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SEC FOIA Program
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A. |
Name: |
Brenda Fuller, Frank Henderson, and Valerie Lewis |
Title: |
Freedom of Information/Privacy Act Branch Chiefs | |
Address: |
Securities and Exchange Commission (SEC) | |
B. |
The electronic address for this report on the SEC's World Wide Web site is | |
C. |
C. To obtain a copy of this report in paper form, send a letter to: |
A copy of our publication "How to Make a FOIA Request" is available on the SEC's World Wide Web site at http://www.sec.gov/foia/howfo2.htm
A. |
The FOIA/Privacy Act Office is centralized. FOIA requests are considered received by the SEC only when they reach the FOIA/PA Office (See 17 CFR § 200.80 (d) (9) (ii)). Written requests should be submitted to the FOIA/PA Officer by: | |
e-mail: | foia/pa@sec.gov | |
fax: | (703) 914-1149; or | |
mail: | SEC Operations Center 6432 General Green Way, Mail Stop O-5 Alexandria, VA 22312-2413 | |
B. |
The SEC has two tracking systems (Fast-Track and First-In, First-Out (FIFO)), more commonly known as Simple and Complex requests. The Simple and Complex response times differ significantly. We are committed to processing the requests as expeditiously as possible. As such, in spite of the twenty-day statutory time limit, we responded to 918 Simple (Fast Track) requests within ten business days. This number represents approximately 40% of the Simple requests processed this year. Requests in our Complex (FIFO) system required our review of an average of 11 boxes of records per month and resolution of an average 8 requests for confidential treatment per month. | |
C. |
Many requests received by the SEC are for investigatory records, consumer complaints, and nonpublic correspondence. Some of these requests were denied because the records related to on-going investigations (Exemption 7 (A)), personal privacy (Exemptions 6 and 7 (C)), and intra and inter-agency records (Exemption 5). In addition, we affirmatively responded to 31 requests for information in an electronic format (diskette and magnetic cartridge). The total programming and production cost charged to the requesters ranged from $10.00 to $250.00.. | |
D. |
In compliance with the Electronic FOIA Amendments, we continued to post and update information to the agency's FOIA website for fiscal year 2002. This fiscal year the web statistics show we had approximately 4,850 hits to the website. |
A. |
Agency |
Securities and Exchange Commission SEC | |
B. |
Basic Terms
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A. |
List of Exemption 3 statutes relied on by the agency during the current fiscal year:
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A. |
Number of Requests | ||||||||||||||||||||||||||||||
1. |
Number of requests pending as of the end of the preceding fiscal year: |
1361 | |||||||||||||||||||||||||||||
2. |
Number of requests received during current fiscal year: |
3,5732 | |||||||||||||||||||||||||||||
3. |
Number of requests processed during current fiscal year: |
2,888 | |||||||||||||||||||||||||||||
4. |
Number of requests pending as of end of current fiscal year: |
821 | |||||||||||||||||||||||||||||
B. |
Disposition of Requests | ||||||||||||||||||||||||||||||
1. |
Number of total grants: |
522 | |||||||||||||||||||||||||||||
2. |
Number of partial grants: |
333 | |||||||||||||||||||||||||||||
3. |
Number of denials: |
294 | |||||||||||||||||||||||||||||
a. | number of times each FOIA exemption used
|
||||||||||||||||||||||||||||||
4. |
Other reasons for nondisclosure (total) |
1,739 | |||||||||||||||||||||||||||||
|
A. |
Number of appeals | ||||||||||||||||||||||||||||||
1. |
Number of appeals received during fiscal year: |
81 | |||||||||||||||||||||||||||||
2. |
Number of appeals processed during fiscal year: |
55 | |||||||||||||||||||||||||||||
B. |
Disposition of appeals | ||||||||||||||||||||||||||||||
1. |
Number completely upheld: |
38 | |||||||||||||||||||||||||||||
2. |
Number partially reversed: |
3 | |||||||||||||||||||||||||||||
3. |
Number completely reversed: |
14 | |||||||||||||||||||||||||||||
a. |
Number of times each FOIA exemption used:
| ||||||||||||||||||||||||||||||
4. |
Other reasons for nondisclosure (total): |
29 | |||||||||||||||||||||||||||||
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A. |
Median processing times for requests processed during current year: | |||
1. |
Simple (Fast Track) Requests | |||
a. |
Number of requests processed: |
2,872 | ||
b. |
Median number of days to process: |
16 | ||
2. |
Complex (FIFO) Requests | |||
a. |
Number of requests processed: |
11 | ||
b. |
Median number of days to process: |
137 | ||
3. |
Number of requests afforded expedited processing: | |||
a. |
Number of requests processed: |
5 | ||
b. |
Median number of days to process: |
5 | ||
B. |
Status of Pending Requests: |
|||
1. |
Number of requests pending as of end of current fiscal year: |
821 | ||
2. |
Median number of days Simple (Fast-Track) requests were pending: |
16 | ||
3. |
Median number of days Complex (FIFO) requests were pending: |
137 |
A. |
Optional | |||
B. |
Optional | |||
C. |
Optional | |||
D. |
Other statistics significant to agency: | |||
1. |
Number of requests afforded Expedited Processing: |
4 | ||
2. |
Number of requests denied Expedited Processing: |
1 |
A. |
Staffing levels | ||
1. |
Number of full time FOIA personnel: |
21 | |
2. |
Number of personnel with part-time |
40 | |
3. |
Total number of personnel |
61 | |
B. |
Total cost | ||
1. |
Incremental costs incurred in administering the FOIA: |
$2,933,058.00 | |
2. |
Litigation-related activities: |
$35,058.00 | |
3. |
Total costs: |
$2,968,116.00 |
A copy of the SEC's FOIA regulations is available on our website at http://www.sec.gov/foia.shtml and 17 CFR § 200.80.
1 The number differs from last year by 7 due to better accounting practices.
2 Requests include 3530 FOIA requests, 18 GITSA requests, and 25 PA requests.
http://www.sec.gov/foia/arfoia02.htm
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