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HHS Fiscal Year 2011 Freedom of Information Annual Report

Contents

  1. BASIC INFORMATION REGARDING REPORT [XML]
  2. HOW TO MAKE A FOIA REQUEST
  3. ACRONYMS, DEFINITIONS, AND EXEMPTIONS
  4. Exemption 3 Statutes
  5. FOIA Requests
  6. Administrative Appeals of Initial Determinations of FOIA Requests
  7. FOIA Requests: Response Time for Processed and Pending Requests
  8. Requests for Expedited Processing and Requests for Fee Waiver
  9. FOIA Personnel and Costs
  10. Fees Collected for Processing Requests
  11. FOIA Regulations
  12. Backlogs, Consultations, and Comparisons

FREEDOM OF INFORMATION ANNUAL REPORT — FY 2011

I. BASIC INFORMATION REGARDING REPORT

1. Name, title, address, and telephone number of person(s) to be contacted with questions about the Report.

Robert Eckert
Director, Freedom of Information/Privacy Acts Division
Office of the Assistant Secretary for Public Affairs
United Sates Department of Health and Human Services
330 C Street, S.W., Room 2221
Washington D.C. 20201
(202) 690-7453

2. ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB:

http://www.hhs.gov/foia/11anlrpt.html

3. ADDRESS FOR PAPER COPIES OF THIS REPORT

Contact Robert Eckert at the address or telephone number listed above, or the link shown: http://www.hhs.gov/foia/request/index.html

**Copies of the annual reports of a number of individual HHS Operating Divisions can be found by contacting the responsible component shown in Section II below, or by locating a FOIA link at the following websites:

Administration on Aging (AOA):http://www.aoa.gov/AoARoot/Site_Utilities/FOIA/

Administration for Children and Families (ACF):http://www.acf.hhs.gov/acf_foia.html

Agency for Healthcare Research and Quality (AHRQ):http://www.ahrq.gov/news/foia.htm

Centers for Disease Control and Prevention (CDC):http://www.cdc.gov/od/foia/

Centers for Medicare & Medicaid Services (CMS):http://www.cms.hhs.gov/foia/

Food and Drug Administration (FDA):http://www.fda.gov/RegulatoryInformation/foi/

Health Resources and Services Administration (HRSA):http://www.hrsa.gov/foia/

Indian Health Service (IHS):http://www.ihs.gov/AdminMngrResources/FOIA/

National Institute of Health (NIH):http://www.nih.gov/icd/od/foia/

Office of the Assistant Secretary for Health (OASH):http://www.psc.gov/foia/

Substance Abuse and Mental Health Services Administration:http://www.samhsa.gov/foia/

II. HOW TO MAKE A FOIA REQUEST

Requests may be submitted electronically at: http://www.hhs.gov/foia/request/index.html

1. HHS and OPDIV Freedom of Information Officers/FOIA Requester Service Centers

Health and Human Services (HHS)
Freedom of Information Officer
Mary E. Switzer Building, Room 2206
330 C Street, S.W.
Washington, D.C. 20201
Phone: 202-690-7453

Administration for Children and Families (ACF)
Freedom of Information Officer
901 D Street, S.W.
7th Floor West Aerospace Building
Washington, D.C. 20447
Phone: 202-401-9215

Agency for Healthcare Research and Quality (AHRQ)
Freedom of Information Officer
540 Gaither Road
The Eisenberg Building, Room 3129
Rockville, Maryland 20850
Phone: 301-427-1866

Administration on Aging (AOA)
Freedom of Information Officer
Washington, D.C. 20201
Phone: 202-357-3540

Centers for Disease Control and Prevention (CDC) and/or
Agency for Toxic Substances and Disease Registry (ATSDR)
Freedom of Information Officer
1600 Clifton Road, N.E., MS D-54
Atlanta, Georgia 30333
Phone: (770) 488-6399

Centers for Medicare & Medicaid Services (CMS)
Freedom of Information Officer
North Building, Room N2-20-06
7500 Security Boulevard
Baltimore, Maryland 21244
Phone: 410-786-5353

Food and Drug Administration (FDA)
Freedom of Information Officer
12420 Parklawn Drive, Room 1050
Rockville, MD 20850
Phone: 301-827-6567

Health Resources and Services Administration (HRSA)
Freedom of Information Officer
Parklawn Building, Room 14-15
5600 Fishers Lane Rockville, Maryland 20857
Phone: 301-443-3376

Indian Health Service (IHS)
Freedom of Information Officer
12300 Twinbrook Parkway, Suite 450
Twinbrook II, Metro Plaza Building
Rockville, Maryland 20857
Phone: 301-443-1116

National Institutes of Health (NIH)
Freedom of Information Officer
Building 31, Room 5B35 9000 Rockville Pike
Bethesda, Maryland 20892
Phone: 301-496-5633

Office of Inspector General (OIG)
Freedom of Information Officer
Cohen Building, Suite 1062
330 Independence Ave, S.W.
Washington, D.C. 20201
Phone: 202-619-2541

Office of the Assistant Secretary for Health (OASH)
Freedom of Information Officer
7700 Wisconsin Avenue, Suite 920
Bethesda, MD 20814
Phone: 301-492-4800

Program Support Center (PSC)
Freedom of Information Officer
7700 Wisconsin Avenue, Suite 920
Bethesda, MD 20814
Phone: 301-492-4800

Substance Abuse and Mental Health Services Administration (SAMHSA)
Freedom of Information Officer
1 Choke Cherry Road, Room 8-1042
Rockville, Maryland 20857
Phone: 240-276-2137

2. Brief description of why some requests are not granted: Documents requested were protected by an exemption and release would have caused harm to the interest protected by the exemption. Information withheld may include home addresses and phone numbers, social security numbers, medical records, proprietary business records, investigatory records, that if released may interfere with open investigations, and drafts of documents.

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS:

1. Agency-specific acronyms or other terms:

HHS - U.S. Department of Health and Human Services
OPDIVs - Operating Divisions of HHS
OS - Office of the Secretary, HHS
OASPA - Office of the Assistant Secretary for Public Affairs, HHS
AoA - Administration on Aging
ACF - Administration for Children and Families
AHRQ - Agency for Healthcare Research and Quality
ATSDR - Agency for Toxic Substances and Disease Registry
CDC - Centers for Disease Control and Prevention
FDA - Food and Drug Administration
HRSA - Health Resources and Services Administration
IHS - Indian Health Service
NIH - National Institutes of Health
OIG - Office of the Inspector General
OASH - Office of the Assistant Secretary for Health
PRO - Professional Review Organization
PSC - Program Support Center
SAMHSA - Substance Abuse and Mental Health Services Administration

2. Basic terms (from FOIA UPDATE, Summer 1997):

  1. 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.
  2. 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.
  3. 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.
  4. 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 report data for both the agency overall and for each principal component of the agency.
  5. Consultation - the procedure whereby the agency responding to a FOIA request first forwards a record to another agency for its review because that 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.
  6. 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.
  7. 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.)
  8. Full Grant - an agency decision to disclose all records in full in response to a FOIA request.
  9. 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.
  10. Median Number - the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
  11. 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.
    1. 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.
    2. 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.
    3. 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.
  12. 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.
  13. Pending Request or Pending Administrative Appeal - a request or administrative appeal for which an agency has not taken final action in all respects.
  14. 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.
  15. Processed Request or Processed Administrative Appeal - a request or administrative appeal for which an agency has taken final action in all respects.
  16. Range in Number of Days - the lowest and highest number of days to process requests or administrative appeals.
  17. 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. Concise descriptions of the nine FOIA exemptions:

  1. Exemption 1: classified national defense and foreign relations information
  2. Exemption 2: internal agency rules and practices
  3. Exemption 3: information that is prohibited from disclosure by another federal law
  4. Exemption 4: trade secrets and other confidential business information e. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
  5. Exemption 6: information involving matters of personal privacy
  6. Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production of those records
    1. could reasonably be expected to interfere with enforcement proceedings,
    2. would deprive a person of a right to a fair trial or an impartial adjudication,
    3. could reasonably be expected to constitute an unwarranted invasion of personal privacy,
    4. could reasonably be expected to disclose the identity of a confidential source,
    5. would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or
    6. could reasonably be expected to endanger the life or physical safety of any individual
  7. Exemption 8: information relating to the supervision of financial institutions
  8. Exemption 9: geological information on wells

IV: Exemption 3 Statutes

Statute

Type of Information withheld

Case Citation

Component

Number of Times Relied upon per Component

Total number of Times Relied upon by Agency

5 U.S.C. app. § 107(a) (Ethics in Government Act of 1978)

Financial disclosure information pertaining to certain government employees

Meyerhof v. EPA, 948 F.2d 1498, 1500-02 (9th Cir. 1992

NIH

FDA

1

2

3

 

21 U.S.C. § 331(j) (Food Drug and Cosmetic Act)

Trade secrets

Anderson v. HHS, 907 F.2d 936, 950-51 (10th Cir. 1998).

FDA

24

24

21 U.S.C. § 350d(a)(b)

Food Registration Documents

None

FDA

5

5

41 U.S.C.  § 423(a)(1) Procurement Integrity Act)

Contractor bid or proposal information; source selection information

Legal & Safety Employer Research, Inc. v. U.S. Dep't of the Army, No. Civ. S001748, 2001 WL 34098652, at *3-4 (E.D. Cal. May 4, 2001) (dictum)

CDC

4

4

41 U.S.C. § 253b(m)

Technical proposal  not incorporated into a final contract

 

 

 

 

Hornbostel v. U.S. Dep't of the Interior, 305 F. Supp. 2d 21,30 (D.D.C. 2003), summary affirmance granted, No. 03-0527, 2004 WL 1900562 (D.C. Cir,Aug. 25, 2004).

 

 

 

 

OS

5

55

CDC

8

CMS

30

FDA

6

OASH

6

42 U.S.C. § 242m(d)

Identifiable information for certain research and statistical  activities

None

CDC

6

6

42 U.S.C. § 262a(h)

Select agent information.

 

None

 

OS

1

6

CDC

5

42 U.S.C. § 300aa-12(d)(4)(A) (National Childhood Vaccine Injury Act of 1986)

Medical records presented to a special master or the court in National Vaccine Injury Compensation Program

Long V DOJ, No. 06-CV-1086, 2011 WL 113925, at *10 (N.D.N.Y. Mar. 25, 2011)

HRSA

1

1

42 U.S.C § 11137(b)

Adverse reports of health practitioners’' conduct.

None

HRSA

2

2

V: FOIA Requests

    A. Received, Processed and Pending FOIA Requests

 

Number of Requests Pending as of Start of Fiscal Year

Number of Requests Received in Fiscal Year

Number of Requests Processed in Fiscal Year

Number of Requests Pending as of End of Fiscal Year

OS

560

1,396

1,592

364

ACF

317

296

416

197

AHRQ

7

77

81

3

AOA

0

16

16

0

CDC

323

1,128

1,088

363

CMS

5,233

52,116

53,328

4,021

FDA

4,691

9,301

10,602

3,390

HRSA

31

332

330

33

IHS

35

100

104

31

NIH

85

1,198

1,204

79

OIG

18

729

737

10

OASH

158

576

529

205

SAMHSA

154

166

152

168

HHS Total

11,612 

67,431

70,179

8,864

    B. (1) Disposition of FOIA Requests- All Processed Requests

Compo- nent

Num- ber of Full Grants

Number of Partial Grants/ Partial Denials

Number of Full Denials Based on Exemp- tions

Number of Full Denials Based on Reasons Other than Exemp- tions: No Records

Number of Full Denials Based on Reasons Other than Exemp- tions: All Records Referred to Another Compo- nent or Agency

Number of Full Denials Based on Reasons Other than Exemp- tions: Request With- drawn

Number of Full Denials Based on Reasons Other than Exemp- tions: Fee- Related Reason

Number of Full Denials Based on Reasons Other than Exemp- tions: Records not Reason- ably Described

Number of Full Denials Based on Reasons Other than Exemp- tions: Im- proper FOIA Request for Other Reason

Number of Full Denials Based on Reasons Other than Exemp- tions: Not Agency Record

Number of Full Denials Based on Rea- sons Other than Exemp- tions: Dupli- cate Request

Number of Full Denials Based on Reasons Other than Exemp- tions: Other
*Explain in chart below

Total

OS

99

146

28

56

798

17

1

5

77

46

9

310

1,592

ACF

100

158

13

37

24

59

1

5

0

3

16

0

416

AHRQ

15

33

0

23

0

3

0

0

0

2

0

5

81

AOA

0

1

0

15

0

0

0

0

0

0

0

0

16

CDC

213

247

28

275

55

146

33

20

26

4

24

14

1,088

CMS

33,856

789

6,400

7,011

109

750

1,410

464

1,176

59

245

1,029

53,238

FDA

7,473

170

77

707

8

1,386

213

1

93

2

201

271

10,602

HRSA

262

33

3

12

17

1

0

0

0

2

0

0

330

IHS

19

4

4

12

10

12

0

10

0

8

0

25

104

NIH

775

102

11

139

12

113

20

16

6

9

1

0

1,204

OIG

166

180

33

101

16

42

2

5

61

99

12

20

737

OASH

131

138

19

90

71

30

0

20

9

0

0

21

529

SAMHSA

64

82

0

2

1

1

0

0

0

0

2

0

152

HHS Total

43,173

2,083

6,.616

8,480

1,121

2,563

1,680

576

1,448

234

510

1,695

70,179

 

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

Component

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

TOTAL
OSAdministrative Closure - Based on Response and Non Response to Continued Interest calls and Correspondence

310

ACFN/A

0

AHRQReferrals to other areas, State and private organizations

5

AOAN/A

0

CDCNo response to still interested letters.

14

CMSAdministrative Closures based on response/non-response due to continued interest calls and correspondence

1,029

FDAAvailable on internet

271

HRSAN/A

0

IHSNo response to still interested letters.

25

NIHN/A

0

OIGNo response to still interested letters.

18

OIGAdministrative Closures.

2

OASHNo response to still interested letter

21

SAMHSAN/A

0

Agency Overall 

1,695

 

    B. (3) Disposition of FOIA Requests - Number of times exemptions applied

 

Ex. 1

Ex.2

Ex.3

Ex.4

Ex.5

Ex.6

Ex. 7 (A)

Ex. 7 (B)

Ex. 7 (C)

Ex. 7 (D)

Ex. 7 (E)

Ex. 7 (F)

Ex. 8

Ex. 9

OS

0

5

6

36

88

126

24

0

64

0

1

3

0

0

ACF

0

0

0

63

16

110

0

0

0

0

0

0

0

0

AHRQ

0

0

0

32

1

25

0

0

0

0

0

0

0

0

AOA

0

0

0

0

0

1

0

0

0

0

0

0

0

0

CDC

0

25

20

120

54

172

2

0

0

0

0

0

0

0

CMS

0

54

30

152

62

4,929

2

2

175

6

26

1

0

0

FDA

0

5

37

114

34

34

118

0

13

6

8

4

0

0

HRSA

0

0

3

38

6

41

0

0

0

0

0

0

0

0

IHS

0

0

0

6

3

6

0

0

0

0

0

0

0

0

NIH

0

4

1

27

24

45

5

0

6

2

1

1

0

0

OIG

0

1

0

63

63

164

29

0

124

1

27

0

0

0

OASH

0

1

6

61

24

123

1

0

33

0

2

0

0

0

SAMHSA

0

0

0

60

0

82

0

0

0

0

0

0

0

0

HHS Total

0

95

103

772

375

5,858

181

2

415

15

65

9

0

0

VI: Administrative Appeals of Initial Determinations of FOIA Requests

A. Received, Processed, and Pending Administrative Appeals

 

Number of Appeals Pending as of Start of Fiscal Year

Number of Appeals Received in Fiscal Year

Number of Appeals Processed in Fiscal Year

Number of Appeals Pending as of End of Fiscal Year

OS

211  

191

199

203

CMS

31

125

120

36

HHS Total

242  

316

319

239

  B. Disposition of Administrative Appeals – All Processed Appeals

 

Number Affirmed on Appeal

Number Partially Affirmed & Partially Reversed/Remanded on Appeal

Number Completely Reversed/Remanded on Appeal

Number of Appeals Closed for Other Reasons

TOTAL

OS

109

14

13

63

199

CMS

1

0

7

112

120

HHS Total

110

14

20

175

319

C. (1) Reasons for denial on Appeal – Number of Times Exemptions applied

 

Ex. 1

Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

Ex. 8

Ex. 9

OS

0

3

5

24

19

34

5

0

7

0

0

0

0

0

CMS

0

0

0

0

1

0

0

0

0

0

0

0

0

0

HHS Total

0

3

5

24

20

34

5

0

7

0

0

0

0

0

 C. (2) Reasons for denial on Appeal – Reasons other than exemptions

 

No Records

Records Referred at Initial Request Level

Request Withdrawn

Fee-Related Reason

Records Not Reasonably Described

Improper Request For Other Reasons

Not Agency Record

Duplicate Request Or Appeal

Request In Litigation

Appeal Based Solely on Denial of Request For Expedited Processing

Other Explain in Chart Below

OS

14

0

1

4

0

0

0

0

0

3

63

CMS

1

0

89

0

0

3

3

1

1

0

14

HHS Total

15

0

90

4

0

3

3

1

1

3

77

  C. (3) Reasons for denial on Appeal – Other:

 

Description of “Other” Reasons for Denial on Appeal from Chart C (2) &

Number of Times Those Reasons Were Relied upon

TOTAL

OS

Appeal moot

49

63

OS

Appeal untimely

2

63

OS

Appeal upheld

6

63

OS

Dismissed, appellant lacks standing

1

63

OS

No response from appellant

2

63

OS

Remand

3

63

CMS

Administrative closure based on response/non-response due to continued interest calls and correspondence

14

14

HHS TOTAL

 

 

77

 C. (4) Response time for administrative appeals (See chart)

 

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

OS

76

263

1

1,533

CMS

145

189

2

1,892

HHS Overall

76

200

1

1,892

C. (5) Ten Oldest Pending Appeals (See Chart)

 

 

10th Oldest Appeal

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

OS

Date of Receipt of Ten Oldest Appeals

8/31/
2004

8/24/
2004

7/29/
2004

6/22/
2004

6/22/
2004

6/3/
2004

6/1/
2004

4/16/
2004

2/24/
2004

2/11/
2004

OS

Number of Days Pending

2,586

2,593

2,619

2,656

2,656

2,675

2,677

2,723

2,775

2,788

CMS

Date of Receipt of Ten Oldest Appeals

1/26/
2011

1/24/
2011

1/20/
2011

12/23/
2010

12/14/
2010

12/10/
2010

11/9/
2010

11/4/
2010

10/20/
2010

10/4/
2010

CMS

Number of Days Pending

174

176

178

195

202

204

225

228

239

250

HHS Overall

Date of Receipt of Ten Oldest Appeals

8/31/
2004

8/24/
2004

7/29/
2004

6/22/
2004

6/22/
2004

6/3/
2004

6/1/
2004

4/10/
2004

2/24/
2004

2/11/
2004

HHS Overall

Number of Days Pending

2,586

2,593

2,619

2,656

2,656

2,675

2,677

2,723

2,775

2,788

VII. FOIA Requests: Response Time for Processed and Pending Requests

A. Processed Requests – Response Time for All Perfected Requests1

 

Simple: Med- ian Num-ber of Days

Simple: Aver-age Num- ber of Days

Simple: Low- est Num- ber of Days

Simple: High- est Num- ber of Days

Com- plex: Med- ian Num- ber of Days

Com- plex: Aver- age Num- ber of Days

Com- plex: Low- est Num- ber of Days

Com- plex: High- est Num- ber of Days

Expe- dited Pro- cess- ing: Med- ian Num- ber of Days

Expe- dited Pro- cess- ing: Aver- age Num- ber of Days

Expe- dited Pro-cess-ing: Low- est Num- ber of Days

Expe- dited Pro-cess- ing: High- est Num- ber of Days

OS2

0

0

0

0

600

185

1

1,619

0

0

0

0

ACF

0

1   

0

0

0

0

0

0

0

0

0

AHRQ

9

13

1

79

35

47

1

207

0

0

0

0

AOA

2

5

1

11

0

0

0

0

0

0

0

0

CDC

26

44

<1

292

32

73

<1

1,000

0

0

0

0

CMS

8

19

1

535

16

218

1

1,702

100

188

3

556

FDA

9

49

1

1,305

162

248

1

1,760

53

64

31

109

HRSA3

0

0

0

0

15

17

1

344

0

0

0

0

IHS

15

13

3

25

85

96

62

160

0

0

0

0

NIH4

14

24

1

459

0

0

0

0

0

0

0

0

OIG

1

3

1

23

14

24

1

170

0

0

0

0

OASH

13

26

1

349

174

263

6

925

0

0

0

0

SAMHSA

17

34

1

78

34

58

4

135

0

0

0

0

HHS Overall

15

35

<1

1,305

174

112

<1

1,760

60

70

3

556

Footnotes:

      • 1. Some numbers based on estimates.
      • 2. OS- Uses single-track log.
      • 3. HRSA - Uses single-track log.
      • 4. NIH - Uses single-track log.

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted5

 

Simple: Med-ian Num- ber of Days

Simple: Aver- age Num- ber of Days

Simple: Low- est Num-ber of Days

Simple: High- est Num-ber of Days

Com- plex: Med- ian Num-ber of Days

Com- plex: Ave- rage Num- ber of Days

Com- plex: Low- est Num- ber of Days

Com- plex: High- est Num-ber of Days

Expe- dited Pro- cess ing: Med- ian Num-ber of Days

Expe- dited Pro- cess- ing: Aver- age Num-ber of Days

Expe- dited Pro- cess- ing: Low- est Num- ber of Days

Expe- dited Pro- cess- ing: High- est Num- ber of Days

OS6

0

0

0

0

38

162

1

1,309

0

0

0

0

ACF

730

120

1

1,465

515

37

15

1,029

30

22

1

60

AHRQ

10

19

7

79

41

52

1

207

0

0

0

0

AOA

0

4

4

4

0

0

0

0

0

0

0

0

CDC

40

50.5

<1

155

52

88

<1

1,000

0

0

0

0

CMS

10

20

1

519

125

237

2

1,596

54

107

3

460

FDA

9

48.6

1

1,305

164

250

1

1,760

53

64.3

31

109

HRSA7

0

0

0

0

15

17

1

344

0

0

0

0

IHS

25

24

15

30

80

75

30

140

0

0

0

0

NIH8

14

24

1

459

0

0

0

0

0

0

0

0

OIG

2

5

1

23

23

31

1

170

0

0

0

0

OASH

25

33

1

174

171

276

41

925

0

0

0

0

SAMHSA

6

10

1

45

130

208

58

338

0

0

0

0

HHS Overall

275

98

<1

1,465

171

198

<1

1,760

50

63

1

460

Footnotes:

      • 5. Some numbers based on estimates.
      • 6. OS - Uses single-track log.
      • 7. HRSA - Uses single-track log.
      • 8. NIH - Uses single-track log.

C. Processed Requests – Response Time in Day Increments

1. Simple 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

OS9

0

0

0

0

0

0

0

0

0

0

0

0

0

0

ACF

6

5

11

18

17

11

28

10

19

20

78

9

154

386

AHRQ

33

1

2

1

0

0

0

0

0

0

0

0

0

37

AOA

16

0

0

0

0

0

0

0

0

0

0

0

0

16

CDC

17

8

8

0

2

0

1

3

0

0

1

0

0

40

CMS

38,244

5,083

1,933

1,113

796

412

260

156

152

84

266

90

52

48,641

FDA

2,423

717

438

392

492

441

244

116

91

81

253

99

220

6,007

HRSA10

0

0

0

0

0

0

0

0

0

0

0

0

0

0

IHS

14

8

9

11

4

3

3

2

4

0

0

0

0

58

NIH11

788

251

65

30

19

9

11

7

9

5

7

2

1

1,204

OIG

466

2

0

0

0

0

0

0

0

0

0

0

0

468

OASH

235

74

29

28

11

3

4

0

3

0

1

1

0

389

SAMHSA

1

32

17

0

0

0

0

0

0

0

0

0

0

50

HHS Overall

42,243

6,181

2,512

1,593

1,341

879

551

294

278

190

606

201

427

57,296

Footnotes:

        • 9. OS - Uses single-track log.
        • 10. HRSA - Uses single-track log.
        • 11. NIH - Uses single-track log.

2. Complex 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

OS

966

80

53

37

19

11

7

8

6

7

22

31

323

1,570

ACF

0

0

12

5

3

7

0

0

0

0

0

0

0

27

AHRQ

13

11

7

8

2

1

0

1

0

0

1

0

0

44

AOA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

CDC

387

215

113

67

49

46

36

33

19

9

18

19

37

1,048

CMS

2,478

187

102

72

72

47

46

42

48

55

177

242

1,095

4,663

FDA

577

309

248

212

251

230

154

101

106

116

295

379

1,538

4,516

HRSA

268

41

15

3

1

1

0

0

0

0

0

1

0

330

IHS

5

2

5

5

1

5

1

5

1

5

3

3

2

43

NIH

0

0

0

0

0

0

0

0

0

0

0

0

0

0

OIG

150

74

21

9

7

1

4

2

1

0

0

0

0

269

OASH

3

4

5

6

5

16

9

11

15

10

16

8

32

140

SAMHSA

28

10

12

1

0

0

0

0

0

0

0

0

1

52

HHS Total

4,875

933

593

425

410

365

257

203

196

202

532

683

3,028

12,702

3. Requests 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

OS

0

0

0

0

0

0

0

0

0

0

0

0

0

0

ACF

0

0

0

0

0

0

0

0

0

0

0

0

0

0

AHRQ

0

0

0

0

0

0

0

0

0

0

0

0

0

0

AOA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

CDC

0

0

0

0

0

0

0

0

0

0

0

0

0

0

CMS

4

3

1

4

0

0

1

0

0

0

3

5

3

24

FDA

0

0

0

0

1

0

1

0

0

0

1

0

0

3

HRSA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

IHS

0

0

0

0

0

0

0

0

0

0

0

0

0

0

NIH

0

0

0

0

0

0

0

0

0

0

0

0

0

0

OIG

0

0

0

0

0

0

0

0

0

0

0

0

0

0

OASH

0

0

0

0

0

0

0

0

0

0

0

0

0

0

SAMHSA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

HHS Total

4

3

1

4

1

0

2

0

0

0

4

5

3

27

D. Pending Requests – All Pending Perfected Request12

 Simple: Number PendingSimple: Median Number of DaysSimple: Average Number of DaysCom- plex: Number PendingCom- plex: Median Number of DaysCom- plex: Average Number of DaysExpe- dited Process- ing: Num- ber PendingExpe- dited Process- ing: Median Number of DaysExpe- dited Process- ing: Average Number of Days
OS13000364250366000
ACF24952428400029898
AHRQ24443230000
AOA000000000
CDC62793353471101661608608
CMS1,78310192,2291231509108152
FDA2521792173,145321092191227
HRSA14000341112000
HIS25365641245380000
NIH15791653000000
OIG21881441000
OASH3013116219174202000
SAMHSA251734803458000
HHS Total2,4532752156,47112319814166225

Footnotes:

      • 12. Some numbers based on estimates.
      • 13. OS - Uses single-track log.
      • 14. HRSA - Uses single-track log.
      • 15. NIH - Uses single-track log.

E. Pending Requests – Ten Oldest Pending Perfected Requests

 

10th Oldest Request and Number of Days Pending

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request and Number of Days Pending

OS:
Date of Receipt

4/19/
2007

3/6/
2007

2/9/
2007

1/24/
2007

9/28/
2006

11/14/
2005

7/18/
2005

4/25/
2005

3/28/
2005

4/19/
2007

OS:
Number of Days Pending

1,625

1,669

1,694

1,710

1,828

2,146

2,265

2349

2,377

2,429

ACF:
Date of Receipt

8/27/
2008

8/12/
2008

6/12/
2008

6/12/
2008

5/16/
2008

5/9/
2008

5/2/
2008

4/9/
2008

3/13/
2008

1/4/
2008

ACF:
Number of Days Pending

829

853

928

928

969

981

989

995

1,025

1,049

AHRQ:
Date of Receipt

N/A

N/A

N/A

N/A

9/26/
2011

9/26/
2011

8/30/
2011

8/18/
2011

8/12/
2011

8/9/
2011

AHRQ:
Number of Days Pending

0

0

0

0

4

4

22

30

34

37

AOA:
Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

AOA:
Number of Days Pending

0

0

0

0

0

0

0

0

0

0

CDC:
Date of Receipt

10/15/
2008

10/8/
2008

9/23/
2008

9/17/
2008

7/25/
2008

4/28/
2008

4/21/
2008

3/3/
2008

12/31/
2007

7/3/
2007

CDC:
Number of Days Pending

743

747

758

762

799

861

866

901

943

1,066

CMS:
Date of Receipt

1/25/
2010

1/25/
2010

1/20/
2010

1/19/
2010

1/19/
2010

1/15/
2010

1/14/
2010

1/12/
2010

1/6/
2010

1/5/
2010

CMS:
Number of Days Pending

422

422

425

426

426

427

428

430

434

435

FDA:
Date of Receipt

3/5/
2008

1/3/
2008

11/30/
2007

9/7/
2007

5/8/
2007

4/18/
2007

3/20/
2007

2/27/
2007

2/7/
2007

3/16/
2006

FDA:
Number of Days Pending

899

941

963

1,020

1,105

1,119

1,140

1,155

1,168

1,392

HRSA:
Date of Receipt

9/15/
2011

9/14/
2011

9/14/
2011

9/13/
2011

9/13/
2011

9/12/
2011

9/12/
2011

9/12/
2011

8/16/
2011

6/1/
2010

HRSA:
Number of Days Pending

11

12

12

13

13

14

14

14

32

344

IHS:
Date of Receipt

7/28/
2011

6/16/
2011

6/11/
2011

1/24/
2011

1/24/
2011

11/5/
2010

9/16/
2010

8/2/
2010

8/2/
2010

12/7/
2009

IHS:
Number of Days Pending

46

73

81

170

170

229

273

303

303

473

NIH:
Date of Receipt

5/6/
2011

4/8/
2011

3/22/
2011

2/2/
2011

1/18/
2011

12/13/
2010

10/13/2010

6/7/
2010

4/7/
2010

5/6/
2011

NIH:
Number of Days Pending

103

123

136

169

178

203

244

333

375

1,031

OIG:
Date of Receipt

9/20/
2011

9/19/
2011

9/19/
2011

9/19/
2011

9/9/
2011

9/9/
2011

8/23/
2011

7/8/
2011

6/2/
2011

9/20/
2011

OIG:
Number of Days Pending

6

9

9

9

11

11

28

60

86

128

OASH:
Date of Receipt

11/24/
2009

11/18/2009

11/16/2009

11/12/2009

9/15/
2009

6/16/
2009

1/5/
2009

11/21/2008

10/28/2008

11/24/
2009

OASH:
Number of Days Pending

483

487

489

491

533

598

714

745

763

782

SAMHSA:
Date of Receipt

10/26/
2010

10/12/
2010

9/18/
2010

7/23/
2010

7/14/
2010

5/12/
2010

5/8/
2010

4/11/
2010

3/10/
2010

10/26/
2010

SAMHSA:
Number of Days Pending<

231

241

275

313

319

359

360

380

400

412

Agency Overall:
Date of Receipt

2/9/
2007

2/7/
2007

1/24/
2007

9/28/
2006

3/16/
2006

11/14/2005

7/18/
2005

4/25/
2005

3/28/
2005

2/9/
2007

Agency Overall: 
Number of Days Pending

1,694

1,696

1,706

1,828

1,948

2,146

2,265

2,349

2,377

2,429

VIII: Requests for Expedited Processing and Requests for Fee Waiver

Requests for Expedited Processing

 

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

Number Adjudicated Within Ten Calendar Days

OS

0

8

5

2

8

ACF

2

0

45

45

0

AHRQ

0

0

0

0

0

AOA

0

0

0

0

0

CDC

0

15

8

10

15

CMS

19

0

1

4

17

FDA

3

92

13

21

38

HRSA

0

5

8

8

8

IHS

0

0

0

0

0

NIH

0

0

0

0

0

OIG

0

0

0

0

0

OASH

0

0

0

0

0

SAMHSA

0

0

0

0

0

HHS Total

24

163

13

22

78

  1. Requests for Fee Waiver

 

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

OS

0

0

0

0

ACF

0

1

45

45

AHRQ

6

0

11

58

AOA

0

0

0

0

CDC

3

15

41

45

CMS

7

0

1

1

FDA

254

11

11

20

HRSA

1

4

7

7

IHS

0

0

0

0

NIH

1

3

26

25

OIG

0

1

1

1

OASH

0

0

0

0

SAMHSA

0

0

0

0

HHS Total

272

35

26

25

IX: FOIA Personnel and Costs

 

Number of “Full-Time FOIA Employees”

Number of “Equivalent Full-Time FOIA Employees”

Total Number of Full-Time FOIA Staff

Processing Costs

Litigation-Related Costs

Total Costs

OS

12

0

12

$874,842.00

$28,598.00

$903,440.00

ACF

4

1

5

$443,333.00

$0.00

$443,333.00

AHRQ

1

0

1

$54,903.00

$0.00

$54,903.00

AOA

0

0.04

.004

$2,576.00

$0.00

$2,576.00

CDC

12

0

0

$1,148,880.00

$0.00

$114,8880.00

CMS

19

61

80

$4,821,716.00

$57,470.00

$4,879,186.00

FDA

85

42

127

$33,003,128.00

$130,226.00

$33,133,354.00

HRSA

3

1.5

4.5

$487,951.00

$0.00

$487,951.00

IHS

1

2

3

$369,945.00

$0.00

$369,945.00

NIH

15

13

28

$3,138,120.00

$20,981.00

$3,159,101.00

OIG

3

2

5

$100,688.00

$0.00

$100,688.00

OASH

5

2

7

$1,203,071.00

$2,500.00

$120,5571.00

SAMHSA

1

0

1

$99,191.00

$0.00

$99,191.00

HHS Total

161

123.83

284.83

$45,748,344.22

$239,775.00

$45,988,119.22

X: Fees Collected for Processing Requests

 

Total Amount of Fees Collected

Percentage of Total Costs

OS

$0.00

0.00%

ACF16

$0.00

0.00%

AHRQ

$175.00

0.32%

AOA

$0.00

0.00%

CDC

$24,232.77

2.11%

CMS

$606,801.39

12.58%

FDA

$452,246.57

1.37%

HRSA

$4,029.00

0.83%

IHS

$0.00

0.00%

NIH

$47,108.00

1.50%

OIG

$15,317.00

15.21%

OASH

$1,469.00

0.12%

SAMHSA

$1,026.00

1.03%

HHS Total

$1,152,404.73

2.52%

Footnotes:

  • 16. The ACF has temporarily suspended fee collections

 

A. Backlogs of FOIA Requests and Administrative Appeals

 

Number of Backlogged Requests as of End of Fiscal Year

Number of Backlogged Appeals as of End of Fiscal Year

OS

309

68

ACF

160

0

AHRQ

0

0

AOA

0

0

CDC

287

0

CMS

2,008

36

FDA

3,421

0

HRSA

2

0

IHS

34

0

NIH

25

0

OIG

4

0

OASH

165

0

SAMHSA

114

0

HHS Total

6,529

104


B. 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 Year

Number of Consultations Received from Other Agencies During the Fiscal Year

Number of Consultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal Year

Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year

OS

0

0

0

0

ACF

0

0

0

0

AHRQ

0

0

0

0

AOA

0

0

0

0

CDC

0

0

0

0

CMS

0

0

0

0

FDA

0

12

12

0

HRSA

0

0

0

0

IHS

0

0

0

0

NIH

0

4

4

0

OIG

0

0

0

0

OASH

0

4

4

0

SAMHSA

0

0

0

0

HHS Total

0

20

20

0

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

 

10th Oldest Request and Number of Days Pending

9th

9th

7th

6th

5th

4th

3rd

2nd

Oldest Request and Number of Days Pending

OS

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

ACF

0

0

0

0

0

0

0

0

0

0

AHRQ

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

AOA

0

0

0

0

0

0

0

0

0

0

CDC

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CMS

0

0

0

0

0

0

0

0

0

0

FDA

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

HRSA

0

0

0

0

0

0

0

0

0

0

IHS

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

NIH

0

0

0

0

0

0

0

0

0

0

OIG

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

OASH

0

0

0

0

0

0

0

0

0

0

SAMHSA

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

HHS Total

0

0

0

0

0

0

0

0

0

0

D. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged

(1) Requests Received and Processed

 

Number of Requests Received During Fiscal Year from Last Year’s Annual Report

Number of Requests Received During Fiscal Year from Current Annual Report

Number of Requests Processed During Fiscal Year from Last Year’s Annual Report

Number of Requests Processed During Fiscal Year from Current Annual Report

OS

2,144

1,396

2,306

1,592

ACF

1,133

296

1,538 

416

AHRQ

57

77

61

81

AOA

27

16

27

16

CDC

1,207

1,128

1,372 

1,088

CMS

46,586

52,116

51,665

53,328

FDA

9,690

9,301

9,879

10,602

HRSA

369

332

369

330

IHS

98

100

94

104

NIH

1,253

1,198

1,282

1,204

OIG

563

729

569

737

OASH

496

576

555

529

SAMHSA

216

166

143

152

HHS Total

63,839

67,431

69860

70,179

(2) Requests Backlogged

 

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report

Number of Backlogged Requests  as of End of the Fiscal Year from Current Annual Report

OS

525

309

ACF

299

160

AHRQ

1

0

AOA

0

0

CDC

245

287

CMS

3,486

2,008

FDA

4,691

3,421

HRSA

2

2

IHS

35

34

NIH

37

25

OIG

11

4

OASH

129

165

SAMHSA

91

114

HHS Total

9,552

6,529

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

(1) Appeals Received, Processed

 

Number of Appeals Received During Fiscal Year from Last Year’s Annual Report

Number of Appeals Received During Fiscal Year from Current Annual Report

Number of Appeals Processed During Fiscal Year from Last Year’s Annual Report

Number of Appeals Processed During Fiscal Year from Current Annual Report

OS

168    

191

244

199

CMS

26

125

145

120

HHS Total

194   

316

369

319

(2) Appeals Backlogged

 

Number of Backlogged Administrative Appeals as of End of the Fiscal Year from Previous Annual Report

Number of Backlogged Administrative Appeals as of End of the Fiscal Year from Current Annual Report

OS

198

68

CMS

31

36

HHS Total

229

104