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On September 28, 2010, CREW filed a Freedom of Information Act (FOIA) request with the Securities and Exchange Commission (SEC) seeking records of steps the agency has taken to improve its responses to FOIA requests. Last September, the SEC's Inspector General issued a report criticizing the SEC's compliance with the FOIA, and SEC Chairman Mary Schapiro recently told the House Financial Services Committee nine of the recommendations had been completed by the SEC. According to Chairman Schapiro, the steps the SEC has taken include issuing new guidance for processing FOIA requests, restructuring the agency's FOIA office, and distributing an agency-wide email to improve management oversight of FOIA responses. CREW is seeking records related to these and several other actions taken by the SEC. FOIA Request: CREW: Securities and Exchange Commission (SEC): Regarding Steps Taken to Improve FOIA Responses; Holder of Document: CREW; Producing Agency: Securities and Exchange Commission (SEC); Date Received: 11/29/10;
Originaltitel
CREW: Securities and Exchange Commission (SEC): Regarding Steps Taken to Improve FOIA Responses: 11/29/10 - Response Letter - Request No. 10 10344 FOIA
On September 28, 2010, CREW filed a Freedom of Information Act (FOIA) request with the Securities and Exchange Commission (SEC) seeking records of steps the agency has taken to improve its responses to FOIA requests. Last September, the SEC's Inspector General issued a report criticizing the SEC's compliance with the FOIA, and SEC Chairman Mary Schapiro recently told the House Financial Services Committee nine of the recommendations had been completed by the SEC. According to Chairman Schapiro, the steps the SEC has taken include issuing new guidance for processing FOIA requests, restructuring the agency's FOIA office, and distributing an agency-wide email to improve management oversight of FOIA responses. CREW is seeking records related to these and several other actions taken by the SEC. FOIA Request: CREW: Securities and Exchange Commission (SEC): Regarding Steps Taken to Improve FOIA Responses; Holder of Document: CREW; Producing Agency: Securities and Exchange Commission (SEC); Date Received: 11/29/10;
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On September 28, 2010, CREW filed a Freedom of Information Act (FOIA) request with the Securities and Exchange Commission (SEC) seeking records of steps the agency has taken to improve its responses to FOIA requests. Last September, the SEC's Inspector General issued a report criticizing the SEC's compliance with the FOIA, and SEC Chairman Mary Schapiro recently told the House Financial Services Committee nine of the recommendations had been completed by the SEC. According to Chairman Schapiro, the steps the SEC has taken include issuing new guidance for processing FOIA requests, restructuring the agency's FOIA office, and distributing an agency-wide email to improve management oversight of FOIA responses. CREW is seeking records related to these and several other actions taken by the SEC. FOIA Request: CREW: Securities and Exchange Commission (SEC): Regarding Steps Taken to Improve FOIA Responses; Holder of Document: CREW; Producing Agency: Securities and Exchange Commission (SEC); Date Received: 11/29/10;
Copyright:
Public Domain
Verfügbare Formate
Als PDF, TXT herunterladen oder online auf Scribd lesen
STATION PLACE 100 F STREET, NE WASHINGTON, DC 20549-2736
Office of FOIA Services
November 29, 2010
Mr. Adam Rappaport
CREW 1400 Eye Street, N.W. Suite 450 Washington, DC 20005
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Request No. 10-10344-FOIA
Dear Mr. Rappaport:
This is a final response to your request, dated September
28, 2010 and received in this office on September 29, 2010, for the following:
1) The SEC’s new procedural guidance providing “processing
guidance to FOIA/Privacy Act liaisons and Commission staff tasked with involvement in FOIA responses,” and all records that refer or relate to this guidance; 2) All records that refer or relate to the policy that a decision on a FOIA appeal may be made only by a senior officer who did not participate substantively in processing the initial FOIA request; 3) All records that refer or relate to the restructuring of the FOIA/Privacy Act Office “to improve management oversight of quality and consistency of responses, adherence to policy and procedure, and workload volume and backlog management”; 4) The agency-wide email sent by Chairman Schapiro “to improve management oversight of quality and consistency of responses, adherence to policy and procedure, and workload volume and backlog management,” and all records that refer or relate to the email; and 5) All records that refer or relate to the reinstated “web- based resource for all FOIA and Privacy Act matters that can be accessed by any staff member through the Commission’s intranet.” Mr. Adam Rappaport 10-10344-FOIA November 29, 2010 Page 2
With respect to No. 1 of your request, access is granted to
the “Freedom of Information and Privacy Act Processing Guidance for Liaisons” with the exception of certain information which is being denied under 5 U.S.C. § 552(b)(2), 17 CFR § 200.80(b)(2). The redacted information is protected under FOIA Exemption 2, since it relates solely to the internal rules and practices of the Commission and, if released, would significantly risk circumvention of statutes or regulations and impede the effectiveness of the Commission’s activities.
With respect to No. 2 of your request, access is granted in
full to a Memorandum dated March 17, 2010. Access is denied, however, to approximately 1¼ inches of records comprised of draft materials and emails related to the March 17th memorandum under 5 U.S.C. § 552(b)(5), 17 CFR § 200.80(b)(5). Because these documents form an integral part of the predecisional process they are protected from release by the deliberative process privilege embodied in FOIA Exemption 5.
In response to No. 3 of your request, shortly after his
appointment, the Chief FOIA Officer reviewed and re-aligned the Office of Freedom of Information Act (FOIA) Services structure to provide more effective use of management and staff resources. With additional funding, an additional processing branch was created within the office, thereby improving the ratio of Branch Managers to Research Specialists from 1 to 8 to 1 to 5. This restructuring has improved management oversight of workload in terms of quality and consistency of responses, adherence to policy and procedure, as well as workload volume and backlog management.
With respect to No. 4 of your request, access is granted in
full to a page from the Commission’s internal website from November 2009 entitled “From the Chairman: Freedom of Information Act Program at the SEC.”
With respect to No. 5 of your request, access is granted in
full to a page from the Commission’s internal website entitled “Office of Freedom of Information Act (FOIA) Services.” Mr. Adam Rappaport 10-10344-FOIA November 29, 2010 Page 3
You have the right to appeal our decision to our General
Counsel under 5 U.S.C. § 552(a)(6), 17 CFR § 200.80(d)(5) and (6). Your appeal must be in writing, clearly marked "Freedom of Information Act Appeal," and should identify the requested records. The appeal may include facts and authorities you consider appropriate.
Send your appeal to the Office of FOIA Services of the
Securities and Exchange Commission located at Station Place, 100 F Street NE, Mail Stop 2736, Washington, D.C. 20549, or deliver it to Room 1120 at that address. Also, send a copy to the SEC Office of the General Counsel, Mail Stop 9612, or deliver it to Room 1120 at the Station Place address.
If you have any questions, please contact me by email at
sifordm@sec.gov or by telephone at (202) 551-7201. If you cannot reach me please contact Ms. Celia Winter by calling (202) 551-7900 or by sending an e-mail to foiapa@sec.gov.