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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION


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.

Sincerely,

Mark P. Siford
FOIA/Privacy Act Attorney Advisor

Enclosures

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