Federal Retirement Thrift Investment Board (Agency)
Fiscal Year 2009 Annual
Freedom of Information Act (FOIA) Report
I. Basic Information Regarding Report
1. Contact person for questions about the
Agency?s annual FOIA report for Fiscal Year 2008 (10/01/07-9/30/08) :
2. Electronic address for this report on
the Agency?s World Wide Web site: http://www.frtib.gov
3. To obtain a paper copy of this report:
download it from the Web site (see I.2, above) or request it in writing from
the contact person (see I.1 above).
II. MAKING A
FOIA REQUEST
1. FOIA requests to the Agency are
received only by
2. There are a number of reasons why the
Agency may deny a FOIA request (See III.3).
For example, a request will be denied if the information requested constitutes
a clearly unwarranted invasion of personal privacy such as but not limited to;
participant?s addresses, social security numbers, personal telephone numbers
and account information.
III. Acronyms,
Definitions, AND EXEMPTIONS
1. Agency-specific
acronyms or terms used in this Report.
a. FOIA ? Freedom of Information Act (5
U.S.C. § 552)
b. FY ? Fiscal Year
c. Agency ? Federal Retirement Thrift
Investment Board
d. OGC ? Office of the General Counsel
2. Include
the following definitions of terms used in this Report:
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 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. 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 federal
statute that exempts information from disclosure and which the agency relies on
to withhold information under subsection (b)(3) of the FOIA.
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 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.)
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-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.
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 statute 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 ? 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.
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
statute for an agency to respond to a FOIA request (ordinarily twenty working
days from receipt of a perfected FOIA request).
3. Include the following concise
descriptions of the nine 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
|
Statute |
Type of Information Withheld |
Case Citation |
Number of Times Relied upon per Component |
Total Number of Times Relied upon by Agency |
|
|
|
|
Component A # Component B # |
0 |
|
|
|
|
Component A # Component B # |
0 |
V. FOIA REQUESTS
A. Received, Processed and Pending FOIA Requests
|
|
Column 1 |
Column 2 |
Column 3 |
Column 4 |
|
|
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 |
|
Component A |
4 |
19 |
17 |
2 |
|
Component B |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
4 |
19 |
17 |
2 |
B. (1)
Disposition of FOIA Requests ? All Processed Requests
|
|
Number of Full Grants |
Number of Partial Grants/ Partial Denials |
Number of Full Denials Based on Exemptions |
Number of Full Denials Based on Reasons Other than Exemptions |
|
||||||||
|
|
|
|
|
No Records |
All Records Referred to Another Component or Agency |
Request Withdrawn |
Fee-Related Reason |
Records not Reasonably Described |
Improper FOIA Request for Other Reason |
Not Agency Record |
Duplicate Request |
Other *Explain in chart below |
TOTAL |
|
Comp. A |
8 |
0 |
0 |
3 |
0 |
1 |
1 |
0 |
5 |
1 |
0 |
0 |
19 |
|
Comp. B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
8 |
0 |
0 |
3 |
0 |
1 |
1 |
0 |
5 |
1 |
0 |
0 |
19 |
B. (2) Disposition of FOIA Requests - ?Other? Reasons for ?Full Denials Based on Reasons Other than Exemptions? from Section V, B (1) Chart
|
Component |
Description of ?Other? Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied upon |
TOTAL |
|
Component A |
Description # Description # |
0 |
|
Component B |
Description # Description # |
0 |
B. (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 |
|
Component A |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS
A. Received, Processed and Pending Administrative Appeals
B.
|
Column 1 |
Column 2 |
Column 3 |
Column 4 |
|
Number of Appeals Pending as of Start of Fiscal Year |
Number of Appeals Received in Fiscal Year |
Number of Appeals Processed in Fiscal Year |
Number of Appeals Pending as of End of Fiscal Year |
|
0 |
0 |
0 |
0 |
B. Disposition of Administrative Appeals - All Processed Appeals
|
Number Affirmed on Appeal |
Number Partially Affirmed & Partially Reversed/Remanded on Appeal |
Number Completely Reversed/Remanded on Appeal |
Number of Appeals Closed for Other Reasons |
TOTAL |
|
0 |
0 |
0 |
0 |
0 |
C. (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 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. (2) Reasons for Denial on Appeal ? Reasons Other than Exemptions
|
No Records |
Records Referred at Initial Request Level |
Request Withdrawn |
Fee-Related Reason |
Records not Reasonably Described |
Improper Request for Other Reasons |
Not Agency Record |
Duplicate Request or Appeal |
Request in Litigation |
Appeal Based Solely on Denial of Request for Expedited Processing |
Other *Explain in chart below |
|
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. (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 |
|
Description # Description # |
0 |
C. (4) Response Time for Administrative Appeals
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
0 |
0 |
0 |
0 |
C. (5) Ten Oldest Pending Administrative Appeals
|
|
10th Oldest Appeal |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Appeal |
|
Date of Receipt of Ten Oldest Appeals |
Date |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Number of Days Pending |
# |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS
A. 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 |
|
|
Component A |
14 |
13 |
1 |
29 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
14 |
13 |
1 |
29 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
B. Processed Requests ? Response Time for Perfected Requests in Which Information Was 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 |
|
|
Component A |
14 |
16 |
9 |
19 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. 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 |
TOTAL |
|
Comp. A |
17 |
2 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
19 |
|
Comp. B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
17 |
2 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
19 |
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 |
TOTAL |
|
Comp. A |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Comp. B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
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 |
TOTAL |
|
Comp. A |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Comp. B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
D. 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 Average Number Number of Days of Days |
||
|
Component A |
0 |
15 |
27 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
15 |
27 |
0 |
0 |
0 |
0 |
0 |
0 |
E. Pending Requests - Ten Oldest Pending Perfected Requests
|
|
10th Oldest Request and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Request and Number of Days Pending |
|
Component A |
Date Number of Days |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Component B |
Date Number of Days |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Agency Overall |
10th Oldest Request and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Request and Number of Days Pending |
|
Date Number of Days |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER
A. 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 |
|
Component A |
0 |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
B. Requests for Fee Waiver
|
|
Number Granted |
Number Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
|
Component A |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
IX. FOIA PERSONNEL AND COSTS
A. Personnel
B. Costs
|
|
Column 1 |
Column 2 |
|
|
|
|
|
|
PERSONNEL |
COSTS |
||||
|
Number of ?Full-Time FOIA Employees? |
Number of ?Equivalent Full-Time FOIA Employees? |
Total Number of ?Full-Time FOIA Staff? (The sum of Columns 1 & 2) |
Processing Costs (At initial request and appeal levels) |
Litigation-Related Costs |
Total Costs |
|
|
Component A |
0 |
.6 |
.6 |
27,252 |
0 |
27,252 |
|
Component B |
0 |
0 |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
.6 |
.6 |
27,252 |
0 |
27,252 |
X.
FEES COLLECTED FOR PROCESSING REQUESTS
|
|
Total Amount of Fees Collected |
Percentage of Total Costs |
|
Component A |
0 |
0 |
|
Component B |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
XI. FOIA REGULATIONS
? FRTIB?s electronic link to our FOIA
regulations, including our fee schedule: http://www.frtib.gov/
XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS
A. Backlogs of FOIA Requests and Administrative Appeals
B.
|
|
Number of Backlogged Requests as of End of Fiscal Year |
Number of Backlogged Appeals as of End of Fiscal Year |
|
Component A |
1 |
0 |
|
Component B |
0 |
0 |
|
AGENCY OVERALL |
1 |
0 |
B. Consultations on FOIA Requests ? Received, Processed, and Pending Consultations
|
|
Column 1 |
Column 2 |
Column 3 |
Column 4 |
|
|
Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of 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 by Your Agency During the Fiscal Year |
Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year |
|
Component A |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
C. Consultations on FOIA Requests - Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency
|
|
10th Oldest Consultation and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Consultation and Number of Days Pending |
|
Component A |
Date Number of Days |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Component B |
Date Number of Days |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Agency Overall |
10th Oldest Consultation and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Consultation and Number of Days Pending |
|
Date Number of Days |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
D.
Comparison of Numbers of Requests from Previous and Current Annual Report - Requests Received, Processed, and Backlogged
Column 1 Column 2 Column 3 Column 4
|
|
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 |
|
|
Component A |
34 |
19 |
30 |
17 |
|
Component B |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
34 |
19 |
30 |
17 |
|
|
Column 1 |
Column 2 |
|
|
Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report |
Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report |
|
Component A |
2 |
1 |
|
Component B |
0 |
0 |
|
AGENCY OVERALL |
2 |
1 |
E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual
Report - Appeals Received, Processed, and Backlogged
Column 1
Column 2
Column 3
Column 4
|
|
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 |
|
|
Component A |
0 |
0 |
0 |
0 |
|
Component B |
0 |
0 |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
3. Starting with the Annual Report for Fiscal Year 2009, provide the number of
backlogged administrative appeals as of the end of the fiscal year from the previous Annual Report and the number of backlogged administrative appeals as of the end of the fiscal year from the current Annual Report.
|
|
Column 1 |
Column 2 |
|
|
Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report |
Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report |
|
Component A |
0 |
0 |
|
Component B |
0 |
0 |
|
AGENCY OVERALL |
0 |
0 |