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Federal Reserve Board of Governors

Freedom of Information Office

Annual Report on FOIA for Fiscal Year 2013

The following information is submitted to the U.S. Department of Justice by the Board of Governors of the Federal Reserve System (Board) in accordance with the requirements of the Freedom of Information Act (5 U.S.C. § 552(e)) (FOIA), as amended.

I. Basic Information Regarding Report

  1. The Board's contact person for questions about this report is Ms. Jeanne M. McLaughlin, Manager, Freedom of Information Office, Mail Stop 132, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW, Washington, DC 20551; Tel: 202-452-3684; TDD only: 202-452-3544; FAX: 202-872-7565.
  2. A copy of this 2013 FOIA Annual Report is available on the Board's website.
  3. A paper copy of this report may be obtained by downloading it from the Board's website or requesting it from the Board's Freedom of Information Office (Tel: 202-452-3684).

II. Making a FOIA Request

  1. The Federal Reserve does not have individual agency components or offices that receive FOIA requests; all requests may be made to Mr. Robert deV. Frierson, Secretary of the Board, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW, Washington, DC 20551; Tel: 202-452-3711; FAX: 202-872-7565; or electronically.
  2. The exemptions most often applicable to information requested from the Board include (b)(4), (b)(5), (b)(6) and (b)(8). The Board receives a great deal of confidential supervisory information and privileged and private financial information concerning individuals, business, and banking entities. Therefore, exemptions (b)(4), (b)(6) and (b)(8) are used to withhold confidential or privileged material. The Board uses exemption (b)(5) to withhold staff analyses and recommendations and inter-agency or intra-agency communications.

III. Acronyms, Definitions, and Exemptions

  1. Agency-specific acronyms or other terms.
    1. Board -- Board of Governors of the Federal Reserve System
    2. FOIA -- Freedom of Information Act (5 U.S.C. § 552)
  2. Basic terms used in this Report:
    1. 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.
    2. 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.
    3. 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.
    4. 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.
    5. 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.
    6. 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.
    7. 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.)
    8. Full Grant -- an agency decision to disclose all records in full in response to a FOIA request.
    9. 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.
    10. Median Number -- the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
    11. 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.
      1. 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.
      2. 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.
      3. 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.
    12. 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.
    13. Pending Request or Pending Administrative Appeal -- a request or administrative appeal for which an agency has not taken final action in all respects.
    14. 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.
    15. Processed Request or Processed Administrative Appeal -- a request or administrative appeal for which an agency has taken final action in all respects.
    16. Range in Number of Days -- the lowest and highest number of days to process requests or administrative appeals.
    17. 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. Concise descriptions of the nine FOIA Exemptions
    1. Exemption 1: classified national defense and foreign relations information
    2. Exemption 2: internal agency rules and practices
    3. Exemption 3: information that is prohibited from disclosure by another federal law
    4. Exemption 4: trade secrets and other confidential business information
    5. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
    6. Exemption 6: information involving matters of personal privacy
    7. 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
    8. Exemption 8: information relating to the supervision of financial institution
    9. Exemption 9: geological information on wells

IV. Exemption 3 Statutes

Statute Type of Information Withheld Case Citation Total Number of Times Relied upon By Agency
31 U.S.C. § 5319 Bank Secrecy Act Reports pertaining to monetary instruments transactions filed under subchapter II of chapter 53 of title 31 and records of those reports Hulstein vs. DEA, No.10-4112, 2011 U.S. Dist. LEXIS 25788, at *7-8 (N.D. Iowa Mar. 11, 2011); Berger v. IRS, 487 F. Supp. 2d 482, 496 -97 (D. N.J. 2007, aff'd on other grounds, 288 F. App's 829 (3d Cir. 2008), cert. denied, 129 S. Ct. 2789 (U.S. 2009); Sciba v. Bd. Of Governors of the Fed. Reserve Sys., No 04-1011, 2005 WL 3201206, at *6 (D.D.C. Nov. 4, 2005). 1
44 U.S.C. § 3501, note (Confidential Information Protection and Statistical Efficiency Act of 2002) Census coding for geographical locations.   1
12 U.S.C. § 248(s)(6) (Dodd-Frank Wall Street Reform and Consumer Protection Act Information on borrowers at the discount window   1

 

V. FOIA Requests

  1. Received, Processed and Pending FOIA Requests
Agency/Component 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
FRB 53 838 854 37
Agency Overall 53 838 854 37

 

  1. (1) Disposition of FOIA Requests -- All Processed Requests
Agency / Component 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
FRB 472 80 31 80 35 53 4 21 29 0 7 42 854
                          0
Agency Overall 472 80 31 80 35 53 4 21 29 0 7 42 854

 

  1. (2) Disposition of FOIA Requests -- "Other" Reasons for "Full Denials Based on Reasons Other than Exemptions"
Agency / Component Description of "Other" Reasons for Denials from Chart B(1) Number of Times "Other" Reason Was Relied Upon TOTAL
FRB Unable to locate requester 5 42
Records not maintained by FRB 37
Agency Overall     42

 

  1. (3) Disposition of FOIA Requests--Number of Times Exemptions Applied
Agency / Component 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
FRB 0 0 3 38 27 29 2 0 4 1 3 0 48 0
Agency Overall 0 0 3 38 27 29 2 0 4 1 3 0 48 0

VI. Administrative Appeals of Initial Determinations of FOIA Requests

 

  1. Received, Processed, and Pending Administrative Appeals
Agency / Component 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
FRB 8 31 37 2
        0
Agency Overall 8 31 37 2

 

  1. Disposition of Administrative Appeals--All Processed Appeals
Agency / Component 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
FRB 20 10 0 7 37
          0
Agency Overall 20 10 0 7 37

 

  1. (1) Reasons for Denial on Appeal--Number of Times Exemptions Applied
Agency / Component 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
FRB 0 0 0 17 17 13 2 0 0 0 0 0 21 0
Agency Overall 0 0 0 17 17 13 2 0 0 0 0 0 21 0

 

  1. (2) Reason for Denial on Appeal--Reasons Other than Exemptions
Agency / Component 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
FRB 1 0 0 0 0 0 0 0 0 0 6
Agency Overall 1 0 0 0 0 0 0 0 0 0 6

 

  1. (3) Reasons for Denial on Appeal--"Other" Reasons
Agency / Component Description of "Other" Reasons for Denial on Appeal from Chart C(2) Number of Times "Other" Reason Was Relied Upon TOTAL
FRB Appeal is moot 1 6
No standing to appeal 1
Untimely appeal 3
Records not maintained by FRB 1
AGENCY OVERALL     6

 

  1. (4) Response Time for Administrative Appeals
Agency / Component Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days
Agency Overall 41.00 70.00 8.00 536.00

 

  1. (5) Ten Oldest Pending Administrative Appeals
Agency / Component   10th Oldest Appeal 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Appeal
Agency Overall Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A 9/11/2013 7/25/2013
Number of Days Pending 0 0 0 0 0 0 0 0 13 46

VII. FOIA Requests: Response Time For Processed and Pending Requests

 

  1. Response Time for All Processed Perfected Requests
Agency / Component 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
Agency Overall 2 5 <1 164 30 60 1 1027 358 355 350 358

 

  1. Processed Requests--Response Time for Perfected Requests in Which Information Was Granted
Agency / Component 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
Agency Overall 2 4 <1 32 25 50 1 880 N/A N/A N/A N/A

 

  1. Processed Requests--Response Time in Day Increments
Simple Request
Agency / Component <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
                             
FRB 368 16 1 0 1 0 0 0 1 0 0 0 0 387
                            0
Agency Overall 368 16 1 0 1 0 0 0 1 0 0 0 0 387

 

Complex Request
Agency / Component <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
                             
FRB 151 120 54 32 19 29 13 9 11 7 8 4 7 464
                            0
Agency Overall 151 120 54 32 19 29 13 9 11 7 8 4 7 464

 

Requests Granted Expedited Processing
Agency / Component <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
                             
FRB 0 0 0 0 0 0 0 0 0 0 0 3 0 3
                            0
Agency Overall 0 0 0 0 0 0 0 0 0 0 0 3 0 3

 

  1. Pending Requests--All Pending Perfected Requests
Agency / Component 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
Agency Overall 1 2 2 34 44 53 2 139 139

 

  1. Pending Requests--Ten Oldest Pending Perfected Requests
Agency / Component   10th Oldest Request 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Request
Agency Overall Date of Receipt 2013-07-15 2013-07-03 2013-06-28 2013-06-06 2013-05-31 2013-05-21 2013-05-17 2013-05-02 2012-10-19 2012-08-17
Number of Days Pending 54 61 64 80 83 84 93 104 233 276

VIII. Requests For Expedited Processing and Requests For Fee Waiver

 

  1. Requests for Expedited Processing
Agency/Component Number Granted Number Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate Number Adjudicated Within Ten Calendar Days
Agency Overall 1 2 11 9 1

 

  1. Requests for Fee Waiver
Agency / Component Number Granted Number Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate
Agency Overall 0 0 0 0

 

IX. FOIA Personnel and Costs

Agency / Component 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
FRB 9 12 21 $2,000,000.00 $100,000.00 $2,100,000.00
      0     $0.00
Agency Overall 9 12 21 $2,000,000.00 $100,000.00 $2,100,000.00

 

X. FEES Collected For Processing Requests

Agency / Component Total Amount of Fees Collected Percentage of Total Costs
FRB $9,994.00 0.50%
Agency Overall $9,994.00 0.50%

XI.FOIA Regulations

FOIA Regulations Regarding Availability of Information

XII. Backlogs, Consultations, and Comparisons

 

  1. Backlogs of FOIA Requests and Administrative Appeals
Agency / Component Number of Backlogged Requests as of End of Fiscal Year Number of Backlogged Appeals as of End of Fiscal Year
FRB 19 1
Agency Overall 19 1

 

  1. Consultations on FOIA Requests--Received, Processed, and Pending Consultations
Agency / Component Number of Consultations Received from Other Agencies that were Pending at the 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 the Agency During the Fiscal Year Number of Consultations Received from Other Agencies that were Pending at the Agency as of End of the Fiscal Year
FRB 0 6 4 2
        0
Agency Overall 0 6 4 2

 

  1. Consultations on FOIA Requests--Ten Oldest Consultations Received from Other Agencies and Pending at the Agency
Agency / Component   10th Oldest Consultation 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation
Agency Overall Date N/A N/A N/A N/A N/A N/A N/A N/A 5/31/2013 12/12/2012
Number of Days 0 0 0 0 0 0 0 0 84 199

 

  1. 1. Comparison of Numbers of Requests from Previous and Current Annual Reports--Requests Received and Processed
Agency / Component 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
FRB 899 838 891 854
Agency Overall 899 838 891 854

 

  1. 2. Comparison of Numbers of Requests from Previous and Current Annual Reports--Backlogged Requests
Agency / Component 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
FRB 30 19
Agency Overall 30 19

 

  1. 1. Comparison of numbers of Administrative Appeals from Previous and Current Annual Report--Appeals Received and Processed
Agency / Component 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
FRB 25 31 18 37
Agency Overall 25 31 18 37

 

  1. 2. Comparison of numbers of Administrative Appeals from Previous and Current Annual Report--Backlogged Appeals
Agency / Component 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
FRB 5 1
Agency Overall 5 1
Last update: November 7, 2014