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FOIA

  • Commodity Futures Trading Commission
    Freedom of Information Act Annual Report
    for Fiscal Year 2001

    (October 1, 2000 to September 30, 2001)

    I. Basic Information Regarding Report
    II. How to Make a FOIA Request

    III. Definitions of Terms and Acronyms Used in the Report

    IV. Exemption 3 Statutes

    V. Initial FOIA/PA Requests

    VI. Appeals of Initial Denials of FOIA/PA Requests

    VII. Compliance with Time Limits/Status of Pending Requests

    VIII. Costs/FOIA Staffing

    IX. Fees

    X. FOIA Regulations (Including Fee Schedule)

      I. Basic Information Regarding Report


    With questions about this report, please contact:

        Eileen A. Donovan
        Assistant Secretary to the Commission for FOIA Matters
        Commodity Futures Trading Commission
        Three Lafayette Centre
        1155 21st Street, N.W.
        Washington, DC 20581
        Tel.: 202-418-5096

    To locate the report on the World Wide Web, please visit the CFTC web site at http://www.cftc.gov/foia/foiaannrept01.htm.

    To obtain a copy of the report in paper form, please submit the Electronic FOIA Request Form found on the CFTC website at http://www.cftc.gov/foia/foifoiaform.htm or send a written request to:

        FOIA Compliance Office
        Commodity Futures Trading Commission
        Three Lafayette Centre
        1155 21st Street, N.W.
        Washington, DC 20581

      II. How to Make a FOIA Request


    Information on making a FOIA request is available on the CFTC website at http://www.cftc.gov/cftc/cftcfoia.htm.

      III. Definitions of Terms and Acronyms Used in the Report

      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 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. Grant – an agency decision to disclose all records in full in response to a FOIA request.

      6. Partial grant – an agency decision to disclose a record in part 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.

      7. 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 the 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).

      8. 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).

      9. "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.

      10. 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).

      11. Median number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.

      12. 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


    The only Exemption 3 statute relied on by the Commission during fiscal year 2001 is Section 8(a) of the Commodity Exchange Act, 7 U.S.C. § 12(a) (2001). Section 8(a) prohibits the release of data and information that would disclose the business transactions or market positions of any person and trade secrets or names of customers, and any data or information concerning or obtained in connection with any pending investigation of any person. The use of Section 8(a) has not been challenged in court.

      V. Initial FOIA/PA Requests

      A. Numbers of initial requests

        1. Number of requests pending as of end of preceding fiscal year: 27

        2. Number of requests received during current fiscal year: 344

        3. Number of requests processed during current fiscal year: 351

        4. Number of requests pending as of end of current fiscal year: 20

      B. Disposition of initial requests

        1. Number of total grants: 162

        2. Number of partial grants: 72

        3. Number of denials: 12

          a. Number of times each FOIA exemption used (counting each exemption once per request):

    Exemption 1

    0

    Exemption 2

    4

    Exemption 3

    41

    Exemption 4

    54

    Exemption 5

    19

    Exemption 6

    9

    Exemption 7(A)

    4

    Exemption 7(B)

    3

    Exemption 7(C)

    7

    Exemption 7(D)

    0

    Exemption 7(E)

    2

    Exemption 7(F)

    0

    Exemption 8

    0

    Exemption 9

    0

        4. Other reasons for nondisclosure (total): 105

    No records

    74

    Referrals

    13

    Request withdrawn

    18



      VI. Appeals of Initial Denials of FOIA/PA Requests

      A. Numbers of appeals.

        1. Number of appeals received during fiscal year: 8

        2. Number of appeals processed during fiscal year: 8

      B. Disposition of appeals.

        1. Number completely upheld: 6

        2. Number partially reversed: 2

        3. Number completely reversed: 0

          a. Number of times each FOIA exemption used (counting each exemption once per appeal):

    Exemption 1

    0

    Exemption 2

    1

    Exemption 3

    1

    Exemption 4

    1

    Exemption 5

    3

    Exemption 6

    0

    Exemption 7(A)

    1

    Exemption 7(B)

    0

    Exemption 7(C)

    2

    Exemption 7(D)

    0

    Exemption 7(E)

    0

    Exemption 7(F)

    0

    Exemption 8

    0

    Exemption 9

    0


      VII. Compliance with Time Limits/Status of Pending Requests

      A. Median processing time for requests processed during the year.

        1. Number of requests processed: 351

        2. Median number of days to process: 12

      B. Status of pending requests.

        1. Number of requests pending as of end of current fiscal year: 20

        2. Median number of days that such requests were pending as of that date: 16

      VIII. Costs/FOIA Staffing

      A. Staffing levels.

        1. Number of full-time FOIA personnel: 3

        2. Number of personnel with part-time or occasional FOIA duties (in total work-years): 1.4

        3. Total number of personnel (in work-years): 4.4

      B. Total costs (including staff and all resources).

        1. FOIA processing (including appeals): $267,000

        2. Litigation-related activities (estimated): $0

        3. Total costs: $267,000

      IX. Fees

      A. Total amount of fees collected by agency for processing requests: $5,325.35

      B. Percentage of total costs: 2%

      X. FOIA Regulations (Including Fee Schedule)


    The CFTC FOIA regulations, 17 C.F.R. § 145 (1999), can be found on the CFTC web site at http://www.cftc.gov/foia/foi17cfr145.htm