FOIA

COMMODITY FUTURES TRADING COMMISSION

FREEDOM OF INFORMATION ACT ANNUAL REPORT

FOR FISCAL YEAR 2008

(October 1, 2008 to September 30, 2009)

I. Basic Information Regarding Report

1. Name of Person to be contacted with questions about this report:

Stacy J. Easter

Paralegal Specialist

Commodity Futures Trading Commission

Three Lafayette Centre

1155 21^st Street, N.W.

Washington, D.C. 20581

Tel.: 202-418-5105

2. A copy of this report can be found on our website at:

http://www.cftc.gov/FOI/foia_annrept09.html

3. To obtain a copy of this report in paper form, please submit the Electronic FOIA Request Form found on our website at: FOIA Request Form or send a written request to:

Mail: FOIA Compliance Office

Commodity Futures Trading Commission

Three Lafayette Centre

1155 21^st Street, N.W.

Washington, D.C. 20581

or

E-mail: FOIAsubmissions@cftc.gov

II. Making a FOIA Request

1. Requests are received by using the CFTC’s FOIA Request Form, by fax: 202-418-5124, or by submitting by mail to: FOIA Compliance Office, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581. Each FOIA request should include a reasonable description of the records sought and an agreement to pay fees.

2. CFTC records are releasable unless they contain information that qualifies for withholding under one or more of the nine FOIA exemptions. Certain categories of information may be considered exempt from disclosure under the FOIA, such as registration applications, trade data, disclosure documents, employee personnel records, financial reports, and trade practice investigative files.

III. Acronyms, Definitions, and Exemptions

1. Agency acronyms or terms:

a. “CFTC” or “Commission" - Commodity Futures Trading Commission

2. Definitions:

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 request on a decentralized basis, a “component” is an entity, also sometime 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.

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 separate federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).

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 it 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-Tracking 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 ore 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 statue and in agency regulations.

ii. 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.

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 – an agency decision to disclose portions of the record 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 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).

3. 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

A. Exemption 3 Statutes Relied upon to Withhold Information

V. FOIA REQUESTS

A. Received, Processed and Pending FOIA Requests:

B.(1) Disposition of FOIA Requests – All Processed Requests:

B.(2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Sections V, B(1) Chart:

B.(3) Disposition of FOIA Requests – Number of Times Exemptions Applied

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS

A. Received, Processed and Pending Administrative Appeals:

B. Disposition of Administrative Appeals – All Processed Appeals:

C.(1) Reasons for Denial on Appeal – Number of Times Exemptions Applied:

C.(2) Reasons for Denial on Appeal – Reasons Other than Exemptions:

C.(3) Reasons for Denial on Appeal – “Other” Request from Section VI, C.(2) Chart:

C.(4) Response Time for Administrative Appeals:

C.(5) Ten Oldest Pending Administrative Appeals:

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS*

A. Processed Requests – Response Time for all Processed Perfected Requests:

B. Processed Requests – Response Time for Perfected Request in Which Information Was Granted:

C. Processed Requests – Response Time in Day Increments:

D. Pending Requests – All Pending Perfected Requests:

E. Pending Requests – Ten Oldest Pending Perfected Requests:

*The CFTC did not receive any requests for expedited processing.

VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE

WAIVER*

A. Requests for Expedited Processing:

B. Requests for Fee Waiver:

*The CFTC did not receive any requests for fee waiver.

IX. FOIA PERSONNEL AND COSTS

X. FEES COLLECTED FOR PROCESSING REQUESTS

XI. FOIA REGULATIONS (Including Fee Schedule)

The Commission’s FOIA regulations, 17 C.F.R. § 145, can be found on the Commission’s web site at: http://www.cftc.gov/FOI/cftcfoiaguide.html

XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS

A. Backlogs of FOIA Requests and Administrative Appeals:

B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations:

C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency:

D. Comparison of Number of Request from Previous and Current Annual Report – Reports Received, Processed, and Backlogged:

E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged:

F. Discussion of Other FOIA Activities (Optional):

1. The Commission continues to work on updating its FOIA tracking system.