FEDERAL ENERGY REGULATORY COMMISSION 

Leonard Tao 

Chief FOIA Officer 

CHIEF FOIA OFFICER REPORT 

March 2012 
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Section I: Steps Taken to Apply the Presumption of Openness 

1. Did your agency hold an agency FOIA conference, or otherwise conduct training during 

 this reporting period? 

During FY2011 FERC conducted numerous training sessions for program 

offices. These sessions focused on proper interpretation of the scope of 

requests and conducting an adequate search of contractors. All Staff 

are encouraged to provide electronic versions of responsive material. 

2. Did your FOIA professionals attend any FOIA training, such as that provided by the 

Department of Justice? 

Yes. ‘Referrals, Consultations and Coordination’ training that was 

presented by the Department of Justice. 

3. Did your agency make any discretionary releases of otherwise exempt information? 

During FY2011 four full discretionary releases and four partial 

discretionary releases were made to requesters. 

4. What exemptions would have covered the information that was released as a matter of 

discretion? 

Exemption 5.

5. Describe your agency’s process to review records to determine whether discretionary releases are 

possible. 

When a request is received that may implicate Exemption 5, the 

FOIA officer communicates with program offices within the agency 

to determine whether a discretionary release may be undertaken in 

accordance with guidelines set forth in the Attorney General’s 

memorandum dated March 2009. 

6. Describe any other initiatives undertaken by your agency to ensure that the presumption of openness 

is being applied. 

The focus during the review process now emphasizes that 

documents that pose no reasonable expectation of foreseeable 

harm be considered for release or at a minimum partial release. 
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7. Did your agency have an increase in the number of responses where records were released in full? 

No. 

Breakdown of full disclosures: 

 PROCESSED FULL 

 FY2011 92 15 

FY2010 114 25 

8. Did your agency have an increase in the number of responses where records were released in part? 

No. 

Breakdown of partial disclosures: 

 PROCESSED PARTIAL 

 FY2011 92 32 

FY2010 114 38 

Section II: Steps Taken to Ensure that Your Agency 

Has an Effective System in Place for Responding to Requests 

1. Do FOIA professionals within your agency have sufficient IT support? 

Yes. The FOIA professionals have always had access to IT 

professionals. However, during FY2011 a new team of IT experts 

were assigned to work directly with the FOIA professionals to gain 

an overall understanding of the dynamics of the FOIA process, to 

enhance technical support and assist with new FOIA software 

issues. 

2. Is there regular interaction between agency FOIA professionals and the Chief FOIA Officer? 

Yes. The Chief FOIA Officer participates in daily briefings 

regarding the status of FOIA requests and the FOIA program in 

its entirety. 
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3. Do your FOIA professionals work with your agency’s Open Government Team? 

The FOIA professionals and Open Government team conduct 

periodic briefings, as necessary. 

4. Describe the steps your agency has taken to assess whether adequate staffing is being devoted to 

FOIA administration. 

FERC continuously monitors that amount of processing time 

that is required for each request to identify areas for 

improvement. 

5. Describe any other steps your agency has undertaken to ensure that your FOIA system operates 

efficiently and effectively. 

Developed better communication with program offices to 

properly identify appropriate responsive material at the 

beginning of the process to prevent processing delays. 

Section III: Steps Taken to Increase Proactive Disclosures 

1. Has your agency added new material to your website since last year? 

FERC continues to post documents of interest on the FERC 

webpage and E-library. Approximately 24,424 new issuances, 

such as orders, notices, rulemakings, etc, and 64,848 new 

submittals that include settlements, Applications, comments, 

etc. were added to the FERC e-library in FY2011. 

2. Provide examples of the records, datasets, videos, etc., that have been posted this past year. 

The list below is a partial listing of material that has been posted 

to our webpage since October 1, 2010. 

September 22, 2011 - Presentation at the Northern California Power Agency 

(NCPA) 2011 Annual Conference

September 7, 2011 - Presentation at the ISO Stakeholder Symposium

August 8, 2011 - Presentation at the Utility Commissioners/Wall Street Dialogue

August 2, 2011 - Presentation at the 2011 Wind Turbine Reliability Workshop
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July 21, 2011 - Chairman Wellinghoff's statement on Transmission Planning and 

Cost Allocation Read More

May 9, 2011 

FERC, NERC Combining Southwest Outage Inquiry Efforts News Release

May 5, 2011 

Joseph McClelland testifies before the Senate Energy and Natural Resources 

Committee on Cyber Security Testimony | Event Details 

April 26, 2011 

Visit FERC's new section on Tree Trimming & Vegetation Management 

April 21, 2011 

Item A-3: Staff presents the State of the Markets 2010

April 21, 2011 

Item G-1: FERC orders $30 million fine against former Amaranth trader News 

Release | Decision

March 30, 2011 

FERC and U.S. Army Corps of Engineers sign agreement on hydropower News 

Release | MOU

March 17, 2011 

Item E-5: FERC seeks comment on horizontal market power analysis News 

Release | NOI » Visit our Mergers Section 

March 3, 2011 - Chairman Wellinghoff at the Powering the People Conference

 Video - http://www.ferc.gov/multimedia/030311-wellinghoff.asp

February 3, 2011 

FERC staff issues Assessment of Demand Response & Advanced Metering 

Report News Release | Report | Survey Data 

January 20, 2011 

Item A-3: Study identifies tools to help ensure grid reliability News Release | 

Chairman's Statement | Commissioners' Statements: Spitzer | Report | 

Supporting Documents | Notice Inviting Comments on Report

 » Visit our Electric Reliability Section 

December 16, 2010 

Item G-1: FERC establishes new Five-Year Oil Pipeline Rate Index News 

Release | Decision » Visit our Oil Section 
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November 18, 2010 

Items G-3 & G-4: FERC launches investigations into Pipeline Rates News 

Release | Chairman's Statement | Commissioners' Statements: Moeller and Norris | 

Decisions: G-3 and G-4

November 18, 2010 

Items E-4, E-5, E-6 & E-7: FERC clarifies ROE policy for Electric Transmission 

Projects News Release | Decisions: E-4 , E-5 , E-6 and E-7

 » Visit our Transmission Investment Section 

October 21, 2010 

Items G-1 & G-2: FERC seeks comment on intrastate pipeline capacity transfers 

News Release | NOI | Decision G-2

 » Visit our Gas Pipelines Section 

October 7, 2010 

FERC takes first step in smart grid rulemaking process News Release | Notice

3. Describe the system your agency uses to routinely identify records that are appropriate for 

posting. 

FERC systematically reviews FOIA requests to identify the types 

of material that are most frequently sought by requesters and 

determining if this information can be made available 

proactively. 

4. Beyond posting new material, is your agency taking steps to make the information more useful to 

the public, especially to the community of individuals who regularly access your agency’s website, 

such as soliciting feedback on the content and presentation of the posted material, improving 

search capabilities, providing explanatory material, etc.? 

FERC has always had online tips to provide guidance to users 

on how to conduct searches and easily identify material of 

interest on the webpage and e-library. Users are also 

encouraged to contact the Public Reference Room 

public.referenceroom@ferc.gov and the public inquiries 

division in the Office of External Affairs PubInqDL@ferc.gov for 

assistance with searches and inquiries. System status updates 

are provided on the webpage along with tips to address 

specific concerns that have been raised by users. 

5. Describe any other steps taken to increase proactive disclosures at your agency. 
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The FERC webpage is routinely updated to reflect new topics of 

interest. The e -library is continuously updated to reflect real 

time filings and submittals for proceedings at FERC. It provides 

access to over two million documents with over 10 million 

pages that have been archived over more than 20 years. It 

contains electronic versions of documents issued by FERC from 

1989 to present, microfilm of documents for 1981 to 1995, native 

files electronically submitted from November 2000 to present. 

Members of the public can instantaneously access public 

material in the e-library. http://www.ferc.gov/docsfiling/elibrary.asp

The FERC webpage includes grouping by various industries, 

new releases, Policy Statements, Memorandums of 

Understanding, Staff reports, Federal Statutes, Major Orders and 

Regulations, settlements, and court cases. http://www.ferc.gov

Members of the public are encouraged to register for 

eSubscription service for each proceeding that may be of 

interest to them. This service provides real time notification of 

activity in each proceeding. http://www.ferc.gov/docsfiling/esubscription.as

Section IV: Steps Taken to Greater Utilize Technology 

Electronic receipt of FOIA requests: 

1. Can FOIA requests be made electronically to your agency? 

Yes. 

2. If your agency processes requests on a decentralized basis, do all components of your agency receive 

requests electronically? 

FERC is comprised of one FOIA component and has the ability to 

receive FOIA requests electronically. 
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Online tracking of FOIA requests:

3. Can a FOIA requester track the status of his/her request electronically? 

No. 

4. If not, is your agency taking steps to establish this capability? 

Yes. 

Use of technology to facilitate processing of requests: 

5. Beyond using technology to redact documents, is your agency taking steps to utilize more advanced 

technology to facilitate overall FOIA efficiency, such as improving record search capabilities, utilizing 

document sharing platforms for consultations and referrals, or employing software that can sort and deduplicate documents? 

Yes. 

6. If so, describe the technological improvements being made. 

FERC is currently working with in house IT experts to create a new 

tracking system, and expect to fully utilize this new system to prepare 

subsequent FOIA Annual Reports. We expect this system to provide 

real-time online status information for requesters and routinely add 

postings of responsive documents to the webpage. We also 

anticipate that this system will provide a more efficient method of 

document management that will include electronic storage, 

retrieval and sharing documents. Processing time will be reduced by 

utilizing correspondence templates and relying on new automated 

tracking and alert notifications for staff. 

Section V: Steps Taken to Improve Timeliness in 

Responding to Requests and Reduce Backlogs 

The President and the Attorney General have emphasized the importance of improving timeliness in 

responding to requests. This section addresses both time limits and backlog reduction. Backlog reduction 

is measured both in terms of numbers of backlogged requests or appeals and by looking at whether 

agencies closed their ten oldest requests and appeals. For the figures required in this Section, please use 

those contained in the specified sections of your agency’s 2011 Annual FOIA Report.

1. Section VII.A of your agency’s Annual FOIA Report, entitled “FOIA Requests – Response Time for 

All Processed Requests,” includes figures that show your agency's average response times for 

processed requests. For agencies utilizing a multi-track system to process requests, there is a 
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category for “simple” requests, which are those requests that are placed in the agency’s fastest 

(non-expedited) track, based on the low volume and/or simplicity of the records requested. If 

your agency does not utilize a separate track for processing simple requests, answer the question 

below using the figure provided in your report for your non-expedited requests. 

a. Does your agency utilize a separate track for simple requests? 

Yes. 

b. If so, for your agency overall, for Fiscal Year 2011, was the average number of days to 

process simple requests twenty working days or fewer? 

No. The average number of days for simple requests was 23 

days. 

c. If your agency does not track simple requests separately, was the average number of days 

to process non-expedited requests twenty working days or fewer? 

N/A

2. Sections XII.D.(2) and XII.E.(2) of your agency’s Annual FOIA Report, entitled “Comparison of 

Numbers of Requests/Appeals from Previous and Current Annual Report – Backlogged 

Requests/Appeals,” show the numbers of any backlog of pending requests or pending appeals 

from Fiscal Year 2011 as compared to Fiscal Year 2010. You should refer to those numbers when 

completing this section of your Chief FOIA Officer Report. In addition, Section VII.E, entitled 

“Pending Requests – Ten Oldest Pending Requests,” and Section VI.C.(5), entitled “Ten Oldest 

Pending Administrative Appeals,” from both Fiscal Year 2010 and Fiscal Year 2011 should be used 

for this section. 

a. If your agency had a backlog of requests at the close of Fiscal Year 2011, did that backlog 

decrease as compared with Fiscal Year 2010? 

No. FERC had one backlog request at the close of FY2010 

that is still open. 

b. If your agency had a backlog of administrative appeals in Fiscal Year 2011, did that 

backlog decrease as compared to Fiscal Year 2010? 

FERC had no backlog. 

c. In Fiscal Year 2011, did your agency close the ten oldest requests that were pending as of 

the end of Fiscal Year 2010? 

No. There is one pending request that was reported on the 

2010 FOIA Annual Report as one of the ten oldest pending 

requests. We are continuing to work closely with the 

requester to provide the remainder of responsive material, if 
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any, to satisfy this request. We expect to resolve this matter 

in the near future. 

d. In Fiscal Year 2011, did your agency close the ten oldest administrative appeals that were 

pending as of the end of Fiscal Year 2010? 

N/A 

3. If you answered “no” to any of the above questions, describe why that has occurred. In doing so, 

answer the following questions then include any additional explanation: 

 Request Backlog: 

a. Was the lack of a reduction in the request backlog a result of an increase in the number of 

incoming requests? No 

b. Was the lack of a reduction in the request backlog caused by a loss of staff? No. 

c. Was the lack of a reduction in the request backlog caused by an increase in the complexity 

of the requests received? No. 

d. What other causes, if any, contributed to the lack of a decrease in the request backlog? 

N/A

 Administrative Appeal Backlog: 

e. Was the lack of a reduction in the backlog of administrative appeals a result of an increase 

in the number of incoming appeals? N/A

f. Was the lack of a reduction in the appeal backlog caused by a loss of staff? N/A

g. Was the lack of a reduction in the appeal backlog caused by in increase in the complexity 

of the appeals received? N/A

h. What other causes, if any, contributed to the lack of a decrease in the appeal backlog? 

N/A

All agencies should strive to both reduce any existing backlogs or requests and appeals and to improve 

their timeliness in responding to requests and appeals. Describe the steps your agency is taking to make 

improvements in those areas. In doing so, answer the following questions and then also include any other 

steps being taken to reduce backlogs and to improve timeliness. 

1. Does your agency routinely set goals and monitor the progress of your FOIA caseload? Yes

2. Has your agency increased its FOIA staffing? No
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3. Has your agency made IT improvements to increase timeliness? Yes

4. If your agency receives consultations from other agencies, has your agency taken steps to improve 

the efficiency of the handling of such consultations, such as utilizing IT to share the documents, or 

establishing guidelines or agreements with other agencies on the handling of particular 

information to speed up or eliminate the need for consultations? Yes

Use of FOIA’s Law Enforcement “Exclusions” 

In order to increase transparency regarding the use of the FOIA’s statutory law enforcement 

exclusions, which authorize agencies under certain exceptional circumstances to “treat the records as not 

subject to the requirements of [the FOIA],” 5 U.S.C. § 552(c)(1), (2), (3), please answer the following 

questions: 

1. Did your agency invoke a statutory exclusion during Fiscal Year 2011? No

2. If so, what is the total number of times exclusions were invoked? N/A

Spotlight on Success 

Out of all the activities undertaken by your agency since March 2011 to increase transparency and 

improve FOIA administration, describe here one success story that you would like to highlight as 

emblematic of your agency’s efforts. 

FERC expended a considerable amount of time working directly with 

vendors to identify the best system to meet the needs of our agency. 

This included participating in a pilot project that lasted for several 

months. We believe that the experience that was gained from this 

pilot project will greatly enhance our ability to work closely with our IT 

experts to develop a high performance FOIA system. The new FOIA 

system will enhance FERC’s ability to more effectively and nimbly 

respond to citizens’ FOIA requests so that FERC may maximize an 

already high level of compliance with the law.