Requests may be made via facsimile to (202) 898-8778,
through the Electronic FOIA Office on the FDIC web site, via
direct e-mail to efoia@fdic.gov, in writing
to the address in Section 1(C) above.
A. Median
processing time for requests processed during the
year.
1. Simple Requests.
(a) total number of requests processed: 788
(b) median number of days to process: 21 calendar days
2. Complex requests (specify for any and all tracks used).
The Department of Justice's Supplemental Guidance on
Annual FOIA Reports assumes that agencies will report
"working days" rather than "calendar
days," but allows for the reporting of calendar days
if clearly indicated. The FDIC’s FOIA database
maintains data in calendar days rather than in working
days. Therefore, this report uses calendar days rather
than working days. Because there are fewer working days
than calendar days, the FDIC’s median number of
working days to process requests would be substantially
less if reported in working days.
The FDIC's FOIA regulations do not differentiate
between simple and complex FOIA requests. They do,
however, categorize requests for fast track, normal, or
expedited processing. Expedited processing is only
granted when requested by news media, a party whose
health or physical safety is in danger, or occasionally
in the FDIC's discretion without a request. Many of
the requests encompassed in Section VII A 1 above are
therefore voluminous or complex. 308 of the 788 requests
referenced above were placed into the "fast
track," where requests that can be more summarily
fulfilled are routed. For those 308 requests, the median
processing time to completion was 15 calendar days.
The last weeks of fiscal year 2001 included the tragic
events of September 11, 2001. Because the FDIC’s
FOIA/PA Unit is located in Washington, D.C., the
disruptions to the FDIC’s mail, staffing, and
operational activities as a result of these tragic events
was magnified, and directly impacted upon the
FDIC’s processing of FOIA requests. Nevertheless,
the median response time of 21 calendar days is 6
calendar days less than during the prior reporting
period, representing an increased rate of efficiency of
more than 22%.
3. Requests accorded expedited processing.
(a) number of requests accorded expedited processing: 12
(b) median number of days to process: 16 calendar days
The Department of Justices’ Supplemental Guidance
on Annual FOIA Reports assumes that agencies will report
"working days" rather than "calendar
days," but allows for the reporting of calendar days
if clearly indicated. The FDIC’s FOIA database
maintains data in calendar days rather than in working
days. Therefore, this report uses calendar days rather
than working days. Because there are fewer working days
than calendar days, the FDIC’s median number of
working days to process requests would be substantially
less if reported in working days.
Some of the requests accorded expedited processing were
complex matters requiring great attention to detail, the
tasking of multiple Offices and Divisions of the FDIC,
the retrieval of records from remote locations, and
extensive redaction and review time. Because of the
FDIC's customary diligence in dealing with members of
the news media, some requesters were issued partial
responses within a few days of the request's receipt.
Despite the tragic events of September 11, 2001, the FDIC
managed to reduce its response time for requests accorded
expedited processing by one more day, from 17 to 16
calendar days.
B. Status of
pending requests.
1. Number of requests pending as of end of current fiscal
year: 41
2. Median number of days that such requests were pending
as of that date: 23 calendar days.
The Department of Justices’ Supplemental Guidance on
Annual FOIA Reports assumes that agencies will report
"working days" rather than "calendar
days," but allows for the reporting of calendar days
if clearly indicated. The FDIC’s FOIA database
maintains data in calendar days rather than in working
days. Therefore, this report uses calendar days rather than
working days. Because there are fewer working days than
calendar days, the FDIC’s median number of working
days to process requests would be substantially less if
reported in working days.
A. Comparison of
number of requests received.
Prior Reporting Period: 800
Current Reporting Period: 766
B. Comparison of
number of requests processed.
Prior Reporting Period: 850
Current Reporting Period: 788
C. Comparison of
median number of days open requests had been pending as of
the end of the fiscal year.
Prior Reporting Period: 29 calendar days
Current Reporting Period: 23 calendar days
D. Other
statistics significant to agency:
Open FOIA requests were reduced from 63 at the beginning
of the fiscal year [see explanation to Section V A 1], to
41 at the end of the fiscal year. Requests more than six
months old were reduced from 1 at the beginning of this
reporting period to none at the end of this reporting
period. Requests greater than six months old have had a
steady decline at the FDIC since January 1996, when the
FDIC experienced a high of 294 such requests (many of these
came from the Resolution Trust Corporation, which sunset on
12/31/95 and whose operations were assumed by the FDIC).
Due to the gains in productivity from the implementation of
FDIC's fast-track FOIA processing program and more
efficient application of technology, the FDIC has processed
FOIA requests in significantly shorter time periods than
during the previous reporting year. Our median processing
time of 21 calendar days for this reporting period is
illustrative of the seriousness with which FDIC approaches
the FOIA program and shows the significant human and
technological resources which FDIC has expended on the
program in recent years.
Only 27 appeals were received during this fiscal year,
compared to 36 for the previous fiscal year. These 27 FOIA
appeals from the current reporting period represent a
decrease of 25% in appeals filed compared to the number
filed during the prior fiscal year. This continues the
trend of steady decline reported in our previous annual
reports, and further demonstrates increased requester
satisfaction with the quality of FDIC's initial
response. 25 requesters asked for expedited processing
under FDIC's regulations. 12 requesters were granted
expedited processing, 1 requester was formally denied and
12 requesters had their requests fulfilled before formal
action was taken on their expedited processing requests,
i.e., those last 12 requests were de facto
granted.
E. Other
narrative statements describing agency efforts to improve
timeliness of FOIA performance and to make records
available to the public (e.g., backlog-reduction efforts;
specification of average number of hours per processed
request; training activities; public availability of new
categories of records)
The FDIC undertakes detailed quarterly analyses of
outstanding and closed FOIA requests. The results of these
analyses are disseminated among top management of the FDIC
in order for them to track the progress of processing FOIA
requests within the various components of the agency. They
are also used as a means of evaluating and continuously
improving the efficiency of the central processing office
for FOIA requests, the Office of the Executive Secretary
FOIA/Privacy Act Unit.
The number of requests received on the FDIC's web
site has increased steadily, and the FDIC has posted a
great deal of information directly on the web site, such as
records concerning regulatory proposals, member financial
institution data, FDIC enforcement actions, and final
orders issued from FDIC's Board of Directors. The
on-line agency FOIA Guide also helps requesters to better
target their requests and includes links to the FDIC's
FOIA regulation, the Justice Department's Guide to the
FOIA, and popular FOIA records.
During this fiscal year, the FDIC's Senior Attorney
in charge of the agency's FOIA program and other
members of the staff conducted three formal training
sessions on the FOIA and the Privacy Act for agency
employees who work on these issues. One session was
conducted on December 12, 2000 in front of a group of about
80 people. This session focussed on issues unique to
FDIC's Division of Supervision, which consists of bank
examiners, attorneys, analysts and other personnel. Another
training session was given to an interdisciplinary group of
about 40 FDIC employees on March 1, 2001. This session
included an outside speaker/FOIA expert, as well as an
administrative overview of FDIC's FOIA program. The
third training session was conducted on May 17, 2001 with a
group of about 15 employees from FDIC's Division of
Resolutions and Receiverships. This training session
focussed on FOIA issues unique to failed financial
institutions, one of the more complex areas for the
FDIC's FOIA program. The FOIA Unit Senior Attorney and
senior staff also issued multiple written memoranda and
oral guidance to many Offices and Divisions of the FDIC,
coordinated and tracked the FOIA appeals for the General
Counsel, and updated the Electronic FOIA web page.
IX. Costs/FOIA
Staffing
A. Staffing
levels.
1. Number of full-time FOIA personnel: 9
2. Number of personnel with part-time or occasional FOIA
duties (in total work-years): 10
3. Total number of personnel (in work-years): 19
B. Total costs
(including staff and all resources).
1. FOIA processing (including appeals): $1,569,267.00
2. Litigation-related activities: $28,336.00
3. Total costs: $1,597,603.00
C. Statement of
additional resources needed for FOIA compliance
(optional):
None noted
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:
$46,294
B. Percentage
of total costs:
2.9%
XI. FOIA
Regulations (Including Fee Schedule):
The following is the printed version of FDIC's FOIA
Regulation, with an electronic version available to the
public at: http://www.fdic.gov/regulations/laws/rules/2000-3800.html#2000part309.
§ 309.4
Publicly available records.
(a) Records available on the FDIC's World Wide Web
page--
(1) Discretionary release of documents. The FDIC
encourages the public to explore the wealth of resources
available on the FDIC's World Wide Web page, located
at: http://www.fdic.gov. The FDIC has elected to publish
a broad range of materials on its World Wide Web page,
including consumer guides; financial and statistical
information of interest to the banking industry; and
information concerning the FDIC's responsibilities
and structure.
(2) Documents required to be made available via computer
telecommunications.
(i) The following types of documents created on or
after November 1, 1996, and required to be made
available through computer telecommunications, may be
found on the FDIC's World Wide Web page located at:
http://www.fdic.gov:
(A) Final opinions, including concurring and
dissenting opinions, as well as final orders and
written agreements, made in the adjudication of
cases;
(B) Statements of policy and interpretations adopted
by the Board of Directors that are not published in
the Federal Register;
(C) Administrative staff manuals and instructions to
staff that affect the public;
(D) Copies of all records released to any person
under § 309.5 that, because of the nature of
their subject matter, the FDIC has determined are
likely to be the subject of subsequent requests;
(E) A general index of the records referred to in
paragraph (a)(2)(i)(D) of this section.
(ii) To the extent permitted by law, the FDIC may
delete identifying details when it makes available or
publishes a final opinion, final order, statement of
policy, interpretation or staff manual or instruction.
If redaction is necessary, the FDIC will, to the extent
technically feasible, indicate the amount of material
deleted at the place in the record where such deletion
is made unless that indication in and of itself will
jeopardize the purpose for the redaction.
(b) Public Information Center. The FDIC maintains a Public
Information Center or "PIC" that contains
Corporate records that the Freedom of Information Act
requires be made available for regular inspection and
copying, as well as any records or information the FDIC, in
its discretion, has regularly made available to the public.
The PIC has extensive materials of interest to the public,
including many Reports, Summaries and Manuals used or
published by the Corporation that are available for
inspection and copying. The PIC is open from 9:00 AM to
5:00 PM, Monday through Friday, excepting federal holidays.
It is located at 801 17th Street, N.W., Washington, D.C.
20006. The PIC may be reached during business hours by
calling (800) 276-6003.
(c) Applicable fees.
(i) If applicable, fees for furnishing records under this
section are as set forth in § 309.5(f) except that
all categories of requesters shall be charged duplication
costs.
(ii) Information on the FDIC's World Wide Web page
is available to the public without charge. If, however,
information available on the FDIC's World Wide Web
page is provided pursuant to a Freedom of Information Act
request processed under § 309.5, then fees apply and
will be assessed pursuant to § 309.5(f).
[Codified to 12 C.F.R. § 309.4] [Section 309.4 amended
at 63 Fed. Reg. 16404, April 3, 1998, effective May 4,
1998]
§ 309.5
Procedures for requesting records.
(a) Definitions. For purposes of this section:
(1) Commercial use request means a request from or on
behalf of a requester who seeks records for a use or
purpose that furthers the commercial, trade, or profit
interests of the requester or the person on whose behalf
the request is made. In determining whether a request
falls within this category, the FDIC will determine the
use to which a requester will put the records requested
and seek additional information as it deems necessary.
(2) Direct costs means those expenditures the FDIC
actually incurs in searching for, duplicating, and, in
the case of commercial requesters, reviewing records in
response to a request for records.
(3) Duplication means the process of making a copy of a
record necessary to respond to a request for records or
for inspection of original records that contain exempt
material or that cannot otherwise be directly inspected.
Such copies can take the form of paper copy, microfilm,
audiovisual records, or machine readable records (e.g.,
magnetic tape or computer disk).
(4) Educational institution means a preschool, a public
or private elementary or secondary school, an institution
of undergraduate or graduate higher education, an
institution of professional education, and an institution
of vocational education, which operates a program or
programs of scholarly research.
(5) Noncommercial scientific institution means an
institution that is not operated on a commercial basis as
that term is defined in paragraph (a)(1) of this section,
and which is operated solely for the purpose of
conducting scientific research, the results of which are
not intended to promote any particular product or
industry.
(6) Representative of the news media means any person
primarily engaged in gathering news for, or a free-lance
journalist who can demonstrate a reasonable expectation
of having his or her work product published or broadcast
by, an entity that is organized and operated to publish
or broadcast news to the public. The term news means
information that is about current events or that would be
of current interest to the general public.
(7) Review means the process of examining records
located in response to a request for records to determine
whether any portion of any record is permitted to be
withheld as exempt information. It includes processing
any record for disclosure, e.g., doing all that is
necessary to excise them or otherwise prepare them for
release.
(8) Search includes all time spent looking for material
that is responsive to a request, including page-by-page
or line-by-line identification of material within
records. Searches may be done manually and/or by computer
using existing programming.
(b) Making a request for records.
(1) The request shall be submitted in writing to the
Office of the Executive Secretary:
(i) By completing the online request form located on
the FDIC's World Wide Web page, found at:
http://www.fdic.gov;
(ii) By facsimile clearly marked Freedom of
Information Act Request to (202) 898-8778; or
(iii) By sending a letter to the Office of the
Executive Secretary, ATTN: FOIA/PA Unit, 550 17th
Street, N.W., Washington, D.C. 20429.
(2) The request shall contain the following information:
(i) The name and address of the requester, an
electronic mail address, if available, and the
telephone number at which the requester may be reached
during normal business hours;
(ii) Whether the requester is an educational
institution, noncommercial scientific institution, or
news media representative; (iii) A statement agreeing
to pay the applicable fees, or a statement identifying
a maximum fee that is acceptable to the requester, or a
request for a waiver or reduction of fees that
satisfies paragraph (f)(1)(x) of this section; and
(iv) The preferred form and format of any responsive
information requested, if other than paper copies.
(3) A request for identifiable records shall reasonably
describe the records in a way that enables the FDIC's
staff to identify and produce the records with reasonable
effort and without unduly burdening or significantly
interfering with any of the FDIC's operations.
(c) Defective requests. The FDIC need not accept or process
a request that does not reasonably describe the records
requested or that does not otherwise comply with the
requirements of this part. The FDIC may return a defective
request, specifying the deficiency. The requester may
submit a corrected request, which will be treated as a new
request.
(d) Processing requests.--
(1) Receipt of requests. Upon receipt of any request that
satisfies paragraph (b) of this section, the FOIA/PA
Unit, Office of the Executive Secretary, shall assign the
request to the appropriate processing track pursuant to
this section. The date of receipt for any request,
including one that is addressed incorrectly or that is
referred by another agency, is the date the Office of the
Executive Secretary actually receives the request.
(2) Multitrack processing. (i) The FDIC provides
different levels of processing for categories of requests
under this part. Requests for records that are readily
identifiable by the Office of the Executive Secretary and
that have already been cleared for public release may
qualify for fast-track processing. All other requests
shall be handled under normal processing procedures,
unless expedited processing has been granted pursuant to
paragraph (d)(3) of this section. (ii) The FDIC will make
the determination whether a request qualifies for
fast-track processing. A requester may contact the
FOIA/PA Unit to learn whether a particular request has
been assigned to fast-track processing. If the request
has not qualified for fast-track processing, the
requester will be given an opportunity to refine the
request in order to qualify for fast-track processing.
Changes made to requests to obtain faster processing must
be in writing.
(3) Expedited processing. (i) Where a person requesting
expedited access to records has demonstrated a compelling
need for the records, or where the FDIC has determined to
expedite the response, the FDIC shall process the request
as soon as practicable. To show a compelling need for
expedited processing, the requester shall provide a
statement demonstrating that: (A) The failure to obtain
the records on an expedited basis could reasonably be
expected to pose an imminent threat to the life or
physical safety of an individual; or (B) The requester
can establish that they are primarily engaged in
information dissemination as their main professional
occupation or activity, and there is urgency to inform
the public of the government activity involved in the
request; and (C) The requester's statement must be
certified to be true and correct to the best of the
person's knowledge and belief and explain in detail
the basis for requesting expedited processing. (ii) The
formality of the certification required to obtain
expedited treatment may be waived by the FDIC as a matter
of administrative discretion.
(4) A requester seeking expedited processing will be
notified whether expedited processing has been granted
within ten (10) working days of the receipt of the
request. If the request for expedited processing is
denied, the requester may file an appeal pursuant to the
procedures set forth in paragraph (h) of this section,
and the FDIC shall respond to the appeal within ten (10)
working days after receipt of the appeal.
(5) Priority of responses. Consistent with sound
administrative process the FDIC processes requests in the
order they are received in the separate processing
tracks. However, in the agency's discretion, or upon
a court order in a matter to which the FDIC is a party, a
particular request may be processed out of turn.
(6) Notification.
(i) The time for response to requests will be twenty
(20) working days except: (A) In the case of expedited
treatment under paragraph (d)(3) of this section; (B)
Where the running of such time is suspended for the
calculation of a cost estimate for the requester if the
FDIC determines that the processing of the request may
exceed the requester's maximum fee provision or if
the charges are likely to exceed $250 as provided for
in paragraph (f)(1)(v) of this section; (C) Where the
running of such time is suspended for the payment of
fees pursuant to the paragraphs (d)(6)(i)(B) and (f)(1)
of this section; or (D) In unusual circumstances, as
defined in 5 U.S.C. 552(a)(6)(B) and further described
in paragraph (d)(6)(iii) of this section.
(ii) In unusual circumstances as referred to in
paragraph (d)(6)(i)(D) of this section, the time limit
may be extended for a period of: (A) Ten (10) working
days as provided by written notice to the requester,
setting forth the reasons for the extension and the
date on which a determination is expected to be
dispatched; or (B) Such alternative time period as
agreed to by the requester or as reasonably determined
by the FDIC when the FDIC notifies the requester that
the request cannot be processed in the specified time
limit.
(iii) Unusual circumstances may arise when: (A) The
records are in facilities, such as field offices or
storage centers, that are not located at the FDIC's
Washington office; (B) The records requested are
voluminous or are not in close proximity to one
another; or (C) There is a need to consult with another
agency or among two or more components of the FDIC
having a substantial interest in the determination.
(7) Response to request. In response to a request that
satisfies the requirements of paragraph (b) of this
section, a search shall be conducted of records
maintained by the FDIC in existence on the date of
receipt of the request, and a review made of any
responsive information located. The FDIC shall notify the
requester of:
(i) The FDIC's determination of the request;
(ii) The reasons for the determination;
Federal Deposit
Insurance Corporation Records Fees
Fee Schedule
Interim Notice of
Federal Deposit Insurance Corporation Records Fees
Fee Schedule
Date of Issuance: April 1, 2001
In 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 requests submitted no less
than thirty days 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 hourly labor rates shall apply:
Executive level staff -- $85.00
Professional level staff -- $53.00
Clerical level staff -- $23.00
Personal computer rate -- $1.77 per hour of use (in
addition to hourly labor rates)
The charge for duplication of documents shall be $0.10
per page
Computer charges:
Floppy disks -- $.50 each (plus data/labor costs)
CD -- $1.00 (plus data/labor costs)
Magnetic tape reel/cartridge -- $10.00 each (plus
data/labor costs)
Large tape reel/cartridge -- $100.00 each (plus
data/labor costs)
Mainframe computer data costs: (plus hourly labor rates,
if applicable)
CPU processing -- $0.18 per second
Disk I/O -- $0.35 per 1000 transactions
Tape I/O -- $0.20 per 1000 transactions
Printing -- $0.88 per 1000 lines
Special products:
Certain reports, manuals and other products are offered
at set prices by agency components which produce them.
Prices may be obtained upon request.
The above rates shall be in effect until further
notice.