Office of the United States Trade Representative2009 Annual FOIA ReportI. BASIC INFORMATION REGARDING REPORT 1. Name, title, address, and telephone number of person(s) to be contacted with questions about the report:Carmen Suro-BredieChief FOIA OfficerOffice of the U.S. Trade Representative1724 F St. N.W.Washington, D.C. 20508 (202) 395-3475Jonathan WeinbergerOffice of the U.S. Trade Representative1724 F St. N.WWashington, D.C. 20508 (202) 395-0317 2. Electronic address for report on the World Wide Web:WWW.USTR.GOV/ABOUT-US/READING-ROOM/FREEDOM-INFORMATION-ACT-FOIA 3. How to obtain a copy of the report in paper form: Contact the USTR Reading Room (202) 395-6186 II. MAKING A FOIA REQUESTAll requests for records must be in writing and should be addressed to Freedom of Information Officer, Office of the United States Trade Representative, 1724 F St., N.W. Washington, D.C. 20508.The requester must describe the records that he/she seeks in enough detail to enable USTR personnel to locate them in a reasonable amount of time. The request should include specific information about each record sought, such as the date, title or name, author, recipient, and subject matter of the record. 1. Names, addresses, and telephone numbers of all individual agency components and offices that receive FOIA requests:Carmen Suro-BredieChief FOIA OfficerOffice of the U.S. Trade Representative600 17th St. N.W.Washington, D.C. 20508 (202) 395-3475Jacqueline Caldwell FOIA Public Liaison Office of the U.S. Trade Representative 1724 F St. N.W. Washington, D.C. 20508 (202) 395-3419Jacqui_Caldwell@ustr.eop.gov 2. Brief description of why some requests are not granted.USTR may determine that the agency does not have records within the scope of the request. In addition, records are frequently exempt under applicable FOIA exemptions.. III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS 1. Agency-specific acronyms or other terms. USTR - - United States Trade Representative EOP – Executive Office of the President 2. Basic terms, expressed in common terminology.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.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 STATUES StatuteType of Information WithheldCase CitationNumber of Times Relied upon per ComponentTotal Number of Times Relied upon by Agency N/AN/AN/AN/AN/AV. FOIA REQUESTS A. Received, Processed and Pending FOIA Requests 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 18 605424 Number of Full GrantsNumber of Partial Grants/ Partial Denials Number of Full Denials Based on ExemptionsNumber of Full Denials Based on Reasons Other than Exemptions No RecordsAll Records Referred to Another Component or AgencyRequest Withdrawn Fee-Related ReasonRecords not Reasonably DescribedImproper FOIA Request for Other Reason Not Agency RecordDuplicate Request Other*Explain in chart belowTOTALAGENCY OVERALL19112128254B. (1) Disposition of FOIA Requests – All Processed RequestsB. (2) Disposition of FOIA Requests – Other Reasons for Full Denials Based on Reasons other than Exemptions from Section V, B (1) ComponentDescription of “Other” Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied uponTOTAL N/AN/AN/AB. (3) Disposition of FOIA Requests – Number of Times Applied Ex.1Ex.2Ex. 3Ex. 4Ex. 5Ex. 6Ex. 7(A)Ex. 7(B)Ex. 7(C)Ex. 7(D)Ex. 7(E)Ex. 7(F)Ex.8Ex.9 AGENCY OVERALL20016600000000 VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTSNumber 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 330A. Received, Processed and Pending Administrative AppealB. Disposition 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 ReasonsTOTAL12003 C. (1) Reasons for Denial on Appeal – Number of times Exemptions AppliedEx.1Ex.2Ex. 3Ex. 4Ex. 5Ex. 6Ex. 7(A)Ex. 7(B)Ex. 7(C)Ex. 7(D)Ex. 7(E)Ex. 7(F)Ex.8Ex.9000120100000000C. (2) Reasons for Denial on Appeal - Reasons Other than ExemptionsNo 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 below001000000000C. (3) Reasons for Denial on AppealDescription of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied uponTOTALN/AC. (4) Response Time for Administrative AppealsMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days241001858C. (5) Ten Oldest Pending Administrative AppealsDate of Receipt of Ten Oldest AppealsDateNumber of Days PendingN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A10TH9TH 8TH7TH 6TH5TH4TH 3RD 2NDOldestVII.FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTSA. 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 OVERALL0000277216870000**Currently *USTR does not use a multi-track system. All requests were deemed complex.B. Processed Requests – Response Time for Perfected Requests in Which Information Was GrantedSimpleComplexExpedited 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 OVERALL0000701561700000**Currently *USTR does not use a multi-track system. All requests were deemed complex.C. Complex Processed Requests – Response Time in Day Increments1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTAL AGENCY OVERALL2591313011030754D.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 OVERALL243862000E.Pending Requests – Ten Oldest Pending Perfected RequestsAgency Overall10th Oldest Request and Number of Days Pending9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Request and Number of Days PendingNumber of Days 6/2/09 867/29/09454/5/091274/1/091308/2/0828912/6/074749/27/075243/9/076627/6/0611826/3/061205VIII.REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVERA. Requests for Expedited Processing Number Granted Number DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar DaysAGENCY OVERALL202101B. Requests for Fee Waiver Number Granted Number DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateAGENCY OVERALL20100IX.FOIA PERSONNEL AND COSTSPERSONNELCosts 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 CostsTotal CostsAGENCY OVERALL12.303.30$146,834.00$116,968.00$263,802.00X.FEES COLLECTED FOR PROCESSING REQUESTSTotal Amount of Fees CollectedPercentage of Total CostsAGENCY OVERALLN/AN/AXI.FOIA REGULATIONSWWW.USTR.GOVXII.BACKLOGS, CONSULTATIONS, AND COMPARISONSA. 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 OVERALL240B. Consultations 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 YearNumber of Consultations Received from Other Agencies During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year AGENCY OVERALL 2 112C. Consultations on FOIA Requests – Ten Oldest Consultation PendingAgency Overall10th Oldest Consultation and Number of Days Pending9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation and Number of Days PendingDateNumber of Days6/10/083418/14/07556D. Comparison of Numbers of Requests from Previous and Current Annual Report - Requests Received, Processed, and BackloggedNUMBER 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 OVERALL53605354Number 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 ReportAGENCYOVERALL1824E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual ReportAppeals Received, Processed, and BackloggedNUMBER OF APPEALS RECEIVEDNUMBER OF APPEALS PROCESSEDNumber 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 ReportAGENCYOVERALL232**3**USTR received two (2) appeals during FY 2008 -- one appeal was processed and one was withdrawn by the requester.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 ReportAGENCYOVERALL00 PAGE 301PAGE -108536898Office of the U.S. Trade Representative 2009 Annual FOIA ReportJacqui_Caldwell@USTR.EOP.GOVCaldwell, Jacqui1280232229REPORT ON EXECUTIVE ORDER 13,392 IMPLEMENTATIONsuro-bredie_csneed_k22010-02-01T20:01:00Z2010-02-18T20:39:00Z2010-02-18T20:39:00Z030304817378Microsoft Office Word014440falseTitle1REPORT ON EXECUTIVE ORDER 13,392 IMPLEMENTATIONEOPfalse20386false4456512305http://www.ustr.gov/4980756005mailto:Jacqui_Caldwell@ustr.eop.govfalse12.0000