FEDERAL ENERGY REGULATORY COMMISSION

ANNUAL FREEDOM OF INFORMATION ACT REPORT

FY 2003

I. Basic Information Regarding the Report

A. Contact with questions about the report.

Gladys Crenshaw-Davis

FOIA Liaison

Federal Energy Regulatory Commission

888 First Street, NE, Code EA-20

Washington, DC 20426

Telephone : 202-502-8476

FAX Number: 202-208-2106

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

http://www.ferc.fed.us/foia/2001annr.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 : 202-502-8371

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.fed.us/foia/frefguide.htm)
- 2 -

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

Commission.

Kevin F. Cadden

Director, Office of External Affairs

Federal Energy Regulatory Commission

888 First Street, NE, Code EA-1

Washington, DC 20426

Telephone: 202-508-8004

B. The Commission's most rapid response for FY 2002 equaled one day. The longest 

response time for FY 2003 equaled 345 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 

- 3 -

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 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.

- 4 -

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 2003.

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

 

- 5 -

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 : 6

2. Number of requests received during 

current fiscal year :202

3. Number of requests processed 

during fiscal year :180

4. Number of requests pending as of

end of current fiscal year : 28

B. Disposition of initial requests.

1. Number of total grants : 62

2. Number of partial grants : 61

3. Number of denials : 15

a. Number of times each FOIA 

exemption used

(1) Exemption 1 : 2

 (2) Exemption 2 : 11
 (3) Exemption 3 : 10

 (4) Exemption 4 : 11

 (5) Exemption 5 : 15

 (6) Exemption 6 : 17

- 6 -

(7) Exemption 7 : 39

 (8) Exemption 7(A) : 6

 (9) Exemption 7(B) : 15

(10) Exemption 7(C) : 0

 (11) Exemption 7(D) : 0

 (12) Exemption 7(E) : 4

 (13) Exemption 7(F) : 18

 (14) Exemption 8 : 0 

 (15) Exemption 9 : 0

4. Other reasons for nondisclosure : 42

a. No records : 25

b. Referrals : 2

c. Request withdrawn : 15

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

- 7 -

VI. Appeals in Initial Denials of FOIA/PA Requests

A. Numbers of appeals.

1. Number of appeals received

during fiscal year : 12

2. Number of appeals processed

during fiscal year : 15

B. Disposition of appeals.

1. Number completely upheld : 8

2. Number partially reversed : 3

3. Number completely reversed : 1

a. Number of times each

FOIA exemption used

(1) Exemption 1 : 0

(2) Exemption 2 : 0

 

(3) Exemption 3 : 0

(4) Exemption 4 : 4

(5) Exemption 5 : 2
(6) Exemption 6 : 1

(7) Exemption 7(A) : 2

(8) Exemption 7(B) : 0

(9) Exemption 7(C) : 0

(10) Exemption 7(D) : 0

(11) Exemption 7(E) : 1

- 8 -

(12) Exemption 7(F) : 3

(13) Exemption 8 : 0

(14) Exemption 9 : 0

4. Other reasons for nondisclosure: 3

a. No records : 2

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 : 1
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 : 34

b. Median number of days to

process : 14.5

- 9 -

2. Track two requests

a. Number of requests processed : 98

b. Median number of days to

process : 30

3. Track three requests

a. Number of requests processed : 48

b. Median number of days to

process : 43.5

4. Requests accorded expedited

processing : 0

a. Number of requests processed : 0

b. Median number of days to : 0

process

B. Status of pending requests.

1. Track one requests
a. Number of requests pending

as of end of current fiscal 

 year : 5

b. Median number of days that

such requests were pending as

 of that date : 4

2. Track two requests

a. Number of requests pending

as of end of current fiscal

year : 21

- 10 -

b. Median number of days that

such requests were pending as

of that date : 13

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 : 10

VIII. Comparisons with Previous Year 

A. The number of requests received in FY 2002 was 331and in FY 2003, 

202, a 39% decrease in FY 2003.

B. The number of requests processed in FY 2002 was 367 and in 

FY 2003, 180, a 51% decrease in FY 2003.

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

FY 2002 was 178 and in FY 2003, 13, a 93% decrease in FY 2003.
D. Other statistics significant to agency: 

 We received one request for expedited treatment. We granted none.

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.

- 11 -

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) : 1

3. Total number of personnel

(in work-years) : 2

B. Total costs.

1. FOIA processing : $499,364

2. Litigation-related activities : N/A

3. Total costs : $499,364
4. Comparison with 

previous year : 57% Increase

X. Fees

A. Total amount of fees collected

processing requests : $7667

B. Percentage of total costs : 423% Increase

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)