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) : Amanda Martz, FOIA Officer, Federal Retirement Thrift Investment Board, Suite 200, 1250 H Street, NW. Washington, DC 20005-3952, Tel: 202-942-1660; TDD: 800-877-8339; FAX: 202-942-1676.

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 Amanda Martz, FOIA Officer, Federal Retirement Thrift Investment Board, Suite 200, 1250 H Street, NW. Washington, DC 20005-3952, Tel: 202-942-1660 (see I.1).

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