FEDERAL ENERGY REGULATORY COMMISSION 

Annual Freedom of Information Act Report 

FY 2012 

 February 
 2 

FEDERAL ENERGY REGULATORY COMMISSION 

 ANNUAL FREEDOM OF INFORMATION ACT REPORT 

 FY 2012 

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 
 3 

 Requests may be submitted via: 

 Online FOIA request form: http://www.ferc.gov/legal/ceii-foia/foia 

 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. 
 4 

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 “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 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 
 5 

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.

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 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. 
 6 

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). 

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 
 7 

IV. EXEMPTION 3 STATUTES 

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

FY 2012. 

Statute Type of Information 

Withheld

Case Citation Total Number of 

Times Relied upon by 

Agency

16 U.S.C. § 470hh 

(Archaeological 

Resources Protection Act 

of 1979) 

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). 

 4 

 

V. FOIA REQUESTS 

A. Received, Processed and Pending FOIA Requests 

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

 

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

Federal Energy 

Regulatory 

Commission 

(FERC)

 5 

 

 74 

 

 65 

 

 14 

 
 8 

B.(1) Disposition of FOIA Requests – 

Number 

of Full 

Grants 

Number 

of 

Partial 

Grants/ 

Partial 

Denials 

Number of Full 

Denials Based 

on Exemptions 

Number of F

No Records All Records 

Referred to 

Another 

Component 

or Agency

Request 

Withdrawn

Federal Energy Regulatory Commission (FERC)

18 28 

6

5 0 

8 
 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 0 

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 

Federal 

Energy 

Regulatory 

Commission 

(FERC)

0 1 4 11 10 16 0 0 0 0 1 1 0 0 

 
 10 

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA 

REQUESTS 

A. Received, Processed and Pending Administrative Appeals 

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 

 1 5 5 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

 4 0 0 1 5 

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 0 

 

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 

Improper 

Request 

for Other 

Reasons 

NAR

 1 0 0 0 0 0 

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

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

Federal Energy Regulatory Commission (FERC) 

 
 12 

C. (4) Response Time for Administrative Appeals

C. (5) Ten Oldest Pending Administrative Appeals 

 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

 27 38 
 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

*Request was on hold for 252 days in FY2006 at the behest of the re

 SIMPLE  (Track 1) 

 COM (Track 

Median Number of Days 

Average Number of Days 

Lowest Number of Days 

Highest Number of Days 

Median Number of Days 

Average Number of Days 

Federal Energy Regulatory Commission (FERC)

 24 23 4 80 28 99 
 14 

B. Processed Requests – Response Time for Perfected R

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

which information was granted. (“Granted” re

 SIMPLE  (Track 1) 

 CO (Track 

Median Number of Days 

Average Number of Days 

Lowest Number of Days 

Highest Number of Days 

Median Number of Days 

Average Number of Days 

Federal Energy Regulatory Commission (FERC)

 25 23 11 34 30 128 
 15 

 C. Processed Requests – Response Time in Day Increm 1. 

SIMPLE  (TRACK 1) 

1-20 Days 

21-40 Days 

41-60 Days 

61-80 Days 

81-100 Days 

101-120 Days 

121-140 Days 

Federal Energy Regulatory Commission (FERC)

 10 20 0 0 0 0 0 
 16 

2. 

COMPL

(includes Track 2 

1-20 Days 

21-40 Days 

41-60 Days 

61-80 Days 

81-100 Days 

101-120 Days 

121-140 Days 

Federal Energy Regulatory Commission (FERC)

 16 13 1 0 0 0 0 
 17 

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 

Federal Energy Regulatory Commission (FERC)

 0 0 0 0 0 0 0 
 18 

D. Pending Requests – All Pending Perfected Requests

SIMPLE 

 (Track 1) 

COMPLEX 

(Includes Track 2 & Track 3) 

EXPEDITED

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 

Federal 

Energy 

Regulatory 

Commission 

(FERC)

 6 9 21 8 47 79 0 0 0 
 19 

E. Pending Requests – Ten Oldest Pending Perfected R

Date of Receipt of Ten Oldest Pending 

10th Oldest 

Request and 

Number of 

Day Pending 

9th 

8th 

7th 

6

Federal Energy Regulatory Commission (FERC)

9/13/12 11 days

9/10/12 14 days 

8/31/12 19 days 

8/30/12 20 days 

8/1034 d
 20 

VIII. REQUESTS FOR EXPEDITED PROCESSING A

 FEE WAIVER

A. Requests for Expedited Processing 

Number Granted

Number Denied

MNDA

Federal Energy Regulatory Commission (FERC)

 0 3 
 21 

B. Requests for Fee Waiver 

Number Granted

Number Denied

Federal Energy Regulatory Commission (FERC)

 0 2 
 22 

IX. FOIA PERSONNEL AND COSTS

A. Personnel 

PERSONNEL 

Number of “Full-Time FOIA Employees” 

Number of 

“Equivalent 

Full-Time 

FOIA 

Employees” 

Total Numb“Full-Time FOIA Staff” 

sum of Colum

Federal Energy Regulatory Commission (FERC)

 1 3.12 4.12 
 23 

X. FEES COLLECTED FOR PROCESSING REQUESTS 

Total Amount of Fees Collected 

Federal Energy Regulatory Commission (FERC)

215.00 
 24 

XI. FOIA REGULATIONS The Commission's FOIA regulations, 18 C.F.R. § 388.108, can be http://www.gpo.gov/fdsys/pkg/CFR-2011-title18-vol1/pdf/CFR-2011-titleXII. BACKLOGS, CONSULTATIONS, AND COMPARISON

A. Backlogs of FOIA Requests and Administrative App

Number of Backlogged 

Requests as of End of 

Fiscal Year 

Federal Energy Regulatory Commission (FERC)

6 
 25 

B. Consultations on FOIA Requests – Received, Proces

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

Federal Energy Regulatory Commission (FERC)

0 0 
 26 

C. Consultations on FOIA Requests – Ten Oldest Con

Your Agency 

10th Oldest 

Consultation 

and Number 

of Days 

Pending 

9th 

8th 

7th 

Federal Energy Regulatory Commission (FERC) Date Number of Days 

N/A 

0 

N/A 0 

N/A 0 

N/A 0 

N/0 
 27 

D. Comparison of Numbers of Requests from Previous and Current 

Annual Report – Requests Received, Processed, and Backlogged 

1. 

 

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 

Federal Energy 

Regulatory 

Commission 

(FERC) 

 81 74 92 65
 28 

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 

Federal Energy Regulatory 

Commission 

(FERC) 

*4 6 

*This number was amended from the FY2011 report to reflect rolling requests. 
 29 

E. Comparison of Numbers of Administrative Appeals from Previous 

and Current Annual Report – Appeals Received, Processed, and 

Backlogged 

1. 

 

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 

Federal 

Energy 

Regulatory 

Commission 

(FERC) 

15 5 14 5 
 30 

 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 

Federal Energy 

Regulatory Commission 

(FERC) 

0 1 

 
 31