OIP Guidance May 2008222009-12-18T19:31:00Z2010-01-06T18:21:00Z2010-01-06T18:21:00Z132291666315147651912711.00001888163887-1503014344

2009

FOIA

ReportI.Basic Information Regarding Report 1.Name, title, address, and telephone number of person(s) to be contacted with questions about the Report. Marilyn R. LevittFOIA OfficerSurface Transportation Board395 E Street, SWWashington, DC 20423-0001(202) 245-0269FAX (202) 245-0460e-mail: FOIA.Privacy@stb.dot.gov2.Electronic link for access to the Report on the agency Web site.http://www.stb.dot.gov/stb/foia.html3.How to obtain a copy of the Report in paper form. Request copy from FOIA officer in 1. above, by letter, FAX, or e-mail.II.MAKING A FOIA REQUEST1.Names, addresses, and telephone numbers of all individual agency components that receive FOIA requests. FOIA OfficerSurface Transportation Board395 E Street, SWTELE. NO. - (202) 245-0269Washington, DC 20423-0001 FAX - (202) 245-04602.Brief description of why some requests are not granted and an overview of certain general categories of the agency’s records to which the FOIA exemptions apply.

At the STB, FOIA requests may be denied

, in whole or in part, for a number of reasons. Requests may be denied under Exemption 4 because information submitted to the agency by third parties is deemed to be proprietary and commercially sensitive. Other requests may be denied under Exemption 5 because the requested materials are deemed to be pre-decisional staff communications that are part of the deliberative process, are attorney work-product, and/or are protected by the attorney/client privilege. In addition, a request may be denied under Exemption (high) 2 if the information requested could increase the agencys vulnerability to denial of service internet attacks. Finally, requests may be denied under Exemption 6 and/or the Privacy Act to protect a personal privacy interest.III.Acronyms, Definitions, AND EXEMPTIONS 1.Agency-specific acronyms or terms used in this Report. STB or Board (Surface Transportation Board)2.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.Following are concise descriptions of the nine FOIA exemptions:a.Exemption 1: classified national defense and foreign relations informationb.Exemption 2: internal agency rules and practicesc.Exemption 3: information that is prohibited from disclosure by another federal lawd.Exemption 4: trade secrets and other confidential business informatione. Exemption 5:inter-agency or intra-agency communications that are protected by legal privilegesf.Exemption 6: information involving matters of personal privacyg.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 individualh.Exemption 8: information relating to the supervision of financial institutionsi.Exemption 9:geological information on wellsIV.Exemption 3 Statutes A.Exemption 3 Statutes Relied upon to Withhold InformationStatuteType of Information WithheldCase CitationNumber of Times Relied upon per ComponentTotal Number of Times Relied upon by AgencyNoneN/AN/AN/AN/AV.FOIA Requests A.Received, Processed and Pending FOIA Requests (both perfected and non-perfected) Column 1Column 2Column 3Column 4 Number of Requests Pending as of Start of Fiscal YearNumber of Requests Received in Fiscal YearNumber of Requests Processed in Fiscal YearNumber of Requests Pending as of End of Fiscal Year

AGENCY

OVERALL 1 14 14 1 PAGE 1PAGE 21B. (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

Reasons

Other t

han 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

AGENCY

OVERALL80050100000014B. (2)Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B (1) Chart

Description of “Other” Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied uponTOTAL

AGENCY OVERALL N/A0B. (3)Disposition of FOIA Requests – Number of Times Exemptions Applied

Ex.

7(A)

Ex.

(B)

Ex.

7(C)

Ex.

(

)

Ex.

(E)

Ex.

(F)

Ex.

AGENCY

OVERALL00000000000000VI.ADMINISTRATIVE Appeals of Initial DETERMINATIONS of FOIA Requests Number of Appeals Pending as of Start of Fiscal YearNumber of Appeals Received in Fiscal YearNumber of Appeals Processed in Fiscal YearNumber of Appeals Pending as of End of Fiscal Year 0 1 Appeal of fee-waiver decision.10Disposition of Administrative Appeals – All Processed AppealsNumber Affirmed on AppealNumber Partially Affirmed & Partially Reversed/Remanded on AppealNumber Completely Reversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTAL00101C. (1)Reasons for Denial on Appeal – Number of Times Exemptions Applied

Ex.1

Ex.2

Ex. 3

Ex. 5

Ex.

Ex. 7(A)

Ex. 7(B)

Ex. 7(C)

Ex. 7(

Ex. 7(F)

Ex.8

Ex.900000000000000C. (2) Reasons for Denial on Appeal – Reasons Other than Exemptions No RecordsRecords Referred at Initial Request LevelRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordDuplicate Request or AppealRequest in Litigation Appeal Based Solely on Denial of Request for Expedited ProcessingOther

Explain in chart below00000000000C. (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 uponTOTALN/A0C. (4)Response Time for Administrative AppealsMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days15151515C. (5)Ten Oldest Pending Administrative Appeals

Date of Receipt of

Ten

Oldest AppealsDate

Number of Days Pending N/AN/AN/AN/AN/AN/AN/AN/AN/AN/A

Oldest Appeal

Oldest AppealVII.FOIA REQUESTS: RESPONSE TIME FOR PROCESSED and Pending Requests Processed Requests – Response Time for All Processed Perfected RequestsSimpleComplexExpedited processingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysAGENCY OVERALL5.56.75115N/AN/AN/AN/AN/AN/AN/AN/AProcessed Requests – Response Time for Perfected Requests in Which Information Was Granted SimpleComplex*Expedited PROCESSING*Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysAGENCY OVERALL98115N/AN/AN/AN/AN/AN/AN/AN/A*The STB had no requests in complex or expedited tracks.C.Processed Requests – Response Time in Day IncrementsSimple 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

AGENCY

OVERALL1300000000000013Complex 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

AGENCY

OVERALLN/AN/AN/AN/AN/AN/A N/AN/AN/AN/AN/AN/AN/A0Requests 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

AGENCY

OVERALLN/AN/AN/AN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A0D.Pending Requests – All Pending Perfected RequestsSimpleComplexExpedited PROCESSINGNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysAGENCY OVERALL1990N/AN/A0N/AN/AAgency Overall

Oldest Request and Number of Days Pending9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest Request and Number of Days Pending

Date

Number of DaysN/AN/AN/AN/AN/AN/AN/AN/A9/17/099 Pending Requests – Ten Oldest Pending Perfected RequestsVIII.REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER A.Requests for Expedited Processing Number Granted Number DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar DaysAGENCY OVERALL00N/AN/AN/AB.Requests for Fee Waiver Number Granted Number DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateAGENCY OVERALL101515IX.FOIA PERSONNEL AND COSTS PERSONNELNumber 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 level

)Litigation-Related CostsTotal CostsAGENCY OVERALL00.260.26$41,6030$41,603 X.FEES COLLECTED FOR PROCESSING REQUESTSTotal Amount of Fees CollectedPercentage of Total CostsAGENCY OVERALL$530.1%XI.FOIA REGULATIONS Electronic links to STBr FOIA regulations and fee schedule.The STB’s FOIA regulations are at HYPERLINK "http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=4193b60a1f48249ab956b83e1885b1ca&tpl=/ecfrbrowse/Title49/49cfr1001_main_02.tpl" http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=4193b60a1f48249ab956b83e1885b1ca&tpl=/ecfrbrowse/Title49/49cfr1001_main_02.tplThe STB’s fee schedule is at HYPERLINK "http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=c1cbfc2c7ab1977c53c86668e727522a&rgn=div5&view=text&node=49:8.1.1.1.4&idno=49" http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=c1cbfc2c7ab1977c53c86668e727522a&rgn=div5&view=text&node=49:8.1.1.1.4&idno=49Links to both the regulations and the fee schedule can be found at HYPERLINK "http://www.stb.dot.gov/stb/foia.html" http://www.stb.dot.gov/stb/foia.htmlXII.BACKLOGS, CONSULTATIONS, AND COMPARISONS SEQ CHAPTER \h \r 1A. Backlogs of FOIA Requests and Administrative AppealsNumber of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal YearAGENCY OVERALL00Consultations on FOIA Requests – Received, Processed, and Pending Consultations

Number of Consultations Received from Other Agencies that Were

Pending

at Your Agency as of

Start

of the

Fiscal Year

umber of Consultations

Received

from Other Agencies During the

Fiscal Year

mber of Consultations Received f

rom Other Agencies that Were

Processed

by Your Agency

During

the

Fiscal Year

Number of Consultations

Rec

eived from Other Agencies that W

ere

Pending

at Your Agency as of

End

of the Fiscal Year

AGENCY OVERALL 0 0 0 0 C.Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency Agency Overall

Oldest

Consultation

and Number of Days Pending9th 8th 7th 6th 5th 4th 3rd 2nd

Oldest

Consultation

and Number of Days Pending

Date

Number of DaysN/AN/AN/AN/AN/AN/AN/AN/AN/A D.Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged.NUMBER OF REQUESTS RECEIVEDNUMBER OF REQUESTS PROCESSED Number Received During Fiscal Year from Last Year’s Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year’s Annual ReportNumber Processed During Fiscal Year from Current Annual ReportAGENCY OVERALL24142414

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Requests as of End of the Fiscal Year from Current Annual ReportAGENCYOVERALL

0E.Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

NUMBER OF APPEALS RECEIVEDNUMBER OF APPEALS PROCESSED

Number Received During Fiscal Year from Last Year’s Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year’s Annual ReportNumber Processed During Fiscal Year from Current Annual ReportAGENCYOVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Appeals as of End of the Fiscal Year from Current Annual ReportAGENCYOVERALL