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Federal
Deposit Insurance Corporation
Annual Freedom of Information Act
Report
Fiscal Year 2009 (For the period 10/01/2008 through 09/30/2009)
I. Basic Information Regarding
this Report
- The FDIC contact person for
questions about this report is Fredrick Lee Fisch, Supervisory Counsel,
FOIA/Privacy Act Group, FDIC Legal Division, 550 17th St. NW, MB-2098,
Washington, DC 20429; Telephone: (202) 898-6901; fax: (202) 898-6910.
- This report is available on the
FDIC web site at
http://www.fdic.gov/about/freedom/reports.html.
- A paper copy of this report may be
obtained by downloading it from the FDIC web site or by requesting a
copy from the FDIC Public Information Center, 3501 N. Fairfax Dr., Room
E-1005, Arlington, VA 22226; Telephone: (703) 562-2200, or (877)
275-FDIC (3342); fax: (703) 562-2296 or e-mail:
publicinfo@fdic.gov .
II. Making a FOIA Request to the FDIC
-
All FOIA requests to the FDIC must be in writing and directed to the FOIA/Privacy
Act Group, FDIC Legal Division, 550 17th St. NW, Washington, DC
20429. Requests may also be submitted electronically through the FDIC’s
Electronic FOIA Office on the web site at
www2.fdic.gov/efoiarequest/index.asp. The FDIC publication entitled,
“FOIA Guide – Gaining Access to FDIC Information” explains in detail how
to submit a FOIA request to the FDIC. The FOIA Guide is available on the
FDIC web site at
www.fdic.gov/about/freedom/Guide.html.
Some FOIA
requests are denied in whole or in part because the information requested
is exempted from disclosure by the FOIA (5 U.S.C. § 552 (b)). The
exemptions most often applicable to information requested from the FDIC
include (b)(4), (b)(5), (b)(6) and (b)(8). The FDIC receives a great deal
of privileged and private financial information concerning individuals,
businesses, and banking entities by virtue of its roles as a federal
financial institution regulatory agency, as well as the appointed receiver
of virtually all failed U.S. depository institutions. Therefore,
exemptions (b)(4) and (b)(6) are invoked to withhold confidential or
privileged material. The FDIC is also the primary regulator of most
state-chartered financial institutions and therefore prepares or receives
bank examination reports and related material. Such records are exempted
from FOIA disclosure in order to promote frank communications between
financial institutions and the FDIC examination staff and to maintain
stability in the financial system. Accordingly, the FDIC invokes FOIA
exemptions (b)(5) and (b)(8) for these purposes. Other exemptions, such
as (b)(2), (b)(7)(A), or (b)(7)(C) are used occasionally. In some cases,
records cannot be located.
III. Acronyms, Definitions, and Exemptions
-
There are no
FDIC-specific acronyms or other terms used in this report.
-
Definition of terms used
in this report:
-
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 requests on a decentralized basis, a “component” is
an entity, also sometimes referred to as an Office, Division, Bureau,
Center, or Directorate, within the agency that processes FOIA requests.
-
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 federal statute that exempts information from disclosure and upon
which the agency relies to withhold information under subsection (b)(3) of
the FOIA.
-
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 its 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-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 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
statute 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 – in response to a FOIA request, an agency decision
to disclose portions of the records 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 statute for an agency to respond to a FOIA request
(ordinarily twenty working days from receipt of a perfected FOIA request).
-
Concise descriptions of the nine FOIA exemptions:
-
Exemption 1: classified national defense and
foreign relations information.
-
Exemption 2: internal agency rules and practices.
-
Exemption 3: information that is prohibited from
disclosure by another federal law.
-
Exemption 4: trade secrets and other confidential
business information.
-
Exemption 5:
inter-agency or intra-agency communications that are protected by legal
privileges.
-
Exemption 6:
information involving matters of personal privacy.
-
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.
-
Exemption 8:
information relating to the supervision of financial institutions.
-
Exemption 9: geological information on wells.
IV. Exemption 3 Statutes
-
Exemption 3 Statutes Relied upon to Withhold Information
Statute |
Type of
Information Withheld |
Supporting
Case Citation |
Total Number of
Times Relied upon by FDIC |
-0- |
-0- |
-0- |
0 |
V. FOIA
Requests
- Received, Processed and Pending FOIA Requests (both perfected and
non-perfected)
Number of Requests Pending as of
the Start of the Fiscal Year |
Number of Requests Received in the
Fiscal Year |
Number of Requests Processed in
the
Fiscal Year |
Number of Requests Pending as of
the End of the Fiscal Year |
62 |
2207 |
2045 |
224 |
-
(1) Disposition of FOIA Requests – All
Processed Requests
Full Grant |
Partial Grant
Partial Denial |
Full
Denial Based on Exemption |
Full Denial No Records |
Full Denial
Records Referred to Another Agency |
Full Denial
Request Withdrawn |
Full Denial
Fee
Related |
Full
Denial
Records not Reasonably Described |
Full Denial
Improper FOIA Request
|
Full Denial
Not Agency Record |
Full Denial Dup. Req. |
Full Denial Other see B.(2)
below |
FDIC
Total |
1507 |
153 |
95 |
130 |
1 |
78 |
23 |
45 |
-0- |
4 |
7 |
2 |
2045 |
-
(2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials
Based on Reasons Other than Exemptions” from Section VB(1) Chart
Description of “Other”
Reasons for Denials from Chart B(1) & Number of Times Those Reasons
Were Relied Upon |
Total |
Government in the Sunshine Act, 5 U.S.C. 552b |
2 |
-
(3) Disposition of FOIA Requests – Number of Times Exemptions Applied
Ex.
1 |
Ex.
2 |
Ex.
3 |
Ex.
4 |
Ex.
5 |
Ex.
6 |
Ex.
7(A) |
Ex.
7(B) |
Ex.
7(c) |
Ex.
7(D) |
Ex.
7(E) |
Ex.
7(F) |
Ex.
8 |
Ex.
9 |
-0- |
17 |
-0- |
144 |
81 |
93 |
-0- |
-0- |
4 |
-0- |
1 |
1 |
73 |
-0- |
VI. Appeals of Initial Determinations of FOIA Requests
-
Received, Processed and Pending Administrative Appeals
Number of Appeals Pending
as of the Start of the Fiscal Year |
Number of Appeals
Received in the
Fiscal Year |
Number of Appeals
Processed in the
Fiscal Year |
Number of Appeals Pending
as of the End of the Fiscal Year |
2 |
51 |
49 |
4 |
-
Disposition of Administrative Appeals – All Processed Appeals
Number
Affirmed
on Appeal |
Number Partially Affirmed &
Partially Reversed or Remanded |
Number Completely Reversed or
Remanded
on Appeal |
Number of Appeals Closed for Other
Reasons |
TOTAL |
7 |
34 |
4 |
4 |
49 |
-
(1) Reasons for Denial on Appeal – Number of Times Exemptions Applied
Ex.
1 |
Ex.
2 |
Ex.
3 |
Ex.
4 |
Ex.
5 |
Ex.
6 |
Ex.
7(A) |
Ex.
7(B) |
Ex.
7(C) |
Ex.
7(D) |
Ex.
7(E) |
Ex.
7(F) |
Ex.
8 |
Ex.
9 |
-0- |
1 |
-0- |
13 |
5 |
7 |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
8 |
-0- |
-
(2) Reasons for Denial on Appeal – Reasons Other than Exemptions
No Records |
Records Referred at
Initial Request |
Request Withdrawn |
Fee Related Reason |
Records not Reasonably
Described |
Improper Request for Other
Reasons |
Not Agency Record |
Duplicate Request or
Appeal |
Request in Litigation |
Denial of Request for
Expedited Processing |
Other see
C.(3) below |
2 |
0 |
2 |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
2 |
-
(3) Reasons for Denial on Appeal – “Other” Reasons 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 Upon |
Total
|
Government in the Sunshine Act, 5 U.S.C.
552b |
2 |
-
(4) Response Time for Administrative Appeals
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
20 |
19 |
9 |
40 |
-
(5) Ten Oldest Pending Administrative Appeals
|
10th |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Appeal |
Date Received |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
09-24-09 |
09-08-09 |
07-31-09 |
05-12-09 |
Number of Days Pending |
-0-
|
-0-
|
-0-
|
-0-
|
-0-
|
-0-
|
4
|
16
|
42
|
98 |
VII. Response Time for Processed and Pending FOIA
Requests
-
Processed Requests – Response Time for All Processed Perfected Requests
Simple |
Complex | Expedited Processing
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
<1 |
2 |
<1 |
68 |
<1 |
4 |
<1 |
128 |
17 |
19 |
3 |
46 |
-
Processed Requests – Response Time for Perfected Requests Where
Information Granted
Simple |
Complex | Expedited Processing
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
<1 |
2 |
<1 |
68 |
<1 |
4 |
<1 |
128 |
18 |
20 |
3 |
46 |
-
Processed Requests – Response Time in Day Increments
Simple Requests
1 -
20 Days |
21 -
40 Days |
41 -
60 Days |
61 -
80
Days |
81 -
100
Days |
101 -120 Days |
121 -140 Days |
141 -160 Days |
161 -180 Days |
181 -200 Days |
201 -300 Days |
301 -400 Days |
401 + Days |
FDIC Total |
1235 |
37 |
1 |
2 |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
1275 |
Complex Requests
1 -
20 Days |
21 -
40 Days |
41 -
60 Days |
61 -
80
Days |
81 -
100
Days |
101 -120 Days |
121 -140 Days |
141 -160 Days |
161 -180 Days |
181 -200 Days |
201 -300 Days |
301 -400 Days |
401 + Days |
FDIC Total |
698 |
29 |
17 |
9 |
2 |
-0- |
1 |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
756 |
Requests Granted Expedited Processing
1 -
20 Days |
21 -
40 Days |
41 -
60 Days |
61 -
80
Days |
81 -
100
Days |
101 -120 Days |
121 -140 Days |
141 -160 Days |
161 -180 Days |
181 -200 Days |
201 -300 Days |
301 -400 Days |
401 + Days |
FDIC Total |
10 |
3 |
1 |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
14 |
-
Pending Requests – All Pending Perfected Requests
Simple |
Complex | Expedited Processing
Number Pending |
Median Number of Days |
Average Number of Days |
Number Pending |
Median Number of Days |
Average Number of Days |
Number Pending |
Median Number of Days |
Average Number of Days |
152 |
65 |
45 |
68 |
40 |
33 |
4 |
58 |
62 |
-
Pending Requests – Ten Oldest Pending Perfected Requests
|
10th |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Request |
Date Received |
06-08-09 |
06-05-09 |
06-01-09 |
05-28-09 |
05-18-09 |
05-12-09 |
04-23-09 |
02-24-09 |
11-17-08 |
11-10-08 |
Number of Days Pending |
80 |
81 |
85 |
87 |
94 |
98 |
111 |
153 |
219 |
223 |
VIII. Requests for Expedited
Processing and Requests for Fee Waiver
-
Requests For Expedited Processing
Number
Granted |
Number
Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
Number Adjudicated Within Ten Calendar
Days |
14 |
2 |
1 |
1 |
16 |
-
Requests for Fee Waiver
Number
Granted |
Number
Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
12 |
1 |
1 |
1 |
IX. FOIA Personnel and Costs
Personnel
| Costs
Number of
“Full-Time FOIA Employees” |
Number of “Equivalent
Full-Time FOIA Employees” |
Total Number of “Full-Time
FOIA Staff” |
Processing
Costs |
Litigation
Related
Costs |
Total Costs |
6 |
6 |
12 |
$2,288,000.00 |
$27,078.00 |
$2,315,078.00 |
X. Fees Collected for Processing
Requests
Total
Amount of Fees Collected |
Percentage of Total Costs |
$27,055.14 |
1.17 |
XI. FOIA Regulations and Fee Schedule
The FDIC FOIA regulations are available at http://www.fdic.gov/regulations/laws/rules/2000-3800.html#2000part309.
Paper copies of this report contain the full text of
the regulations. The FDIC Records Fee Schedule is set forth below and it is
also available at
http://www.fdic.gov/about/freedom/fees.html#schedule.
Federal Deposit
Insurance Corporation
Records
Fee Schedule
February
1, 2009
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 fees shall be in effect until further notice.
Hourly labor rates:
Executive level staff -- $109.00
Professional level staff -- $71.00
Clerical level staff -- $33.00
Duplication:
$0.25
per page
Computer charges:
Personal computer rate -- $1.84 per hour of use (in addition to hourly
labor rates)
CD -- $1.00 (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.
XII. Backlogs, Consultations, and Comparisons
-
Backlogs of FOIA Requests and Administrative Appeals
Number of Backlogged Requests
as of the End of the Fiscal Year |
Number of Backlogged Appeals
as of the End of the Fiscal Year |
170 |
2 |
-
Consultations on FOIA Requests – Received, Processed, and Pending Consultations
Number of Consultations Received from
Other Agencies that Were Pending as of the Start of the
Fiscal Year |
Number of Consultations Received
from Other Agencies During the Fiscal Year |
Number of Consultations Received from
Other Agencies that Were Processed During the Fiscal Year |
Number of Consultations Received from
Other Agencies that Were Pending at Your Agency as of the End
of the Fiscal Year |
-0- |
4 |
3 |
1 |
-
Consultations on FOIA Requests – Ten Oldest Consultations Received
from Other Agencies and Pending
|
10th
|
9th |
8th |
7th
|
6th |
5th
|
4th
|
3rd |
2nd
|
Oldest Consultation |
Date Received |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
-0- |
09-25-09 |
Number of Days Pending |
-0-
|
-0-
|
-0-
|
-0-
|
-0-
|
-0-
|
-0-
|
-0-
|
-0-
|
3
|
-
Comparison of Numbers of Requests from Previous and Current Annual
Report – Requests Received, Processed, and Backlogged
Number of Requests Received
| Number of Requests Processed
Number Received
During Fiscal Year
from Last Year’s
Annual Report |
Number Received
During Fiscal Year
from Current
Annual Report |
Number Processed During Fiscal Year
from Last Year’s
Annual Report |
Number Processed During Fiscal Year
from Current
Annual Report |
807 |
2207 |
780 |
2045 |
Number of Requests Backlogged
Number of Backlogged Requests
as of the End of the Fiscal Year from the
Previous Annual Report |
Number of Backlogged Requests
as of the End of the Fiscal Year from the
Current Annual Report |
10 |
170 |
-
E. Comparison of Numbers
of Appeals from Previous and Current Annual Report – Appeals Received,
Processed, and Backlogged
Number of Appeals Received Number of Appeals Processed
Number Received
During Fiscal Year
from Last Year’s
Annual Report |
Number Received
During Fiscal Year
from Current
Annual Report |
Number Processed During Fiscal Year
from Last Year’s
Annual Report |
Number Processed During Fiscal Year
from Current
Annual Report |
3 |
51 |
1 |
49 |
Number of Backlogged Appeals
as of the End of the Fiscal Year from the
Previous Annual Report |
Number of Backlogged Appeals
as of the End of the Fiscal Year from the
Current Annual Report |
-0- |
2 |
|