COMMODITY FUTURES TRADING COMMISSIONFREEDOM OF INFORMATION ACT ANNUAL REPORTFOR FISCAL YEAR 2009(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. EasterParalegal SpecialistCommodity Futures Trading CommissionThree Lafayette Centre1155 21st Street, N.W.Washington, D.C. 20581Tel.: 202-418-5105 2. A copy of this report can be found on our website at: HYPERLINK "http://www.cftc.gov/foi/foia_annrept09.html" http://www.cftc.gov/foi/foiareference/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: http://www.cftc.gov/foi/request or send a written request to:Mail: FOIA Compliance Office Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 or E-mail: FOIAsubmissions@cftc.govII. Making a FOIA RequestRequests 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.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 Exemptions1. Agency acronyms or terms: a. “CFTC” or “Commission" - Commodity Futures Trading Commission 2. Definitions: 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. 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.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. 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. 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. 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).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. Full Grant – an agency decision to disclose all records in full in response to a FOIA request.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.Median number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.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. 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. 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.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. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects. 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. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects. Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.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:Exemption 1: classified national defense and foreign relations informationExemption 2: internal agency rules and practicesExemption 3: information that is prohibited from disclosure by another federal lawExemption 4: trade secrets and other confidential business informationExemption 5: inter-agency or intra-agency communications that are protected by legal privilegesExemption 6: information involving matters of personal privacyExemption 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. Exemption 8: information relating to the supervision of financial institutionsExemption 9: geological information on wellsIV. Exemption 3 Statutes A. Exemption 3 Statutes Relied upon to Withhold InformationStatuteType of Information WithheldCase CitationNumber of Times Relied upon per ComponentTotal Number of Times Relied upon by AgencySection 8(a) of the Commodity Exchange Act, 7 U.S.C. § 12(a)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.2121V. FOIA REQUESTS A. Received, Processed and Pending FOIA Requests:Number of Requests Pending as of Start of Fiscal Year:Number of Requests Received in Fiscal Year:Number of Requests Processed in Fiscal Year:Number of Requests Pending as of end of Fiscal Year:CFTC Total1519920014 B.(1) Disposition of FOIA Requests – All Processed Requests:# of Full Grants# of Partial Grants/ Denials# of Full Denials Based on Exemptions# of Full Denials Based on Reasons Other than ExemptionsTotalNo RecordsAll Records Referred to Another AgencyWithdrawnFee-Related ReasonRecords not Reasonably DescribeImproper FOIA Request for Other ReasonsNot Agency RecordsDuplicateOther: *Explain in chart belowCFTC Total 623022490190001602200 B.(2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Sections V, B(1) Chart: Description of “Other” Reasons for Denials from Chart B(1) & Number of Times Those Reasons Were Relied UponTOTALCFTC TotalFOIA does not require agencies to create records to respond to a request 2 B.(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. 9CFTC Total01232822241014181110VI. ADMINISTRATIVE APPEALS of Initial DETERMINATIONS OF FOIA Requests A. Received, Processed and Pending Administrative Appeals:Number of Appeals Pending as of Start of Fiscal YearNumber of Appeals Received in Fiscal YearNumber of Appeals Processed in Fiscal YearNumber of Appeals Pending as of End of Fiscal Year1450 B. Disposition of Administrative Appeals – All Processed Appeals:Number Affirmed on AppealNumber Partially Affirmed & Partially Reversed/Remanded on AppealNumber Completely Reversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTAL21205 C.(1) Reasons for Denial on Appeal – Number of Times Exemptions Applied:Ex. 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. 900131210202010 C.(2) Reasons for Denial on Appeal – Reasons Other than Exemptions:No RecordsRecords Referred at Initial Request LevelRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordsDuplicate Request or AppealRequest in LitigationAppeal Based Solely on Denial of Request for Expedited ProcessingOther *Explain in Chart Below00000000000 C.(3) Reasons for Denial on Appeal – “Other” Request from Section VI, C.(2) Chart:Description of “Other” Reasons for Denial on Appeal from Chart C.(2) & Number of Times Those Reasons Were Relied UponTOTALn/a0 C.(4) Response Time for Administrative Appeals:Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days3846.22674 C.(5) Ten Oldest Pending Administrative Appeals:10th Oldest Appeal9th8th7th6th5th4th3rd2ndOldest AppealDate of Receipt of Ten Oldest Appealsn/an/an/an/an/an/an/an/an/an/a# of Days Pending0000000000VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS* A. Processed Requests – Response Time for all Processed Perfected Requests:SimpleExpedited ProcessingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysCFTC Total9.515.2611190000 B. Processed Requests – Response Time for Perfected Request in Which Information Was Granted:SimpleExpedited ProcessingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysCFTC Total1117.6611190000 C. Processed Requests – Response Time in Day Increments:Simple RequestDays1-2021-4041-6061-8081-100101-120121-140141-160161-180181-200201-300301-400401+TOTALCFTC Total1473883310000000200Request Granted Expedited ProcessingDays1-2021-4041-6061-8081-100101-120121-140141-160161-180181-200201-300301-400401+TOTALCFTC Total00000000000000 D. Pending Requests – All Pending Perfected Requests:SimpleExpedited ProcessingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysCFTC Total1124.072800000 E. Pending Requests – Ten Oldest Pending Perfected Requests:10th Oldest Request and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Request and Number of Days PendingCFTC TotalDate rec’d :9/21/09 9/19/099/16/099/14/098/31/098/24/098/13/087/28/096/16/096/8/09# of days:791017212633457480*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:Number GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar DaysCFTC Total00000 B. Requests for Fee Waiver:GrantedDeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateCFTC Total0000*The CFTC did not receive any requests for fee waiver. IX. FOIA PERSONNEL AND COSTS A. PERSONNELB. COSTSNumber of “Full-Time FOIA Staff”Number of “Equivalent Full-Time FOIA Staff”Total Number of “Full-Time FOIA Staff”Processing CostLitigation-Related CostTotal CostCFTC Total1.325%1.325%$148,270.76$16,536.54$164,807.30X. FEES COLLECTED FOR PROCESSING REQUESTSTotal amount of fees collected by agency for processing requests:Percentage of total costs:CFTC Total$1,378.65.836%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/cftcfoiaguideXII. BACKLOGS, CONSULTATIONS, AND COMPARISONS A. Backlogs of FOIA Requests and Administrative Appeals:Number of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal YearCFTC Total 60 B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations:Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of Start of the Fiscal YearNumber of Consultations Received from Other Agencies During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal YearCFTC Total0000 C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency:10th Oldest Consultation and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Consultation and Number of Days PendingCFTC Total000000000Rec’d: # of Days: 0 D. Comparison of Number of Request from Previous and Current Annual Report – Reports Received, Processed, and Backlogged:NUMBER OF REQUEST RECEIVEDNUMBER OF REQUEST 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 ReportCFTC Total147199151200NUMBER OF BACKLOGGED REQUESTS AS OF END OF THE FISCAL YEAR FROM PREVIOUS ANNUAL REPORTNUMBER OF BACKLOGGED REQUEST AS OF END OF THE FISCAL YEAR FROM CURRENT ANNUAL REPORTCFTC Total66 E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged:NUMBER OF APPEALS RECEIVEDNUMBER 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 ReportCFTC Total5445NUMBER OF BACKLOGGED APPEALS AS OF END OF THE FISCAL YEAR FROM PREVIOUS ANNUAL REPORTNUMBER OF BACKLOGGED APPEALS AS OF END OF THE FISCAL YEAR FROM CURRENT ANNUAL REPORTCFTC Total00 F. Discussion of Other FOIA Activities (Optional): The Commission continues to work on updating its FOIA tracking system. 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