FEDERAL ENERGY REGULATORY COMMISSION 

 Annual Freedom of Information Act Report 

 FY 2007 

 

 

 February 2008
2 

FEDERAL ENERGY REGULATORY COMMISSION 

ANNUAL FREEDOM OF INFORMATION ACT REPORT 

 FY 2007 

I. Basic Information Regarding the Report 

A. 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 

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

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

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: 202-502-8371 FAX Number: 202-208-2320 

E-Mail: public.referenceroom@ferc.gov

II. How to Make a FOIA Request 

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

(http://www.ferc.gov/legal/ceii-foia/foia/guide/basics.asp) 
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A. Name, address, and telephone number of individual receiving FOIA requests at the 

Commission. 

Andrew J. Black 

Director, Office of External Affairs 

Federal Energy Regulatory Commission 

888 First Street, NE, Code EA-1 

Washington, DC 20426 

Telephone: 202-502-8004 

B. The Commission's most rapid response for FY 2007 equaled seven days. The 

 longest response time for FY 2006 437 days. 

C. 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. 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 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.) 
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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 part of a record 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). 
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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 that adequately 

describes the records sought, that 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 withholding it 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 2007. 

 1. Statute/Rule: 16 U.S.C. § 470aa, et seq. (1994) [Specifically 

 16 U.S.C. § 470hh(a)] 

Type of Information Withheld: 

Archaeological survey data 

Case Citation: 

None 

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

use of the statute has not been challenged in 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: 16 

2. Number of requests received during current fiscal year: 99 

3. Number of requests processed during fiscal year: 104 
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4. Number of requests pending as of end of current fiscal year: 11 

A. Disposition of initial requests. 

1. Number of total grants: 32

2. Number of partial denials: 21 

3. Number of denials: 18

a. Number of times each FOIA exemption used 

(1) Exemption 1: 0 

(2) Exemption 2: 1 

(3) Exemption 3: 7

(4) Exemption 4: 5

(5) Exemption 5: 11

(6) Exemption 6: 10

(7) Exemption 7: 5

(8) Exemption 7(A): 0

(9) Exemption 7(B): 0

(10) Exemption 7(C): 0

(11) Exemption 7(D): 0

(12) Exemption 7(E): 1 

(13) Exemption 7(F): 4

(14) Exemption 8: 0 

(15) Exemption 9: 0 
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 4. Other reasons for nondisclosure: 33

a. No records: 20 

b. Referrals: 0

c. Request withdrawn: 13

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 

VI. Appeals of Initial Denials of FOIA/PA Requests 

A. Numbers of appeals. 

1. Number of appeals received during fiscal year: 9 

2. Number of appeals processed during fiscal year: 11 

B. Disposition of appeals. 

1. Number completely upheld: 7

2. Number partially reversed: 1

3. Number completely reversed: 2 

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: 2 

(4) Exemption 4: 1 

(5) Exemption 5: 3 

(6) Exemption 6: 0 
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(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): 1 

(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: 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 (specify) 

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: 29

 b. Median number of days to process: 17

2. Track two requests 

 a. Number of requests processed: 68 

 b. Median number of days to process: 22 
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3. Track three requests 

 a. Number of requests processed: 5 

 b. Median number of days to process: 22 

 4. Requests accorded expedited processing: 2

 a. Number of requests processed: 2 

 b. Median number of days to process: 11

 B. Status of pending requests. 

 1. Number of requests pending as of end of current fiscal year : 11 

2. Median number of days that such requests were pending as of that date: 24.5 

VIII. Comparisons with Previous Year 

A. The number of requests received in FY 2006 was 103 and in FY 2007, the 

number was 99, a 4% decrease in FY 2007. 

B. The number of requests processed in FY 2006 was 104 and in FY 2007, the number was 

104, no change. 

C. The median number of days requests were pending as of the end of FY 2006 was 9.5 and 

at the end of FY 2007, the number was 24.5, a 157% increase in FY 2007.1

 

D. Other statistics significant to agency: We received 17 requests for expedited treatment. 

We granted two. 

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). 

The Commission instituted the following new FOIA processing procedures to improve 

the timeliness of performance: (1) the search request to FERC offices for responsive 

documents is now sent by e-mail that includes the scanned incoming FOIA request; (2) 

the FOIA staff aggressively follows up with the Commission's offices on the progress of 

their search through e-mail; and (3) the search memorandum used by the FOIA 

administrative office to request a search has been updated. 

 

1

 The sharp increase in the median number of days pending is due to the fact that FY04-191 and 

FY05- 38 were on hold for 252 days in FY 2006 at the behest of the requester. 
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IX. Costs/FOIA Staffing 

 A. Staffing levels. 

1. Number of full-time FOIA personnel: 1 

2. Number of personnel with part-time or occasional 

FOIA duties (in total work-years): 3.90 

3. Total number of personnel (in work-years): 4.90 

B. Total costs. 

1. FOIA processing: $868,784 

2. Litigation-related activities: N/A 

3. Total costs: $868,784 

4. Comparison with previous year : 32% Increase

 

X. Fees 

A. Total amount of fees collected 

processing requests: $11,512.19 

B. Percentage of total costs: 1.3%

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) 

XII. REPORT ON EXECUTIVE ORDER 13,392 IMPLEMENTATION 

This section of the annual FOIA report contains the Federal Energy Regulatory Commission’s 

(FERC) description of its progress in implementing the milestones and goals of the agency's FOIA 

Improvement Plan that was submitted on June 14, 2006 in response to Executive Order 13,392. The 

reporting period for Section XII include progress made by components through December 2007 and 

often into January 2008. The reporting period for this section, Section XII, is different from that used 

for the rest of this report, which is based on data compiled for Fiscal Year 2007. 
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 A. Description of supplementation/modification of agency improvement plan (if applicable) 

On September 20, 2006, the FERC FOIA Improvement Plan was revised to specifically address 

the eight outstanding FOIA requests mentioned in paragraph (A) (page 1) of the agency plan previously 

submitted on June14, 2006. To address the outstanding requests, the agency added an eighth area of 

improvement, “8. Improvement for processing outstanding requests identified in the review”, complete 

with distinct steps, milestones and a means of measurement of success. 

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

 milestones, with respect to each improvement area 

During FY 2007, the Commission has met the established goals that were reflected in the FOIA 

improvement plan and the supplemental modification to the plan. Overall, the Commission FOIA 

program continues to strive to make adjustments as necessary to ensure that the program is as efficient 

and as user friendly as possible. This includes efforts to seek out new technology to enhance staff’s 

ability to track requests and provide more efficient reporting methods. In this regard, the Commission 

has established a working group to evaluate the recently enacted FOIA legislation to see how the 

program should be updated to meet the new mandates and goals of the legislation. 

Specifically, the Commission conducted the following steps to meet milestones with respect to 

each improvement area in the FOIA improvement plan:

1) Affirmative disclosure under subsection (a) (2)

In FY 2007, the Commission has continued to utilize its established policy for posting on its 

“eLibrary” website all documents filed and all final documents or orders, including press releases and 

the Commissioners’ formal statements, issued with respect to all proceedings or other actions taken by 

the Commission, including staff studies and reports. Documents that are not exempt under FOIA are 

routinely posted in “eLibrary” as “public” or made available through the public reference room. 

Additionally, documents disclosed under the FOIA process are routinely made available to individuals 

who request the identical material outside of the FOIA process to ensure that the material is received by 

the requesters in an expedient fashion. 

2) Overall FOIA Web site improvement

In FY 2007, the Commission continued its practice of periodically updating its FOIA website. 

The FOIA website is consistently updated: (1) to include information detailing the agency’s FOIA 

Requester Service Center and (2) to rearrange items on the website to enhance the overall clarity of the 

web pages, thereby making them easier to navigate and more user-friendly. This included updated 

contact information as FOIA personnel went through a period of transition. Also, in FY 2007, the 

Commission established a form for individuals to electronically submit FOIA requests in a simple and 

efficient manner. The electronic form is now the most utilized feature for submitting FOIA requests. 
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3) Automated tracking capabilities

In FY 2007, Commission staff fully utilized an automated tracking system. This system allows 

Commission staff to provide requesters with detailed updates on their requests. The Commission also 

has recently created an electronic depository of FOIA requests, e-mails, submitter’s rights letters, notices 

of intent to release documents and other pertinent information regarding these requests. This depository 

assists Commission staff in internally tracking requests and in providing the requester with materials 

relating to their requests. 

4) Acknowledgment letters

In FY 2007, the Commission fully implemented the process of sending out acknowledgment 

letters when a request is received. The acknowledgment letter is typically done in email format and 

includes a tracking number for the request and information on when the request should be completed. 

This system offers more transparency to the process and is consistent with recent legislation passed by 

Congress and signed by the President. 

5) Process by which necessary cooperation is obtained from agency program personnel 

In FY 2007, through meetings, training efforts and the selection of alternate program office staff, 

the Commission’s FOIA and program office staff continue to achieve the goal of working cooperatively 

in completing timely, accurate and adequate office searches in response to FOIA requests. Overall, these 

efforts are contributing to quicker FOIA response times. 

6) Additional training needed (formal and/or on-the-job) 

In FY 2007, the Commission has continued to provide appropriate training to staff concerning 

the FOIA process. This has included sending the FOIA liaison to Department of Justice FOIA training 

sessions and providing internal training for individuals who have been brought into the FOIA process. 

For the next fiscal year FOIA staff is developing an additional onsite training session for program offices 

to review the FOIA procedures and inform them of the recent FOIA legislation. The session will 

particularly emphasize the new requirement in the legislation that an agency may pay any necessary fees 

that may be incurred during the appeal process. 

7) Recycling of improvement information gleaned from FOIA Requester Service Center

In FY 2007, FOIA staff utilized verbal and electronic comments and suggestions to improve the 

process. For example, the Commission implemented an electronic FOIA request form upon the 

suggestions of past requesters. The Commission also made suggested changes to the website and 

clarified filing procedures to facilitate the request process. 
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8) Improvement for processing outstanding requests identified in the review

In FY 2007, FOIA staff has continued to work towards eliminating any backlog acquired during 

the processing of requests. FOIA staff has strived to limit the number of outstanding requests and to 

process requests in a manner that meets the requesters’ expectations. Specifically, staff met its goal of 

eliminating all backlog FOIA cases identified in the previous annual report. Our review of FY 2007 

data has identified four outstanding rolling requests. The status of these requests are reflected below: 

(1) Staff has provided initial determinations for two of these requests. The requesters have since 

filed appeals. Staff expects to reach a resolution with the requesters and close these requests by 

March 30, 2008. 

(2) One request has been placed on hold. This request will be closed if additional information is 

not provided by the requester by February 15, 2008. 

(3) The remaining request will be closed when staff provides the remaining third of the redacted 

document to the requester. This request will be closed by March 30, 2008. 

C. Identification and discussion of any deficiency in meeting plan milestones (if applicable) 

 Not applicable 

D. Additional narrative statement regarding other executive order-related activities (optional) 

Not applicable 

E. Concise descriptions of FOIA exemptions 

The nine exemptions to the FOIA authorize federal agencies to withhold information 

covering: (1) classified national defense and foreign relations information; (2) internal agency rules and 

practices; (3) information that is prohibited from disclosure by another federal law; (4) trade secrets and 

other confidential business information; (5) inter-agency or intra-agency communications that are 

protected by legal privileges; (6) information involving matters of personal privacy; (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; (8) information 

relating to the supervision of financial institutions; and (9) geological information on wells. 

 
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F. Additional Statistics: 

 1. Ten Oldest Pending FOIA Requests 

Calendar 

Year 

2000 2001 2002 2003 2004 2005 2006 2007 

Requests 0 0 0 0 10/27/04 

*rolling 

request

2/11/05 

*rolling 

request

0 9/21/07 

5/30/07 

rolling 

requests

2. Consultations 

 a.) Number of Consultations Received, Processed, and Pending

Consultations Received 

From Other Agencies 

During FY07 

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 

1999 2000 2001 2002 2003 2004 2005 2006 2007 

Consults 

Received 

0 0 0 0 0 0 0 0 0 

__________________________________ 

*

 These rolling requests were on hold for 252 days in FY 2006 at the behest of the requester.