FY2007FOIAannrpt.docreport to the DoJ332009-12-16T14:02:00Z2010-01-14T17:17:00Z2010-01-14T20:54:00Z131151776120321148412083511.0000Microsoft Word 97Federal Deposit Insurance CorporationAnnual Freedom of Information Act ReportFiscal Year 2009(For the period 10/01/2008 through 09/30/2009) I. BASIC INFORMATION REGARDING THIS REPORTThe FDIC contact person for questions about this report is Fredrick Lee Fisch, Supervisory Counsel, FOIA/Privacy Act Group, FDIC Legal Division, 550 17th St. NW, MB-2098, Washington, DC 20429; Telephone: (202) 898-6901; fax: (202) 898-6910.This report is available on the FDIC web site at http://www.fdic.gov/about/freedom/reports.html.A paper copy of this report may be obtained by downloading it from the FDIC web site or by requesting a copy from the FDIC Public Information Center, 3501 N. Fairfax Dr., Room E-1005, Arlington, VA 22226; Telephone: (703) 562-2200, or (877) 275-FDIC (3342); fax: (703) 562-2296 or e-mail: publicinfo@fdic.gov. II. MAKING A FOIA REQUEST TO THE FDICAll FOIA requests to the FDIC must be in writing and directed to the FOIA/Privacy Act Group, FDIC Legal Division, 550 17th St. NW, Washington, DC 20429. Requests may also be submitted electronically through the FDIC’s Electronic FOIA Office on the web site at www2.fdic.gov/efoiarequest/index.asp. The FDIC publication entitled, “FOIA Guide – Gaining Access to FDIC Information” explains in detail how to submit a FOIA request to the FDIC. The FOIA Guide is available on the FDIC web site at www.fdic.gov/about/freedom/Guide.html. Some FOIA requests are denied in whole or in part because the information requested is exempted from disclosure by the FOIA (5 U.S.C. § 552 (b)). The exemptions most often applicable to information requested from the FDIC include (b)(4), (b)(5), (b)(6) and (b)(8). The FDIC receives a great deal of privileged and private financial information concerning individuals, businesses, and banking entities by virtue of its roles as a federal financial institution regulatory agency, as well as the appointed receiver of virtually all failed U.S. depository institutions. Therefore, exemptions (b)(4) and (b)(6) are invoked to withhold confidential or privileged material. The FDIC is also the primary regulator of most state-chartered financial institutions and therefore prepares or receives bank examination reports and related material. Such records are exempted from FOIA disclosure in order to promote frank communications between financial institutions and the FDIC examination staff and to maintain stability in the financial system. Accordingly, the FDIC invokes FOIA exemptions (b)(5) and (b)(8) for these purposes. Other exemptions, such as (b)(2), (b)(7)(A), or (b)(7)(C) are used occasionally. In some cases, records cannot be located. III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS There are no FDIC-specific acronyms or other terms used in this report.Definition 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.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. 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 upon which the agency relies 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 “third-party” 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 non-U.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 which 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 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.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.Simple Request – a FOIA request that an agency using multi-track processing places in its fastest (non-expedited) track based on the low volume and/or simplicity of the records requested.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 which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.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. Concise descriptions of the nine FOIA exemptions:a. Exemption 1: classified national defense and foreign relations information.b. Exemption 2: internal agency rules and practices.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.IV. EXEMPTION 3 STATUTES Exemption 3 Statutes Relied upon to Withhold InformationStatuteType of Information WithheldSupportingCase CitationTotal Number of Times Relied upon by FDIC-0--0--0--0-V. FOIA REQUESTS Received, Processed and Pending FOIA Requests (both perfected and non-perfected)Number of Requests Pending as of the Start of the Fiscal YearNumber of Requests Received in the Fiscal YearNumber of Requests Processed in the Fiscal YearNumber of Requests Pending as of the End of the Fiscal Year6222072045224B.(1) Disposition of FOIA Requests – All Processed Requests Full GrantPartial GrantPartial DenialFull Denial Based on ExemptionFull Denial No RecordsFull Denial Records Referred to Another Agency Full DenialRequest WithdrnFull DenialFeeRelatedFull DenialRecords not Reasonably DescribedFull DenialImproper FOIA RequestFull DenialNot Agency RecordFull Denial Dup. Req.Full Denial Other see B.(2) belowFDICTotal1507153951301782345-0-4722045B.(2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V.B.(1) ChartDescription of “Other” Reasons for Denials from Chart B(1) & Number of Times Those Reasons Were Relied UponTotalGovernment in the Sunshine Act, 5 U.S.C. 552b2B.(3) Disposition of FOIA Requests – Number of Times Exemptions AppliedEx. 1Ex.2Ex.3Ex.4Ex.5Ex.6Ex.7(A)Ex.7(B)Ex.7(c)Ex.7(D)Ex.7(E)Ex.7(F)Ex.8Ex.9-0-17-0-1448193-0--0--4--0-11730VI. APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS Received, Processed and Pending Administrative Appeals Number of Appeals Pending as of the Start of the Fiscal YearNumber of Appeals Received in the Fiscal YearNumber of Appeals Processed in the Fiscal YearNumber of Appeals Pending as of the End of the Fiscal Year251494Disposition of Administrative Appeals – All Processed AppealsNumber Affirmedon Appeal Number Partially Affirmed & Partially Reversed or Remanded Number Completely Reversed or Remandedon AppealNumber of Appeals Closed for Other ReasonsTOTAL7344449C.(1) Reasons for Denial on Appeal – Number of Times Exemptions AppliedEx. 1Ex.2Ex.3Ex.4Ex.5Ex.6Ex.7(A)Ex.7(B)Ex.7(C)Ex.7(D)Ex.7(E)Ex.7(F)Ex.8Ex.9-0-1-0-1357-0--0--0--0--0--0-8-0-C.(2) Reasons for Denial on Appeal – Reasons Other than ExemptionsNo RecordsRecords Referred at Initial RequestRequest WithdrawnFee Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordDuplicate Request or AppealRequest in LitigationDenial of Request for Expedited ProcessingOther see C.(3) below2-0-2-0--0--0--0--0--0--0-2C.(3) Reasons for Denial on Appeal – “Other” Reasons from Section VI,C(2) ChartDescription of “Other” Reasons for Denial on Appeal from Chart C(2) & Number of Times Those Reasons Were Relied UponTotalGovernment in the Sunshine Act, 5 U.S.C. 552b2C.(4) Response Time for Administrative AppealsMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days2019940C.(5) Ten Oldest Pending Administrative Appeals10th 9th8th7th 6th5th 4th 3rd2nd Oldest AppealDate Received-0--0--0--0--0--0-09-24-0909-08-0907-31-0905-12-09Number of Days Pending-0--0--0--0--0--0-4164298VII. RESPONSE TIME FOR PROCESSED AND PENDING FOIA REQUESTSA. Processed Requests – Response Time for All Processed Perfected Requests Simple | Complex | Expedited ProcessingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days<12<168<14<11281719346Processed Requests – Response Time for Perfected Requests Where Information Granted Simple | Complex | Expedited ProcessingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days<12<168<14<11281820346C. Processed Requests – Response Time in Day IncrementsSimple Requests1 -20 Days21 -40 Days41 -60 Days61 -80Days81 -100Days101 -120 Days121 -140 Days141 -160 Days161 -180 Days181 -200 Days201 -300 Days301 -400 Days401 + DaysFDIC Total12353712-0--0--0--0--0--0--0--0--0-1275Complex Requests1 -20 Days21 -40 Days41 -60 Days61 -80Days81 -100Days101 -120 Days121 -140 Days141 -160 Days161 -180 Days181 -200 Days201 -300 Days301 -400 Days401 + DaysFDIC Total698291792-0-1-0--0--0--0--0--0-756Requests Granted Expedited Processing1 -20 Days21 -40 Days41 -60 Days61 -80Days81 -100Days101 -120 Days121 -140 Days141 -160 Days161 -180 Days181 -200 Days201 -300 Days301 -400 Days401 + DaysFDIC Total1031-0--0--0--0--0--0--0--0--0--0-14D. Pending Requests – All Pending Perfected Requests Simple | Complex | Expedited ProcessingNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of Days152654568403345862E. Pending Requests – Ten Oldest Pending Perfected Requests10th 9th8th7th 6th5th 4th 3rd2nd Oldest RequestDate Received06-08-0906-05-0906-01-0905-28-0905-18-0905-12-0904-23-0902-24-0911-17-0811-10-08Number of Days Pending808185879498111153219223VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER Requests For Expedited ProcessingNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar Days1421116Requests for Fee WaiverNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to Adjudicate12111IX. FOIA PERSONNEL AND COSTS Personnel | Costs Number of “Full-Time FOIA Employees”Number of “Equivalent Full-Time FOIA Employees”Total Number of “Full-Time FOIA Staff”Processing CostsLitigation Related CostsTotal Costs6612$2,288,000.00$27,078.00$2,315,078.00X. FEES COLLECTED FOR PROCESSING REQUESTS Total Amount of Fees CollectedPercentage of Total Costs$27,055.141.17XI. FOIA REGULATIONS AND FEE SCHEDULEThe FDIC FOIA regulations are available at HYPERLINK http://www.fdic.gov/regulations/laws/rules/2000-3800.html#2000part309 www.fdic.gov/regulations/laws/rules/2000-3800.html#2000part309. Paper copies of this report contain the full text of the regulations. The FDIC Records Fee Schedule is set forth below and it is also available at www.fdic.gov/about/freedom/fees.html#schedule.FEDERAL DEPOSIT INSURANCE CORPORATION RECORDS FEE SCHEDULEFebruary 1, 2009In accordance with 12 C.F.R. § 309.5(f), the Federal Deposit Insurance Corporation hereby sets forth the fees to be charged for the production of agency records. These fees will be effective for records requests submitted thirty days or more from the above date of issuance. Persons requesting records from the FDIC shall be charged for the direct costs of search, review and duplication as set forth at 12 C.F.R. § 309.5(f), unless such costs are less than $10.00. The following fees shall be in effect until further notice. Hourly labor rates: Executive level staff -- $109.00Professional level staff -- $71.00Clerical level staff -- $33.00Duplication:$0.25 per pageComputer charges:Personal computer rate -- $1.84 per hour of use (in addition to hourly labor rates)CD -- $1.00 (plus data/labor costs)Mainframe computer data costs: (plus hourly labor rates, if applicable)CPU processing -- $0.18 per secondDisk I/O -- $0.35 per 1000 transactionsTape I/O -- $0.20 per 1000 transactionsPrinting -- $0.88 per 1000 linesSpecial productsCertain reports, manuals and other products are offered at set prices by agency components which produce them. Prices may be obtained upon request. XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS A. Backlogs of FOIA Requests and Administrative AppealsNumber of Backlogged Requests as of the End of the Fiscal YearNumber of Backlogged Appeals as of the End of the Fiscal Year1702B. Consultations on FOIA Requests – Received, Processed, and Pending ConsultationsNumber of Consultations Received from Other Agencies that Were Pending as of the Start of the Fiscal YearNumber of Consultations Received from Other Agencies During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Processed During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending at Your Agency as of the End of the Fiscal Year-0-431Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending 10th 9th8th7th 6th5th 4th 3rd2nd Oldest ConsultationDate Received-0--0--0--0--0--0--0--0--0-09-25-09Number of Days Pending-0--0--0--0--0--0--0--0--0-3Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged Number of Requests Received | Number of Requests ProcessedNumber Received During Fiscal Year from Last Year’s Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year’s Annual ReportNumber Processed During Fiscal Year from Current Annual Report80722077802045Number of Requests BackloggedNumber of Backlogged Requests as of the End of the Fiscal Year from the Previous Annual ReportNumber of Backlogged Requests as of the End of the Fiscal Year from the Current Annual Report10170E. Comparison of Numbers of Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged Number of Appeals Received Number of Appeals ProcessedNumber Received During Fiscal Year from Last Year’s Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year’s Annual ReportNumber Processed During Fiscal Year from Current Annual Report351149Number of Backlogged Appeals as of the End of the Fiscal Year from the Previous Annual ReportNumber of Backlogged Appeals as of the End of the Fiscal Year from the Current Annual Report-0-2PAGE PAGE 1