Skip Navigation
  • Text Size: A A A
  • Print
  • Email
  • Facebook
  • Tweet
  • Share
  • Print
  • Email
  • Facebook
  • Tweet
  • Share

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

3. ADDRESS FOR PAPER COPIES OF THIS REPORT

Contact Robert Eckert at the address or telephone number listed above.

**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:

II. HOW TO MAKE A FOIA REQUEST

Requests may be submitted electronically:

  • Submit a FOIA Request

    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

    StatuteInformation WithheldCase CitationComponentTimes Relied upon by Component
    5 U.S.C. app. § 107(a) (Ethics in Government Act of 1978)Financial disclosure information pertaining to certain government employeesMeyerhof v. EPA, 948 F.2d 1498, 1500-02 (9th Cir. 1992NIH – 1 FDA – 23
    21 U.S.C. § 331(j) (Food Drug and Cosmetic Act)Trade secretsAnderson v. HHS, 907 F.2d 936, 950-51 (10th Cir. 1998).FDA – 2424
    21 U.S.C. § 350d(a)(b)Food Registration DocumentsNoneFDA – 55
    41 U.S.C. § 423(a)(1) Procurement Integrity Act)Contractor bid or proposal information; source selection informationLegal & 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 – 44
    41 U.S.C. § 253b(m)Technical proposal not incorporated into a final contractHornbostel 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
    DC – 8 CMS – 30 FDA – 6 OASH – 6
    55
    42 U.S.C. § 242m(d)Identifiable information for certain research and statistical activitiesNoneCDC – 66
    42 U.S.C. § 262a(h)Select agent information.NoneOS – 1 CDC – 56
    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 ProgramLong V DOJ, No. 06-CV-1086, 2011 WL 113925, at *10 (N.D.N.Y. Mar. 25, 2011)HRSA – 11
    42 U.S.C § 11137(b)Adverse reports of health practitioners’' conduct.NoneHRSA – 22

    V: FOIA Requests

    A. Received, Processed and Pending FOIA Requests

    ComponentRequests Pending Start of Fiscal YearRequests Received in Fiscal YearRequests Processed in Fiscal YearRequests Pending End of Fiscal Year
    OS5601,3961,592364
    ACF317296416197
    AHRQ777813
    AOA016160
    CDC3231,1281,088363
    CMS5,23352,11653,3284,021
    FDA4,6919,30110,6023,390
    HRSA3133233033
    IHS3510010431
    NIH851,1981,20479
    OIG1872973710
    OASH158576529205
    SAMHSA154166152168
    HHS Total11,61267,43170,1798,864

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

    Com-
    ponent
    Number
    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
    Total
    No RecordsAll
    Records
    Refer-
    red
    to
    another Compo-
    nent
    or Agency
    Request With-
    drawn
    Fee-
    Rel-
    ated Reason
    Records
    not
    Reason-
    ably
    Descri-
    bed
    Impro-
    per
    FOIA
    Request
    for
    Other
    Reason
    Not Agency RecordDupli-
    cate Request
    Other Explain in chart below
    OS9914628567981715774693101,592
    ACF100158133724591503160416
    AHRQ15330230300020581
    AOA010150000000016
    CDC2132472827555146332026424141,088
    CMS33,8567896,4007,0111097501,4104641,176592451,02953,238
    FDA7,4731707770781,386213193220127110,602
    HRSA26233312171000200330
    IHS194412101201008025104
    NIH7751021113912113201669101,204
    OIG1661803310116422561991220737
    OASH1311381990713002090021529
    SAMHSA64820211000020152
    HHS Total43,1732,0836,.6168,4801,1212,5631,6805761,4482345101,69570,179

    B. (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 upon
    TOTAL
    OS

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

    310
    ACF

    N/A

    0
    AHRQ

    Referrals to other areas, State and private organizations

    5
    AOA

    N/A

    0
    CDC

    No response to still interested letters.

    14
    CMS

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

    1,029
    FDA

    Available on internet

    271
    HRSA

    N/A

    0
    IHS

    No response to still interested letters.

    25
    NIH

    N/A

    0
    OIG

    No response to still interested letters.

    18
    OIG

    Administrative Closures.

    2
    OASH

    No response to still interested letter

    21
    SAMHSA

    N/A

    0

    Agency Overall

     1,695

    B. (3) Disposition of FOIA Requests - Number of Times Exemptions Applied

    ComponentEx. 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
    OS05636881262406401300
    ACF000631611000000000
    AHRQ0003212500000000
    AOA00000100000000
    CDC025201205417220000000
    CMS05430152624,92922175626100
    FDA0537114343411801368400
    HRSA0033864100000000
    IHS00063600000000
    NIH04127244550621100
    OIG0106363164290124127000
    OASH0166124123103302000
    SAMHSA0006008200000000
    HHS Total0951037723755,85818124151565900

    VI: Administrative Appeals of Initial Determinations of FOIA Requests

    A. Received, Processed, and Pending Administrative Appeals

    ComponentAppeals Pending Start of Fiscal YearAppeals Received in Fiscal YearAppeals Processed in Fiscal YearAppeals Pending End of Fiscal Year
    OS211191199203
    CMS3112512036
    HHS Total242316319239

    B. Disposition of Administrative Appeals – All Processed Appeals

    ComponentAffirmed on AppealPartially Affirmed & Partially Reversed/Remanded on AppealCompletely Reversed/Remanded on AppealAppeals Closed for Other ReasonsTOTAL
    OS109141363199
    CMS107112120
    HHS Total1101420175319

    C. (1) Reasons for Denial on Appeal – Number of Times Exemptions 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
    OS03524193450700000
    CMS00001000000000
    HHS Total03524203450700000

    C. (2) Reasons for Denial on Appeal – Reasons Other Than Exemptions

    Com-ponentNo RecordsRecords Referred at Initial Request LevelRequest With- drawnFee-Related ReasonRecords not Reason- ably DescribedImproper Request for Other ReasonsNot Agency RecordDup- licate Request or AppealRequest in Liti- gationAppeal Based Solely on Denial of Request for Expe- dited Pro- cessingOther *Explain in chart below
    OS1401400000363
    CMS1089003311014
    HHS Total15090403311377

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

    ComponentDescription of “Other” Reasons for Denial on AppealNumber of Times The Reasons Were Relied UponTOTAL
    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)

    ComponentMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
    OS7626311,533
    CMS14518921,892
    HHS Overall7620011,892

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

    Component10th9th8th7th6th5th4th3rd2nd1st
    OS Date of Receipt8/31/
    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 Days Pending2,5862,5932,6192,6562,6562,6752,6772,7232,7752,788
    CMS Date of Receipt1/26/
    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 Days Pending174176178195202204225228239250
    HHS Overall Date of Receipt8/31/
    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 Days Pending2,5862,5932,6192,6562,6562,6752,6772,7232,7752,788

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

    A. Processed Requests – Response Time for All Perfected Requests1

    ComponentSimple: Med- ian DaysSimple: Aver-age DaysSimple: Low- est DaysSimple: High- est DaysCom- plex: Med- ian DaysCom- plex: Aver- age DaysCom- plex: Low- est DaysCom- plex: High- est DaysExpe- dited Pro- cess- ing: Med- ian DaysExpe- dited Pro- cess- ing: Aver- age DaysExpe- dited Pro-cess-ing: Low- est DaysExpe- dited Pro-cess- ing: High- est Days
    OS2000060018511,6190000
    ACF001000000000
    AHRQ913179354712070000
    AOA2511100000000
    CDC2644<12923273<11,0000000
    CMS81915351621811,7021001883556
    FDA94911,30516224811,760536431109
    HRSA30000151713440000
    IHS15133258596621600000
    NIH41424145900000000
    OIG13123142411700000
    OASH1326134917426369250000
    SAMHSA1734178345841350000
    HHS Overall1535<11,305174112<11,76060703556

    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 Granted

    ComponentSimple: Med- ian DaysSimple: Aver-age DaysSimple: Low- est DaysSimple: High- est DaysCom- plex: Med- ian DaysCom- plex: Aver- age DaysCom- plex: Low- est DaysCom- plex: High- est DaysExpe- dited Pro- cess- ing: Med- ian DaysExpe- dited Pro- cess- ing: Aver- age DaysExpe- dited Pro-cess-ing: Low- est DaysExpe- dited Pro-cess- ing: High- est Days
    OS600003816211,3090000
    ACF73012011,46551537151,0293022160
    AHRQ1019779415212070000
    AOA044400000000
    CDC4050.5<11555288<11,0000000
    CMS1020151912523721,596541073460
    FDA948.611,30516425011,7605364.331109
    HRSA70000151713440000
    IHS252415308075301400000
    NIH81424145900000000
    OIG25123233111700000
    OASH25331174171276419250000
    SAMHSA610145130208583380000
    HHS Overall27598<11,465171198<11,76050631460

    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

    Component1–
    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
    OS900000000000000
    ACF651118171128101920789154386
    AHRQ3312100000000037
    AOA1600000000000016
    CDC1788020130010040
    CMS38,2445,0831,9331,11379641226015615284266905248,641
    FDA2,4237174383924924412441169181253992206,007
    HRSA1000000000000000
    IHS14891143324000058
    NIH117882516530199117957211,204
    OIG466200000000000468
    OASH2357429281134030110389
    SAMHSA13217000000000050
    HHS Overall42,2436,1812,5121,5931,34187955129427819060620142757,296

    Footnotes:

    9.OS - Uses single-track log.

    10. HRSA - Uses single-track log.

    11. NIH - Uses single-track log.

    2. Complex Requests

    Component1–
    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
    OS9668053371911786722313231,570
    ACF0012537000000027
    AHRQ13117821010010044
    AOA00000000000000
    CDC38721511367494636331991819371,048
    CMS2,478187102727247464248551772421,0954,663
    FDA5773092482122512301541011061162953791,5384,516
    HRSA26841153110000010330
    IHS525515151533243
    NIH00000000000000
    OIG15074219714210000269
    OASH3456516911151016832140
    SAMHSA281012100000000152
    HHS Total4,8759335934254103652572031962025326833,02812,702

    3. Requests Granted Expedited Processing

    Component1–
    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
    OS00000000000000
    ACF00000000000000
    AHRQ00000000000000
    AOA00000000000000
    CDC00000000000000
    CMS431400100035324
    FDA00001010001003
    HRSA00000000000000
    IHS00000000000000
    NIH00000000000000
    OIG00000000000000
    OASH00000000000000
    SAMHSA00000000000000
    HHS Total431410200045327

    D. Pending Requests – All Pending Perfected Request12

    ComponentSimple: Number PendingSimple: Median DaysSimple: Average DaysCom- plex: Number PendingCom- plex: Median DaysCom- plex: Average DaysExpe- dited Process- ing: Num- ber PendingExpe- dited Process- ing: Median DaysExpe- dited Process- ing: Average Days
    OS13

    0

    0

    0

    364

    250

    366

    0

    0

    0

    ACF

    249

    524

    284

    0

    0

    0

    2

    98

    98

    AHRQ

    2

    4

    4

    4

    32

    30

    0

    0

    0

    AOA

    0

    0

    0

    0

    0

    0

    0

    0

    0

    CDC

    6

    279

    335

    347

    110

    166

    1

    608

    608

    CMS

    1,783

    10

    19

    2,229

    123

    150

    9

    108

    152

    FDA

    252

    179

    217

    3,145

    32

    109

    2

    191

    227

    HRSA14

    0

    0

    0

    34

    11

    12

    0

    0

    0

    HIS

    25

    36

    56

    41

    245

    380

    0

    0

    0

    NIH15

    79

    16

    53

    0

    0

    0

    0

    0

    0

    OIG

    2

    1

    8

    8

    14

    41

    0

    0

    0

    OASH

    30

    13

    116

    219

    174

    202

    0

    0

    0

    SAMHSA

    25

    17

    34

    80

    34

    58

    0

    0

    0

    HHS Total

    2,453

    275

    215

    6,471

    123

    198

    14

    166

    225

    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

    Component10th9th8th7th6th5th4th3rd2nd1st  
    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:
    Days Pending
    1,6251,6691,6941,7101,8282,1462,26523492,3772,429
    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:
    Days Pending
    8298539289289699819899951,0251,049
    AHRQ:
    Date of Receipt
    N/AN/AN/AN/A9/26/
    2011
    9/26/
    2011
    8/30/
    2011
    8/18/
    2011
    8/12/
    2011
    8/9/
    2011
    AHRQ:
    Days Pending
    00004422303437
    AOA:
    Date of Receipt
    N/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    AOA:
    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:
    Days Pending
    7437477587627998618669019431,066
    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:
    Days Pending
    422422425426426427428430434435
    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:
    Days Pending
    8999419631,0201,1051,1191,1401,1551,1681,392
    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:
    Days Pending
    111212131314141432344
    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:
    Days Pending
    467381170170229273303303473
    NIH:
    Date of Receipt
    5/6/
    2011
    4/8/
    2011
    3/22/
    2011
    2/2/
    2011
    1/18/
    2011
    12/13/
    2010
    10/13/20106/7/
    2010
    4/7/
    2010
    5/6/
    2011
    NIH:
    Days Pending
    1031231361691782032443333751,031
    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:
    Days Pending
    69991111286086128
    OASH:
    Date of Receipt
    11/24/
    2009
    11/18/200911/16/200911/12/20099/15/
    2009
    6/16/
    2009
    1/5/
    2009
    11/21/200810/28/200811/24/
    2009
    OASH:
    Days Pending
    483487489491533598714745763782
    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:
    Days Pending<
    231241275313319359360380400412
    Agency Overall:
    Date of Receipt
    2/9/
    2007
    2/7/
    2007
    1/24/
    2007
    9/28/
    2006
    3/16/
    2006
    11/14/20057/18/
    2005
    4/25/
    2005
    3/28/
    2005
    2/9/
    2007
    Agency Overall:
    Days Pending
    1,6941,6961,7061,8281,9482,1462,2652,3492,3772,429

    VIII: Requests for Expedited Processing and Requests for Fee Waiver

    A. Requests for Expedited Processing

    ComponentGrantedDeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar Days
    OS08528
    ACF2045450
    AHRQ00000
    AOA00000
    CDC01581015
    CMS1901417
    FDA392132138
    HRSA05888
    IHS00000
    NIH00000
    OIG00000
    OASH00000
    SAMHSA00000
    HHS Total24163132278

    B. Requests for Fee Waiver

    ComponentGrantedDeniedMedian Number of Days to AdjudicateAverage Number of Days to Adjudicate
    OS0000
    ACF014545
    AHRQ601158
    AOA0000
    CDC3154145
    CMS7011
    FDA254111120
    HRSA1477
    IHS0000
    NIH132625
    OIG0111
    OASH0000
    SAMHSA0000
    HHS Total272352625

    IX: FOIA Personnel and Costs

    Component “Full-Time FOIA Employees” “Equivalent Full-Time FOIA Employees”Total Full-Time FOIA StaffProcessing CostsLitigation-Related CostsTotal Costs
    OS12012$874,842.00$28,598.00$903,440.00
    ACF415$443,333.00$0.00$443,333.00
    AHRQ101$54,903.00$0.00$54,903.00
    AOA00.04.004$2,576.00$0.00$2,576.00
    CDC1200$1,148,880.00$0.00$114,8880.00
    CMS196180$4,821,716.00$57,470.00$4,879,186.00
    FDA8542127$33,003,128.00$130,226.00$33,133,354.00
    HRSA31.54.5$487,951.00$0.00$487,951.00
    IHS123$369,945.00$0.00$369,945.00
    NIH151328$3,138,120.00$20,981.00$3,159,101.00
    OIG325$100,688.00$0.00$100,688.00
    OASH527$1,203,071.00$2,500.00$120,5571.00
    SAMHSA101$99,191.00$0.00$99,191.00
    HHS Total161123.83284.83$45,748,344.22$239,775.00$45,988,119.22

    X: Fees Collected for Processing Requests

    ComponentTotal Amount of Fees CollectedPercentage of Total Costs
    OS$0.000.00%
    ACF16$0.000.00%
    AHRQ$175.000.32%
    AOA$0.000.00%
    CDC$24,232.772.11%
    CMS$606,801.3912.58%
    FDA$452,246.571.37%
    HRSA$4,029.000.83%
    IHS$0.000.00%
    NIH$47,108.001.50%
    OIG$15,317.0015.21%
    OASH$1,469.000.12%
    SAMHSA$1,026.001.03%
    HHS Total$1,152,404.732.52%

    Footnotes:

    16. The ACF has temporarily suspended fee collections

    XI. FOIA Regulations

  • Title 45, Volume 1, Parts 1 to 199

    XII: Backlogs, Consultations, and Comparisons

    A. Backlogs of FOIA Requests and Administrative Appeals

    ComponentBacklogged Requests as of End of Fiscal YearBacklogged Appeals as of End of Fiscal Year
    OS30968
    ACF1600
    AHRQ00
    AOA00
    CDC2870
    CMS2,00836
    FDA3,4210
    HRSA20
    IHS340
    NIH250
    OIG40
    OASH1650
    SAMHSA1140

    HHS Total

    6,529104

    B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations

    ComponentConsultations Received from Other Agencies that Were Pending at Your Agency as of Start of the Fiscal YearConsultations Received from Other Agencies During the Fiscal YearConsultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal YearConsultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year
    OS0000
    ACF0000
    AHRQ0000
    AOA0000
    CDC0000
    CMS0000
    FDA012120
    HRSA0000
    IHS0000
    NIH0440
    OIG0000
    OASH0440
    SAMHSA0000
    HHS Total020200

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

    Component10th9th9th7th6th5th4th3rd2nd1st
    OSN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    ACF0000000000
    AHRQN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    AOA0000000000
    CDCN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    CMS0000000000
    FDAN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    HRSA0000000000
    IHSN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    NIH0000000000
    OIGN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    OASH0000000000
    SAMHSAN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
    HHS Total0000000000

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

    (1) Requests Received and Processed During Fiscal Year

    ComponentRequests Received from Last Year’s Annual ReportRequests Received from Current Annual ReportRequests Processed from Last Year’s Annual ReportRequests Processed from Current Annual Report
    OS2,1441,3962,3061,592
    ACF1,1332961,538416
    AHRQ57776181
    AOA27162716
    CDC1,2071,1281,3721,088
    CMS46,58652,11651,66553,328
    FDA9,6909,3019,87910,602
    HRSA369332369330
    IHS9810094104
    NIH1,2531,1981,2821,204
    OIG563729569737
    OASH496576555529
    SAMHSA216166143152
    HHS Total63,83967,4316986070,179

    (2) Requests Backlogged as of End of Fiscal Year

    ComponentBacklogged Requests from Previous Annual ReportBacklogged Requests from Current Annual Report
    OS525309
    ACF299160
    AHRQ10
    AOA00
    CDC245287
    CMS3,4862,008
    FDA4,6913,421
    HRSA22
    IHS3534
    NIH3725
    OIG114
    OASH129165
    SAMHSA91114
    HHS Total9,5526,529

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

    (1) Appeals Received and Processed During Fiscal Year

    ComponentNumber of Appeals Received from Last Year’s Annual ReportNumber of Appeals Received from Current Annual ReportNumber of Appeals Processed from Last Year’s Annual ReportNumber of Appeals Processed from Current Annual Report
    OS168191244199
    CMS26125145120
    HHS Total194316369319

    (2) Administrative Appeals Backlogged as of End of the Fiscal Year

    ComponentBacklogged Administrative Appeals from Previous Annual ReportBacklogged Administrative Appeals from Current Annual Report
    OS19868
    CMS3136
    HHS Total229104

Content last reviewed on July 18, 2014