

GRANTED

Agency / 

Component

SIMPLE COMPLEX EXPEDITED PROCESSING

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

AGENCY 

OVERALL 20 25 10 87 30 62 17 212 N/A N/A N/A N/A
VII.C. PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / 

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100 

Days

101-120

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+

Days TOTAL

FERC 27 26 0 1 1 0 0 0 0 0 0 0 0 55

0

AGENCY 

OVERALL 27 26 0 1 1 0 0 0 0 0 0 0 0 55
VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / 

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100 

Days

101-120 

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+

Days TOTAL

FERC 19 18 0 1 0 1 0 0 2 1 2 0 0 44

0

AGENCY 

OVERALL 19 18 0 1 0 1 0 0 2 1 2 0 0 44
VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS

Agency / 

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100 

Days

101-120 

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+

Days TOTAL

FERC 0 0 0 0 0 0 0 0 0 0 0 0 0 0

0

AGENCY 

OVERALL 0 0 0 0 0 0 0 0 0 0 0 0 0 0
VII.D. PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS

Agency / Component

SIMPLE COMPLEX EXPEDITED PROCESSING

Number 

Pending

Median 

Number of 

Days

Average 

Number of 

Days

Number 

Pending

Median 

Number of 

Days

Average 

Number of 

Days

Number 

Pending

Median 

Number of 

Days

Average 

Number of 

Days

AGENCY OVERALL 6 7 7.5 9 23 77 0 N/A N/A
VII.E. PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS

Agency / 

Component

10th Oldest 

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

Date of Receipt

Number of Days 

Pending

AGENCY 

OVERALL

Date of Receipt 2013-09-132013-09-122013-09-042013-09-042013-09-032013-08-262013-08-212013-07-182013-02-152012-02-27

Number of Days 

Pending 11 12 18 18 19 24 30 51 156 398
VIII.A. REQUESTS FOR EXPEDITED PROCESSING

Agency / 

Component Number Granted Number Denied

Median Number of 

Days to 

Adjudicate

Average Number 

of Days to 

Adjudicate

Number 

Adjudicated 

Within Ten 

Calendar Days

AGENCY 

OVERALL 0 10 7.5 7.7 10
VIII.B. REQUESTS FOR FEE WAIVER

Agency / 

Component Number Granted Number Denied

Median Number of 

Days to 

Adjudicate

Average Number 

of Days to 

Adjudicate

AGENCY 

OVERALL 0 2 11 11
IX. FOIA PERSONNEL AND COSTS

Agency / 

Component

PERSONNEL COSTS

Number of "FullTime FOIA 

Employees"

Number of 

"Equivalent FullTime FOIA 

Employees"

Total Number of 

"Full-Time FOIA 

Staff"

Processing Costs Litigation-Related 

Costs Total Costs

FERC 1 3.21 4.21 $654,091.00 $0.00 $654,091.00

0 $0.00

AGENCY 

OVERALL 1 3.21 4.21 $654,091.00 $0.00 $654,091.00
X. FEES COLLECTED FOR PROCESSING REQUESTS

Agency / Component Total Amount of Fees 

Collected

Percentage of Total 

Costs

FERC $0.00 0.00%

AGENCY OVERALL $0.00 0.00%
XII.A. BACKLOGS OF FOIA REQUESTS AND ADMINISTRATIVE APPEALS

Agency / Component

Number of Backlogged 

Requests as of End of 

Fiscal Year

Number of Backlogged 

Appeals as of End of 

Fiscal Year

FERC 3 0

AGENCY OVERALL 3 0
XII.B. CONSULTATIONS ON FOIA REQUESTS -- RECEIVED, PROCESSED, AND 

PENDING CONSULTATIONS

Agency / Component

Number of 

Consultations Received 

from Other Agencies 

that were Pending at the 

Agency as of Start

of the Fiscal Year

Number of

Consultations Received

from Other Agencies 

During the Fiscal Year

Number of 

Consultations Received 

from Other Agencies 

that were Processed by 

the Agency During the 

Fiscal Year

Number of 

Consultations Received 

from Other Agencies 

that were Pending at the 

Agency as of End

of the Fiscal Year

FERC 0 2 2 0

0

AGENCY OVERALL 0 2 2 0
XII.C. CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES 

AND PENDING AT THE AGENCY

Agency / 

Component

10th Oldest 

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

Date

Number of Days

AGENCY 

OVERALL

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0
XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT --

REQUESTS RECEIVED AND PROCESSED

Agency / Component

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

FERC 74 100 65 99

AGENCY OVERALL 74 100 65 99
XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT 

ANNUAL REPORT -- BACKLOGGED REQUESTS

Agency / Component

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

FERC 6 3

AGENCY OVERALL 6 3
XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL 

REPORT -- APPEALS RECEIVED AND PROCESSED

Agency / Component

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

FERC 5 13 5 12

AGENCY OVERALL 5 13 5 12
XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM 

PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS

Agency / Component

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

FERC 1 0

AGENCY OVERALL 1 0