NATIONAL CREDIT UNION ADMINISTRATION
FREEDOM OF INFORMATION ACT PROGRAM
2001 FISCAL YEAR
REPORT
I.
Basic
Information Regarding Report.
A. If you have any questions
regarding this report, you may contact Dianne Salva, Staff Attorney/FOIA
Officer, 1775 Duke Street, Alexandria, Virginia 22314, (703) 518-6540.
B. The report is available
on-line at www.ncua.gov. You can click on any underlined term to link
directly to the corresponding document on the NCUA web site.
C. To obtain a copy of
this report in paper form you may come to the NCUA reading room located
in room 6076B, at 1775 Duke Street, Alexandria, VA 22314-3428 from 8
a.m. to 5 p.m. Monday through Friday, or call (703) 518-6540 to request
that a copy be sent to you.
II.
How
to make a FOIA Request.
You can consult the publication
entitled, "A Handbook for Obtaining
Information From NCUA" for information on making a FOIA
request. The Handbook is available on the Internet at www.ncua.gov,
or you can request a copy from the Office of Public and Congressional
Affairs by calling (703) 518-6330.
A. FOIA requests may be
submitted to the following NCUA offices:
REGION I - ALBANY -- (518) 862-7400
9 Washington Square
Washington Avenue Extension
Albany, NY 12205
Fax Number: (518) 862-7420
E-mail address: region1@ncua.gov
REGION II - CAPITAL -- (703) 519-4600
1775 Duke Street, Suite 4206
Alexandria, VA 22314-3437
Fax Number: (703) 519-4620
E-mail address: region2@ncua.gov
REGION III - ATLANTA -- (678) 443-3000
7000 Central Parkway, Suite 1600
Atlanta, GA 30328
Fax Number: (678) 443-3020
E-mail address: region3@ncua.gov
REGION IV - CHICAGO -- (630) 955-4100
4225 Naperville Road, Suite 125
Lisle, IL 60532
Fax Number: (630) 955-4120
E-mail address: region4@ncua.gov
REGION V - AUSTIN -- (512) 342-5600
4807 Spicewood Springs Road, Suite 5200
Austin, TX 78759-8490
Fax Number: (512) 342-5620
E-mail address: region5@ncua.gov
REGION VI - PACIFIC -- (925) 363-6200
2300 Clayton Road, Suite 1350
Concord, CA 94520
Fax Number: (925) 363-6220
E-mail address: region6@ncua.gov
ASSET MANAGEMENT & ASSISTANCE CENTER -- (512) 231-7900
4807 Spicewood Springs Road, Suite 5100
Austin, TX 78759-8490
Fax Number: (512) 231-7920
E-mail address: amacmail@ncua.gov
OFFICE OF INSPECTOR GENERAL – (703) 518-6352
1775 Duke Street
Alexandria, VA 22314
Fax Number: (703) 518-6349
E-mail Address: OIGMail@NCUA.gov
CENTRAL OFFICE -- (703) 518-6540
1775 Duke Street
Alexandria, VA 22314
Fax Number: (703) 518-6369
E-mail Address: FOIA@NCUA.gov
B. Brief Description of
NCUA response-time ranges:
Usually we respond within
20 business days. During this fiscal year, we had median processing
times of 4 business days for simple requests and 5.5 business days for
more complex requests.
C. Brief Description of
why some requests are not granted:
Generally, exempt information
includes credit union examination records; records which if released,
would cause an unwarranted invasion of personal privacy; confidential
proprietary business information; internal communications regarding
proposed NCUA policies; and law enforcement investigative records.
III.
Definitions
of Terms and Acronyms Used in the Report (to be included in each report)
A. Agency-specific acronyms
or other terms: NCUA – National Credit Union Administration.
B. Basic terms, expressed
in common terminology.
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. 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
in each track are processed on a first-in/first-out basis. A requester
who has an urgent need for records may request expedited processing
(see below).
6. Expedited processing
-- an agency will process a FOIA request on an expedited basis when
a requester has shown an exceptional need or urgency for the records
which warrants prioritization of his or her request over other requests
that were made earlier.
7. Simple request --
a FOIA request that an agency using multi-track processing places
in its fastest (nonexpedited) track based on the volume and/or simplicity
of records requested.
8. Complex request --
a FOIA request that an agency using multi-track processing places
in a slower track based on the volume and/or complexity of records
requested.
9. Grant -- an agency
decision to disclose all records in full in response to a FOIA request.
10. 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.
11. 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).
12. 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).
13. "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.
14. 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).
15. Median number --
the middle, not average, number. For example, of 3, 7, and 14, the
median number is 7.
16. 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.
A. List of Exemption 3
statutes relied on by NCUA during the current fiscal year.
None.
V. Initial FOIA/PA Access Requests.
- Numbers of initial requests.
- Number of requests pending
as of end of preceding fiscal year: 25.
- Number of requests received
during current fiscal year: 397.
- Number of requests processed
during current fiscal year: 391.
- Number of requests pending
as of end of current fiscal year: 31.
-
Disposition of initial requests.
- Number of total grants: 244.
- Number of partial grants: 111.
- Number of total denials: 7.
a. Number of times
each FOIA exemption used (counting each exemption once per request).
-
-
-
-
-
-
-
-
-
-
-
-
-
-
- Other reasons for nondisclosure (total): 29.
a.
No records: 8.
b.
Referrals: 0.
c.
Request withdrawn:
9.
d.
Fee-related reason:
4.
e.
Records not reasonably
described: 0.
f.
Not a proper
FOIA request for some other reason: 1.
g.
Not an agency
record: 2.
h.
Duplicate request:
0.
i.
Other: 5.
VI. Appeals of Initial Denials of FOIA/PA Requests.
- Number of appeals.
1.
Number of appeals
received during fiscal year: 10.
2.
Number of appeals
processed during fiscal year: 11.
- Disposition of appeals.
1.
Number completely
upheld: 2.
2.
Number partially
reversed: 6.
3.
Number completely
reversed: 0.
a.
Number of
times each FOIA exemption used (counting each exemption
per appeal)
1.
Exemption
1: 0.
2.
Exemption
2: 0.
3.
Exemption
3: 0.
4.
Exemption
4: 0.
5.
Exemption
5: 5.
6.
Exemption
6: 7.
7.
Exemption
7(A): 3.
8.
Exemption
7(B): 0.
9.
Exemption
7(C): 6.
10.
Exemption 7(D): 4.
11.
Exemption 7(E): 2.
12.
Exemption 7(F): 0.
13.
Exemption 8: 3.
14.
Exemption 9: 0.
1.
Other reasons
for nondisclosure (total): 3.
a.
No records:
2.
b.
Referrals:
0.
c.
Request withdrawn:
0.
d.
Fee-related
reason: 1.
e.
Records not
reasonably described: 0.
f.
Not a proper
FOIA request for some other reason: 0.
g.
Not an agency
record: 0.
h.
Duplicate
request: 0.
i.
Other (specify):
VII. Compliance with Time Limits/Status of Pending Requests.
-
Median processing time for requests processed
during the year.
1.
Fast Track Requests.
a.
Number of requests
processed: 7.
b.
Median number
of days to process: 4.
1.
Regular Track
Requests.
a.
Number of requests
processed: 384.
b.
Median number
of days to process: 5.5.
1.
Requests accorded
expedited processing.
a.
Number of
requests processed: 0.
b.
Median number
of days to process: N.A.
A. Status of pending requests.
1.
Number of
requests pending as of end of current fiscal year: 31.
1.
Median number
of days that requests was pending as of that date: 7.
VIII. Comparisons with Previous Year.
NCUA received 61 fewer and processed 78 fewer initial FOIA requests
in fiscal year 2001 than in fiscal year 2000. The median processing
time decreased from 8 to 5.5 days for regular track requests and increased
from 2 to 4 days for fast track requests.
IX. Costs/FOIA Staffing.
A. Staffing levels.
1.
Number of full-time
FOIA personnel: 0.
2.
Number of personnel
with part-time or occasional FOIA duties (in total work-years):
42.
3.
Total number
of personnel (in work-years): 4.1.
A. Total costs (including staff and all resources).
1.
FOIA processing
(including appeals): $ 162,910.10.
2.
Litigation-related activities
(estimated): $ 10,517.00
3.
Total costs:
$ 173,427.10.
X. Fees.
· This includes charges for search, review, document duplication,
and any other direct costs permitted under agency regulations.
A. Total amount of fees collected by agency for
processing requests: $4,808.05.
B. Percentage of total costs: .027%.
XI. FOIA Regulations (Including Fee Schedule).
NCUA’s FOIA regulation is found
in Subpart A of 12 C.F.R. §792. A copy of the regulation and the FOIA
Fee Schedule is attached.
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