FEDERAL ENERGY REGULATORY COMMISSION

Leonard Tao

Chief FOIA Officer

CHIEF FOIA OFFICER REPORT

MARCH 2018
2018 CHIEF FOIA OFFICER REPORT 

FEDERAL ENERGY REGULATORY COMMISSION

Leonard Tao

Chief FOIA Officer 

Director of the Office of External Affairs

 SECTION 1

STEPS TAKEN TO APPLY THE PRESUMPTION OF OPENESS 

FOIA Training:

1. Did your FOIA professionals or the personnel at your agency who have 

FOIA responsibilities attend any FOIA training or conference during the 

reporting period such as that provided by the Department of Justice?

Yes. FOIA professional attended the American Society of Access Professionals 10th 

National Training Conference and the Chief FOIA Officers Council Meeting.

2. If yes, please provide a brief description of the type of training attended 

or conducted and the topics covered.

The Chief FOIA Officers Council meeting provided guidance to FOIA Liaisons on 

how to improve their interaction with requesters. Individuals from the requester 

community shared their insight and offered suggestions on how their FOIA 

experience could be improved. The 10th National Training conference provided 

guidance on proper steps that should be taken by agencies when they are involved in 

FOIA litigation, encouraged that agencies apply more discretionary releases of 

material and emphasized the importance of proper record management. 

3. Provide an estimate of the percentage of your FOIA professionals and 

staff with FOIA responsibilities who attended substantive FOIA 

training during this reporting period.
FERC has one full time FOIA professional. Internal training was provided for new 

employees and refresher training was provided to staff. Special training sessions 

were also conducted for specific program offices that address the majority of FOIA 

requests. These accounted for 80% of the individuals that work on FOIA requests. 

4. OIP has directed agencies to “take steps to ensure that all of their FOIA 

professionals attend substantive FOIA training at least once throughout 

the year.” If your response to previous question is that less than 80% of 

your FOIA professionals attended training, please explain your agency’s 

plan to ensure that all FOIA professionals receive or attend substantive 

FOIA training during the next reporting years. 

 B. Outreach

5. Did your FOIA professionals engage in any outreach or dialogue with

the requester community or open government groups regarding your 

administration of the FOIA?

N/A

 C. Other Initiatives

6. Describe any efforts your agency has undertaken to inform non-FOIA 

professionals of their obligations under the FOIA.

Training for new employees and refresher training advised individuals of their role 

and obligations under FOIA. This includes an employee’s obligations to provide 

responsive material along with an opinion regarding the impact of the possible 

release of such material. These elements are critical to have a successful FOIA 

program. 

7. If there are any other initiatives undertaken by your agency to ensure that 

the presumption of openness is being applied, please describe them here.

N/A
 SECTION II

STEPS TAKEN TO ENSURE THAT YOUR AGENCY HAS AN 

EFFECTIVE SYSTEM IN PLACE FOR RESPONDING TO 

REQUESTS

1. For Fiscal Year 2017, what was the average number of days your 

agency reported for adjudicating requests for expedited processing? 

Please see Section VIII.A. of your agency's Fiscal Year 2017 Annual FOIA 

Report.

8

2. If your agency's average number of days to adjudicate requests for 

expedited processing was above ten calendar days, please describe the 

steps your agency will take to ensure that requests for expedited 

processing are adjudicated within ten calendar days or less.

 N/A

3. During the reporting period, did your agency conduct a self-assessment 

of its FOIA program? If so, please describe the methods used, such as 

reviewing Annual Report data, using active workflows and track

management, reviewing and updating processing procedures, etc.

N/A

4. The FOIA Improvement Act of 2016 requires additional notification to 

requesters about the services provided by the agency’s FOIA Public 

Liaison. Please provide an estimate of the number of times requesters 

sought assistance from your agency’s FOIA Public Liaison during FY 2017 

(please provide a total number or an estimate of the number).

60

5. Optional Survey Question: If possible, please provide an estimate of the 

average number of pages that your agency processes for each request. You 

may provide estimates for each track.

N/A
6. If there are any other steps your agency has undertaken to ensure 

that your FOIA system operates efficiently and effectively, such as improving 

search processes, eliminating redundancy, etc., please describe them here.

During this period we have experienced an increase in requests for email 

communications. In an effort to assist with this process we have increased 

interaction with IT experts for assistance with conducting more precise searches to 

identify specific and/or multiple key words more effectively. 

 SECTION III

STEPS TAKEN TO INCREASE PROACTIVE 

DISCLOSURES

Please answer the following questions to describe the steps your agency has taken 

to increase the amount of material that is available on your agency websites. In 

addition to the questions below, you should also describe any additional steps 

taken by your agency to make and improve proactive disclosures of information.

1. Provide examples of material that your agency has proactively disclosed 

during the past reporting year, including links to the posted material.

The FERC elibrary includes an index of documents that have been filed at 

FERC or issued by FERC. Public documents can be viewed online. 

http://www.ferc.gov/docs-filing/elibrary.asp

The following material reflects some of the items that have been posted to the 

FERC webpage.

FERC Calendar

Commission Meetings, Conferences, Hearings and Scoping Meetings

http://www.ferc.gov/EventCalendar/EventsList.aspx?CalendarID=0&Date=6/1/2017&View=listview&DisplayString=All

+Events%20-%20June%202017&IsSearch=false

(Can select date)

February 27, 2018 

FERC Staff Inquiry Finds No Withholding of Pipeline Capacity in New England Markets News Release

February 14, 2018
FERC's Open Access Podcast: Commissioner LaFleur on her 2018 priorities Podcast

January 23, 2018 - Chairman Kevin J. McIntyre Testimony before the Senate Energy & Natural 

Resource subcommittee on the Performance of the Electric Power System in the Northeast and 

Mid-Atlantic Under Certain Weather Conditions Transcript

January 23, 2018 

Chairman Kevin J. McIntyre Testimony before the Senate Energy & Natural Resource subcommittee on 

the Performance of the Electric Power System in the Northeast and Mid-Atlantic Under Certain Weather 

Conditions Testimony | Event Details

January 19, 2018 

FERC Statement on Operations if Congress Does Not Pass a New Funding Resolution Read More

RM17-2-

000

January 19, 

2017

Uplift Cost Allocation and Transparency in Markets Operated by Regional 

Transmission Organizations and Independent System Operators (Notice of 

Proposed Rulemaking)

January 8, 2018

FERC Initiates New Proceeding on Grid Resilience, Terminates DOE NOPR Proceeding News Release | 

Order

December 21, 2017

Item E-1: FERC Proposes to Require Expanded Cyber Security Incident Reporting News 

Release | Presentation | NOPR

» Visit our Electric Reliability section

December 21, 2017 

FERC to Review its 1999 Pipeline Policy Statement News Release

December 20, 2017 - Meet Chairman Kevin J. McIntyre: 

FERC Chairman Kevin J. McIntyre sits down for his first Open Access interview to discuss his views on 

energy and his goals as Chairman, recorded December 15, 2017 Transcript
MP3

YouTube

iTunes

November 16, 2017 2017 Report on Enforcement

Decisions and notices (can select date)

http://www.ferc.gov/docs-filing/dec-not/2017/oct.asp

September 20, 2017 

Items E-1, E-2, & E-3: FERC Issues Final Rules to Enhance Bulk Electric System Resilience, 

Reliability News Release | Order No. 836 | Order No. 837 | NOPR

» Visit our Electric Reliability section

September 12, 2017 

FERC Announces 2018 Open Meeting Schedule News Release

RM16-19-000 August 17, 

2017 

Annual Charges for Use of Government Lands in Alaska (Notice of 

Proposed Rulemaking)

City of Rockingham, North Carolina, et al. v. FERC, et al.

No. 15-2535 (4th Cir. July 6, 2017)

http://www.ferc.gov/legal/court-cases.asp

June 23, 2017

FERC Staff Issues Final Environmental Impact Statement for the Mountain Valley Project and Equitrans 

Expansion Project (CP16-10-000 and CP16-13-000) Read More

June 1, 2017 - Joint Statement of Acting Chairman Cheryl A. LaFleur and Commissioner Colette D. 

Honorable on Tuscarawas River Horizontal Directional Drill - Drilling Fluid Composition Read More | 

Letter to Rover Pipeline

May 3, 2017 - Terry Turpin opening statement before the House E&C Committee Transcript

Of Current Interest

» Oroville Dam Service Spillway (P-2100)

http://www.ferc.gov/industries/hydropower/safety/projects/oroville.asp
April 13, 2017 FERC Staff Issues the 2016 State of the Markets Report

2. Did your agency use any means to publicize or highlight important 

proactive disclosures for public awareness? If yes, please describe these 

efforts.

FERC utilized Twitter and Facebook to inform the public of important issuances 

and other FERC activities. FERC also offered subscription service that provided 

realtime notification of FERC filings and issuances. This notification included a 

direct link to material in the FERC elibrary. 

3. Beyond posting new material, is your agency taking steps to make the 

posted information more useful to the public, especially to the community of 

individuals who regularly access your agency’s website?

Yes

4. If yes, please provide examples of such improvements.

Ongoing efforts to enhance search capabilities and other functions in online services 

and created podcasts and videos to provide an overview of FERC’s functions and 

responsibilities. 

5. If there are any other steps your agency has taken to improve proactive 

disclosures, please describe them here.

FERC will continue to pursue potential opportunities to increase proactive

disclosures and implement them accordingly.

 SECTION IV

STEPS TAKEN TO GREATER UTILIZE TECHNOLOGY
1. Has your agency identified any best practices to leverage 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 de-duplicate documents? 

If yes please describe the best practices, the types of technology used and the 

impact on your agency’s processing.

FERC has established an internal platform for Staff to share material and is also 

reviewing it’s FOIA tracking system to implement upgrades, as necessary.

2. Did your agency successfully post all four quarterly reports for Fiscal 

Year 2017?

NO. 

3. If your agency did not successfully post all quarterly reports, 

with information appearing on FOIA.gov, please explain why and provide 

your agency’s plan for ensuring that such reporting is successful in Fiscal

Year 2018.

During FY2018 FERC will continue to focus on enhancing the FOIA tracker to 

increase the quality of the data. We expect to use this data to automate the 

production of quarterly reports. 

 4. The FOIA Improvement Act of 2016 requires all agencies to post the 

 raw statistical data used to compile their Annual FOIA Reports. 

 Please provide the link to this posting for your agency’s Fiscal Year 

 2016 Annual FOIA Report and, if available, for your agency’s Fiscal 

 Year 2017 Annual FOIA Report.

We are currently working to comply

 5. If there are any other steps your agency has taken to improve use

 of technology in FOIA, please describe them here.

N/A

 SECTION V

STEPS TAKEN TO IMPROVE TIMELINES IN RESPONDING 

TO REQUESTS AND REDUCING BACKLOGS
The President’s FOIA Memorandum and the Attorney General’s 2009 FOIA Guidelines have emphasized 

the importance of improving timeliness in responding to requests. This section of your Chief FOIA Officer 

Report addesses 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, appeals, and consultations.

For the figures required in this Section, please use the numbers contained in the specified sections of 

your agency’s 2016 Annual FOIA Report and, when applicable, your agency’s 2017 Annual FOIA Report.

A. Simple Track:

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 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.

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

Yes

Simple - These requests are identified as track 1. 

Complex – These requests are identified as track 2 and 3. 

 Track 2. Requests for documents that are readily identifiable and require 

limited review. 

 Track 3. Requests for documents that are complex and/or voluminous and 

require a significant search and/or review. 

 2. If so, for your agency overall in Fiscal Year 2017, was the

 average number of days to process simple requests twenty working 

 days or fewer?

NO (The average number of processing days was 34)

 3. Please provide the percentage of requests processed by your

 agency in Fiscal Year 2017 that were placed in your simple track.

74% 

 4. If your agency does not track simple requests separately, was

 the average number of days to process all non-expedited requests

 twenty working days or fewer?

N/A

B. Backlogs
Section XII.A of your agency’s Annual FOIA Report, entitled "Backlogs of FOIA Requests and 

Administrative Appeals" shows the numbers of any backlogged requests or appeals from the fiscal year. 

You should refer to these numbers from your Annual FOIA Reports for both Fiscal Year 2016 and Fiscal 

Year 2017 when completing this section of your Chief FOIA Officer Report.

BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 

2017, did that backlog decrease as compared with the backlog reported at 

the end of Fiscal Year 2016?

NO 

6. If not, explain why and describe the causes that contributed to your 

agency not being able reduce its backlog. When doing so, please also 

indicate if any of the following were contributing factors:

There was an increase in the number of requests that were received and 

processed in 2017. Some of the requests involved complex issues that required 

additional processing time. 

7. If you had a request backlog please report the percentage of requests 

that make up the backlog out of the total number of requests received by 

your agency in Fiscal Year 2017.

14% 

BACKLOGGED APPEALS

8. If your agency had a backlog of appeals at the close of Fiscal Year 

2017, did that backlog decrease as compared with the backlog reported at 

the end of Fiscal Year 2016?

N/A 

9. If not, explain why and describe the causes that contributed to your 

agency not being able reduce backlog. When doing so, please also indicate 

if any of the following were contributing factors:

N/A 

10. If you had an appeal backlog please report the percentage of appeals 

that make up the backlog out of the total number of appeals received by 

your agency in Fiscal Year 2017. If your agency did not receive any 

appeals in Fiscal Year 2017 and/or has no appeal backlog, please answer 

with "N/A."
N/A 

C. Backlog Reduction Plans

11. In the 2017 guidelines for Chief FOIA Officer Reports, any agency with 

a backlog of over 1000 requests in Fiscal Year 2016 was asked to provide 

a plan for achieving backlog reduction in the year ahead. Did you agency 

implement a backlog reduction plan last year? If so, describe your 

agency’s efforts in implementing this plan and note if your agency was 

able to achieve backlog reduction in Fiscal Year 2017?

N/A

12. If your agency had a backlog of more than 1,000 requests in Fiscal 

Year 2017, what is your agency’s plan to reduce this backlog during Fiscal 

Year 2018?

N/A

D. Status of Ten Oldest Requests, Appeals, and Consultations

Status of Ten Oldest Requests, Appeals, and Consultations:

Status of Ten Oldest Requests, Appeals, and Consultations: Section VII.E, entitled "Pending 

Requests – Ten Oldest Pending Requests," Section VI.C.(5), entitled "Ten Oldest Pending Administrative 

Appeals," and Section XII.C., entitled "Consultations on FOIA Requests – Ten Oldest Consultations 

Received from Other Agencies and Pending at Your Agency," show the ten oldest pending requests, 

appeals, and consultations. You should refer to these numbers from your Annual FOIA Reports for both 

Fiscal Year 2017 and Fiscal Year 2016 when completing this section of your Chief FOIA Officer Report.

TEN OLDEST REQUESTS

13. In Fiscal Year 2017, did your agency close the ten oldest requests that 

were reported pending in your Fiscal Year 2016 Annual FOIA Report?

NO
14. If no, please provide the number of these requests your agency was 

able to close by the end of the fiscal year, as listed in Section VII.E of your 

Fiscal Year 2016 Annual FOIA Report. If you had less than ten total oldest 

requests to close, please indicate that.

4

15. Of the requests your agency was able to close from your ten oldest, 

please indicate how many of these were closed because the request was 

withdrawn by the requester. If any were closed because the request was 

withdrawn, did you provide any interim responses prior to the 

withdrawal?

N/A

TEN OLDEST APPEALS

16. In Fiscal Year 2017, did your agency close the ten oldest appeals that were 

reported pending in your Fiscal Year 2016 Annual FOIA Report?

N/A (No oldest Appeals)

17. If no, please provide the number of these appeals your agency was 

able to close by the end of the fiscal year, as listed in Section VII.C.(5) of 

your Fiscal Year 2016 Annual FOIA Report. If you had less than ten total 

oldest appeals to close, please indicate that.

N/A

TEN OLDEST CONSULTATIONS

18. In Fiscal Year 2017, did your agency close the ten oldest consultations 

that were reported pending in your Fiscal Year 2016 Annual FOIA 

Report?

N/A

19. If no, please provide the number of these consultations your agency was 

able to close by the end of the fiscal year, as listed in Section XII.C. of your 

Fiscal Year 2016 Annual FOIA Report. If you had less than ten total oldest 

consultations to close, please indicate that.

N/A
E. Additional Information on Ten Oldest Requests, Appeals, and 

Consultations & Plans

20. Briefly explain any obstacles your agency faced in closing its ten 

oldest requests, appeals, and consultations from Fiscal Year 2017.

These requests dealt with complex matters and/or large volumes of material and 

were processed on a rolling basis. 

21. If your agency was unable to close any of its ten oldest requests 

because you were waiting to hear back from other agencies on 

consultations you sent, please provide the date the request was initially 

received by your agency, the date when your agency sent the 

consultation, and the date when you last contacted the agency where the 

consultation was pending.

N/A

22. If your agency did not close its ten oldest pending requests, appeals, 

or consultations, please provide a plan describing how your agency 

intends to close those “ten oldest” requests, appeals, and consultations

during Fiscal Year 2017.

FERC will work aggressively and focus necessary resources to successfully reach 

our goal of completing the ten oldest pending requests by the end of FY2018.

F. Success Stories

Out of all the activities undertaken by your agency since March 2017 to increase 

transparency and improve FOIA administration, please briefly describe here at 

least one success story that you would like to highlight as emblematic of your 

agency’s efforts. The success story can come from any one of the five key areas. As

noted above, OIP will highlight these agency success stories during Sunshine 

Week. To facilitate this process, all agencies should use bullets to describe their 

success story and limit their text to a half page.

The success story is designed to be a quick summary of key achievements. A 

complete description of all your efforts will be contained in the body of your Chief 

FOIA Officer Report.

N/A