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HHS Fiscal Year 2012 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 2012

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:

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

Information Withheld

Case Citation

Component

Times Relied upon per Component

18 U.S.C. ¤ 3123(d)

Certain court "order[s] authorizing or approving the installation and use a pen register or a trap and trace device"; information pertaining to "the existence of the pen register or trap and trace device or the existence of the investigation"

Jennings v. FBI, No. 03-1651, slip op. at 11-12 (D.D.C. May 6, 2004); riley v. FBI, No. 00-2378, 2002 U.S. Dist. LEXIS 2632, at *5-6 (D.D.C. Feb. 11, 2002); Manna v. DOJ, 815 F. Supp. 798, 812 (D.N.J. 1993), aff'd on other grounds, 51 F. 3d 1158 (3d Cir. 1995)

OIG – 2

2

41 U.S.C.  ¤ 4702(b)

Contractor proposals that are in the possession or control of an executive agency and that have not been set forth or incorporated by reference into contracts.

Sinkfieldv. HUD, No. 10-885, 2012 U.S. Dist. LEXIS 35233, at *13-15 (S.D. Ohio Mar. 15, 2012); Hornbostel v. U.S. Dep't of the Interior, 305 F. Supp. 2d 21, 30 (D.D.C. 2003), summary affirmance granted, No. 03-5257, 2004 WL 1900562 (D.C. Cir. Aug. 25, 2004).

OS – 1
CDC – 4
CMS - 6
FDA – 2
PSC – 9

22

42 U.S.C. ¤ 262a

Enhanced control of dangerous biological agents and toxins/bio-terrorism information

None

OIG – 3
CDC – 4

7

42 U.S.C. ¤ 242m(d) (Public Health Service Act ¤ 308(d))

Identifiable information for certain research and statistical activities

None

CDC - 1

1

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

"Except as provided in subparagraph (B), information submitted to a special master or the court in a proceeding on a petition [for compensation under the National Vaccine Injury compensation Program] without the express written consent of the person who submitted the information"

Long v. Department of Justice, 778 F. Supp.2d 222, 234 (N.D.N.Y. 2011)

HRSA - 3

3

Inspector General Act of 1978 (Pub. L. 95-452), ¤7

Complaints by Employees; Disclosure of Identity; Reprisals

None

OIG – 35

35

Rule 6(e) Federal Rules of Criminal Procedure

Certain records pertaining to grand jury proceedings

Sussmanv. USMS, 494 F. 3d 1106, 1113 (D.C. Cir 2007); Fund for Constititional Gov't v. Nat'l Archives & Records Serv., 656 F. 2d 856, 867-68 (D.C. Cir 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).

OIG – 2

2

5 U.S.C. app. 4 ¤ 107(a) (Ethics in Government Act of 1978)

Financial disclosure information pertaining to certain government employees

Meyeroffv. EPA, 958 F. 3d 1498, 1500-02 (9th Cir. 1992); Concepcion v. FBI, 606 F. Supp. 2d 14, 33 (D.D.C. 2009), renewed motion fir summary judgment granted in part on other grounds, 699 F. Supp. 2d 106 (D.D.C. 2010).

FDA - 2
NIH - 2

4

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

Certain information "concerning any methods or process which as a trade secret is entitled to protection"

Anderson v. HHS, 907 F.2d 936, 950-51 (10th Cir. 1990).

FDA - 53

53

21 U.S.C. ¤ 350d(a)(4)

Food Registration Documents

None

FDA - 3

3

42 U.S.C. ¤ 11137 (b)

Adverse reports of a health practitioner’s conduct

None

HRSA – 3

3

 

V: FOIA Requests

  1. Received, Processed, and Pending FOIA Requests

Component 

Requests Pending Start of Fiscal Year

Requests Received in Fiscal Year

Requests Processed in Fiscal Year

Requests Pending End of Fiscal Year

OS

364

1,129

1,099

394

ACF

182 [1]

285

225

242

ACL

0

18

18

0

AHRQ

6 [2]

57

57

6

CDC

363

1,123

899

587

CMS

4,021

53,424

53,744

3,701

FDA

3,469 [3]

9,598

10,492

2,575

HRSA

33

277

219

91

IHS

31

107

132

6

NIH

79

1,147

1,130

96

OIG

10

664

656

18

OASH

205

465

462

208

SAMHSA

27 [4]

173

123

77

HHS Total

8,790

68,467

69,256

8,001

B. (1) Disposition of all FOIA Requests – All Processed Requests

Component

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 Records

All Records Refer-
red to another Compo-
nent or Agency

Request With-
drawn

Fee-
Related Reason

Records not Reason-
ably Descri-
bed

Impro-
per FOIA Request for Other Reason

Not Agency Record

Dupli-
cate Request

Other Explain in chart below

OS

61

130

8

59

646

28

0

6

39

62

9

51

1,099

ACF

67

77

1

17

5

29

1

3

3

5

7

9

225

ACL

15

2

1

0

0

0

0

0

0

0

0

0

18

AHRQ

9

25

0

13

0

3

1

0

0

3

0

3

57

CDC

274

211

13

213

42

51

13

35

19

10

18

0

899

CMS

33,428

826

5,481

9,104

636

841

860

238

859

97

210

1,164

53,744

FDA

7,513

195

159

538

15

1,193

192

7

94

1

240

345

10,492

HRSA

173

22

5

5

8

4

0

0

0

0

2

0

219

IHS

21

30

20

12

5

4

0

1

6

12

1

20

132

NIH

741

108

10

104

15

125

7

9

6

5

0

0

1,130

OIG

140

138

60

113

14

41

1

4

44

83

7

11

656

OASH

143

98

26

99

40

15

0

17

4

1

6

13

462

SAMHSA

52

56

2

10

0

0

0

0

0

0

3

0

123

HHS
Total

42,637

1,918

5,786

10,287

1,426

2,335

1,075

320

1,074

279

503

1,616

69,256

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

Times Other Reason Was Relied Upon

TOTAL

OS

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

51

51

ACF

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

9  

9

ACL

N/A

0

0

AHRQ

Not a Proper Request

2

3

Referral

1

CDC

N/A

0

0

CMS

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

1,164

1,164

FDA

Available on Internet

345

345

HRSA

N/A

0

0

IHS

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

19

20

Available on Internet

1

NIH

N/A

 

0

OIG

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

6

11

Available on Internet

5

OASH

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

13

13

SAMHSA

N/A

0

0

Agency Overall

 

 

1,616

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

Component

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

0

1

43

89

117

10

0

44

0

0

2

0

0

ACF

0

1

0

8

72

0

0

0

0

0

0

0

0

0

ACL

0

0

0

0

0

3

0

0

0

0

0

0

0

0

AHRQ

0

0

0

23

4

24

0

0

0

0

0

0

0

0

CDC

0

0

9

54

27

179

0

1

0

0

3

2

0

0

CMS

0

0

6

95

13

5,203

2

0

455

19

26

20

0

0

FDA

0

0

60

151

65

41

157

0

10

4

5

1

0

0

HRSA

0

0

6

29

4

31

0

0

0

0

0

4

0

0

IHS

0

0

0

8

7

15

0

0

0

0

0

0

0

0

NIH

0

0

2

17

23

42

9

0

10

1

0

0

0

0

OIG

0

0

42

66

38

160

22

0

129

0

19

0

0

0

OASH

0

1

9

40

10

81

2

0

36

0

0

0

0

0

SAMHSA

0

0

0

37

2

54

1

0

0

0

0

0

0

0

HHS Total

0

2

135

571

354

5,950

203

1

684

24

53

29

0

0

 

VI: Administrative Appeals of Initial Determinations of FOIA Requests

A. Received, Processed, and Pending Administrative Appeals

 Component

Appeals Pending Start of Fiscal Year

Appeals Received in Fiscal Year

Appeals Processed in Fiscal Year

Appeals Pending End of Fiscal Year

OS

203

200

192

211

CMS

36

111

53

94

HHS Total

239

311

245

305

B. Disposition of Administrative Appeals – All Processed Appeals

Affirmed on Appeal

Partially Affirmed & Partially Reversed/Remanded on Appeal

Completely Reversed/Remanded on Appeal

Appeals Closed for Other Reasons

Affirmed on Appeal

Partially Affirmed & Partially Reversed/Remanded on Appeal

OS

81

23

11

77

192

CMS

0

1

2

50

53

HHS Total

81

24

13

127

245

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

Component

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

0

3

18

22

24

7

0

13

2

2

0

0

0

CMS

0

2

0

2

2

21

1

0

1

0

0

0

0

0

HHS Total

0

2

3

20

24

45

8

0

14

2

2

0

0

0

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

Component

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

33

0

14

1

0

0

0

2

7

9

53

CMS

3

0

42

0

0

0

3

17

0

1

0

HHS Total

36

0

56

1

0

0

3

19

7

10

53

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

Component

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

Number of Times Those Reasons Were Relied upon

TOTAL

OS

Appeal moot

34

53

Appeal untimely

15

Appeal upheld

7

Failed to respond on designate date

6

Remand

 

Component

 

CMS

N/A

0

0

HHS Total

 

 

53

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

Component

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

OS

82.00

225.00

1.00

2,121.00

CMS

76.00

117.00

2.00

361.00

HHS Overall

79.00

171.00

1.00

2,121.00

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

  

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

1st

OS

Date of Receipt

8/24/
2005

8/5/
2005

8/2/
2005

7/20/
2005

7/19/
2005

4/7/
2005

2/10/
2005

11/12/
2004

10/28/
2004

10/5/
2004

Number of Days Pending

2,556

2,575

2,578

2,590

2,591

2,693

2,750

2,838

2,852

2,875

CMS

Date of Receipt

4/13/
2011

4/12/
2011

4/6/
2011

4/4/
2011

3/31/
2011

3/31/
2011

3/24/
2011

3/10/
2011

2/16/
2011

10/4/
2010

Number of Days Pending

370

371

375

377

379

379

384

394

409

500

HHS Overall

Date of Receipt

8/24/
2005

8/5/
2005

8/2/
2005

7/20/
2005

7/19/
2005

4/7/
2005

2/10/
2005

11/12/
2004

10/28/
2004

10/5/
2004

Number of Days Pending

2,556

2,575

2,578

2,590

2,591

2,693

2,750

2,838

2,852

2,875

 

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

  1. Processed Requests – Response Time for All Perfected Requests [5]

Component

Simple

Complex

Expedited Processing

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

OS [6]

0

0

0

0

189

91

1

2,648

0

0

0

0

ACF

87

227

1

1,039

33

71

1

750

4

0

0

4

ACL

0

5

7

0

0

0

0

0

0

0

0

0

AHRQ

6

8

1

20

35

40

7

80

0

0

0

0

CDC

18

74

6

536

62

102

1

1,119

0

0

0

0

CMS

11

14

1

842

14

108

2

598

117

139

24

400

FDA

8

29

1

1,198

105

203

1

1,757

0

0

0

0

HRSA [7]

0

0

0

0

18

21

1

229

0

0

0

0

IHS

9

18

1

32

42

59

13

152

0

0

0

0

NIH [8]

13

16

1

161

54

78

1

1,240

0

0

0

0

OIG

1

3

1

27

9

27

1

257

0

0

0

0

OASH

7

16

1

153

100

166

7

999

0

0

0

0

SAMHSA

56

48

1

106

57

83

4

393

0

0

0

0

HHS Overall

8

35

0

1,198

42

80

0

2,648

60

11

0

400

  1. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted [9]

Component

Simple

Complex

Expedited Processing

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

OS [10]

0

0

0

0

53

151

1

1,863

0

0

0

0

ACF

78

138

1

1,073

50

68

2

486

0

0

0

0

ACL

14

11

6

15

0

0

0

0

0

0

0

0

AHRQ

8

9

3

20

35

40

10

80

0

0

0

0

CDC

18

74

6

536

62

102

1

1,119

0

0

0

0

CMS

15

17

1

548

193

187

2

571

117

135

41

379

FDA

8

29

1

1,198

111

205

1

1,757

0

0

0

0

HRSA [11]

0

0

0

0

18

21

1

229

0

0

0

0

IHS

9

18

1

32

42

59

13

152

0

0

0

0

NIH [12]

15

17

1

161

66

91

3

1,237

0

0

0

0

OIG

2

4

1

19

27

42

1

216

0

0

0

0

OASH

10

20

1

148

88

184

7

999

0

0

0

0

SAMHSA

57

53

1

316

64

84

4

393

0

0

0

0

HHS Overall

10

30

1

1,198

53

95

1

1,757

0

10

0

379

  1. Processed Requests – Response Time in Day Increments

1.      Simple Requests

Component

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

201-3
00 Days

301-4
00 Days

401+ Days

TOTAL

OS [13]

0

0

0

0

0

0

0

0

0

0

0

0

0

0

ACF

31

23

20

11

8

6

14

4

1

3

16

2

36

175

ACL

18

0

0

0

0

0

0

0

0

0

0

0

0

18

AHRQ

24

0

0

0

0

0

0

0

0

0

0

0

0

24

CDC

4

26

5

2

0

0

0

0

0

0

1

0

2

40

CMS

41,338

5,773

918

406

200

129

63

35

21

5

41

12

11

48,952

FDA

182

357

532

504

369

497

414

495

462

399

1,684

109

199

6,203

HRSA [14]

0

0

0

0

0

0

0

0

0

0

0

0

0

0

IHS

19

16

14

8

4

6

5

7

0

0

0

0

0

79

NIH [15]

704

205

52

10

0

0

0

0

1

0

0

0

0

972

OIG

425

2

0

0

0

0

0

0

0

0

0

0

0

427

OASH

181

35

8

5

4

1

1

3

0

0

0

0

0

238

SAMHSA

12

10

12

16

4

1

0

0

0

0

0

0

0

55

HHS Overall

42,938

6,447

1,561

962

589

640

497

544

485

407

1,742

123

248

57,183

2.      Complex Requests

Component

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

762

65

50

19

19

11

12

10

4

3

28

16

89

1,088

ACF

17

8

9

5

1

3

0

2

0

0

1

0

2

48

ACL

0

0

0

0

0

0

0

0

0

0

0

0

0

0

AHRQ

8

9

8

8

0

0

0

0

0

0

0

0

0

33

CDC

291

122

95

77

46

46

34

32

13

14

55

21

20

866

CMS

2,583

202

107

90

60

61

40

56

65

97

893

383

155

4,792

FDA

23

84

123

149

152

135

186

201

213

151

907

411

1,481

4,216

HRSA

133

51

15

5

6

1

0

4

0

1

4

1

0

221

IHS

5

12

8

6

4

8

7

3

0

0

0

0

0

53

NIH

43

27

16

19

16

7

6

6

6

3

6

1

2

158

OIG

149

27

18

16

4

8

2

1

1

0

3

0

0

229

OASH

2

40

30

27

13

17

12

9

5

6

32

13

18

224

SAMHSA

6

17

12

8

7

6

1

2

1

3

3

2

0

68

HHS Total

4,022

664

491

429

328

303

300

326

308

278

1,932

848

1,767

11,996

3. Requests Granted Expedited Processing

Component

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

1

0

0

0

0

0

0

0

0

0

0

0

0

1

ACL

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

CDC

0

0

0

0

0

0

0

0

0

0

0

0

0

0

CMS

0

2

3

1

2

1

2

1

1

1

1

2

0

17

FDA

0

1

0

0

0

0

0

0

0

0

0

0

0

1

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

1

3

3

1

2

1

2

1

1

1

1

2

0

19

  1. Pending Requests – All Pending Perfected Requests [16]

Component

Simple

Complex

Expedited Processing

Number Pending

Median Number of Days

Average Number of Days

Number Pending

Median Number of Days

Average Number of Days

Number Pending

Median Number of Days

Average Number of Days

OS [17]

0

0

0

394

376

446

0

0

0

ACF

174

87

497

66

33

73

0

0

0

ACL

0

0

0

0

0

0

0

0

0

AHRQ

0

0

0

6

31

40

0

0

0

CDC

61

19

54

508

160

221

1

858

858

CMS

1,927

11

17

1,774

92

120

15

127

138

FDA

342

22

92

2,208

160

213

3

290

303

HRSA [18]

0

0

0

58

65

84

0

0

0

IHS

0

0

0

6

120

65

0

0

0

NIH [19]

57

12

15

39

58

93

1

180

180

OIG

2

1

6

16

9

26

0

0

0

OASH

19

7

293

269

100

222

0

0

0

SAMHSA

18

56

209

58

57

166

0

0

0

HHS Total

2,600

15

91

5,402

79

136

20

235

114

  1. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Date of Receipt or Number of Days Pending

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

1st  

OS

Date of Receipt

7/20/
2009

6/29/
2009

4/22/
2009

2/23/
2009

9/25/
2008

9/9/
2008

3/10/
2008

3/4/
2008

2/27/
2008

10/26/
2007

Number of Days Pending

835

850

898

940

1047

1059

1190

1194

1198

1286

ACF

Date of Receipt

8/28/
2008

8/12/
2008

6/12/
2008

6/12/
2008

5/9/
2008

5/2/
2008

2/27/
2008

2/27/
2008

2/11/
2008

1/4/
2008

Number of Days Pending

1066

1078

1121

1121

1145

1150

1197

1197

1209

1236

ACL

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

AHRQ

Date of Receipt

N/A

N/A

N/A

N/A

9/21/
2012

8/29/
2012

8/16/
2012

8/13/
2012

6/8/
2012

6/6/
2012

Number of Days Pending

0

0

0

0

5

21

30

33

78

80

CDC

Date of Receipt

1/16/
2009

1/6/
2009

11/25/
2008

11/5/
2008

10/23/
2008

10/8/
2008

9/23/
2008

7/25/
2008

4/28/
2008

12/31/
2007

Number of Days Pending

930

938

965

978

987

997

1008

1049

1111

1193

CMS

Date of Receipt

2/4/
2011

2/3/
2011

1/31/
2011

1/24/
2011

1/19/
2011

1/19/
2011

1/12/
2011

1/10/
2011

12/21/
2010

9/28/
2010

Number of Days Pending

416

417

420

425

428

428

432

434

446

503

FDA

Date of Receipt

4/16/
2008

3/18/
2008

3/18/
2008

3/5/
2008

1/3/
2008

11/30/
2007

9/7/
2007

4/18/
2007

4/11/
2007

2/27/
2007

Number of Days Pending

1119

1140

1140

1149

1237

1261

1321

1423

1428

1459

HRSA

Date of Receipt

3/19/
2012

2/28/
2012

2/28/
2012

2/24/
2012

12/27/
2011

12/5/
2011

11/10/
2011

10/12/
2011

7/22/
2011

1/24/
2011

Number of Days Pending

139

151

151

153

193

206

220

239

293

359

IHS

Date of Receipt

N/A

N/A

N/A

N/A

9/12/
2012

8/21/
2012

8/9/
2012

7/27/
2012

6/4/
2012

2/27/
2012

Number of Days Pending

0

0

0

0

13

22

37

46

85

152

NIH

Date of Receipt

4/25/
2012

3/13/
2012

3/6/
2012

2/8/
2012

1/24/
2012

1/17/
2012

9/30/
2011

6/1/
2011

3/22/
2011

10/13/
2010

Number of Days Pending

110

141

146

164

175

180

251

336

386

494

OIG

Date of Receipt

9/26/
2012

9/14/
2012

9/12/
2012

8/31/
2012

8/31/
2012

8/29/
2012

8/21/
2012

8/13/
2012

7/19/
2012

7/3/
2012

Number of Days Pending

2

10

12

20

20

22

27

34

51

54

OASH

Date of Receipt

6/14/
2010

6/11/
2010

6/11/
2010

6/8/
2010

6/8/
2010

6/8/
2010

5/17/
2010

5/5/
2010

5/5/
2010

1/11/
2010

Number of Days Pending

599

600

600

603

603

619

627

627

627

709

SAMHSA

Date of Receipt

4/19/
2011

4/6/
2011

4/4/
2011

3/29/
2011

3/28/
2011

3/11/
2011

2/16/
2011

2/15/
2011

1/10/
2011

1/7/
2011

Number of Days Pending

378

387

389

393

394

405

422

423

449

450

Agency Overall

Date of Receipt

2/27/
2008

2/27/
2008

1/4/
2008

1/3/
2008

11/30/
2007

10/26/
2007

9/7/
2007

4/18/
2007

4/11/
2007

2/27/
2007

Number of Days Pending

1198

1198

1236

1237

1261

1286

1321

1423

1428

1459

 

VIII: Requests for Expedited Processing and Requests for Fee Waiver

  1. Requests for Expedited Processing

Component

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

Number Adjudicated Within Ten Calendar Days

OS

0

17

4

2

17

ACF

1

0

1

1

1

ACL

0

0

N/A

N/A

N/A

AHRQ

0

3

1

2

3

CDC

0

30

2

4

27

CMS

24

3

1

3

27

FDA

1

207

7

9

178

HRSA

0

5

10

10

5

IHS

0

0

0

0

0

NIH

1

5

8

7

5

OIG

0

2

1

1

2

OASH

0

0

0

0

0

SAMHSA

0

0

0

0

0

HHS Total

27

272

6

3

265

  1. Requests for Fee Waiver

Component

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

OS

5

22

3

11

ACF

0

0

N/A

N/A

ACL

0

0

N/A

N/A

AHRQ

6

0

1

1

CDC

0

0

N/A

N/A

CMS

0

0

N/A

N/A

FDA

320

7

10

20

HRSA

1

4

11

11

IHS

0

0

N/A

N/A

NIH

0

1

2

2

OIG

0

2

1

2

OASH

0

0

N/A

N/A

SAMHSA

0

0

N/A

N/A

HHS Total

332

36

3

4

 

IX: FOIA Personnel and Costs

Component

Personnel

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

$1,154,218.00

$626,950.00

$1,781,168.00

ACF

4

1

5

$443,000.00

$0.00

$443,300.00

ACL

0

0.4

1

$2,576.00

$0.00

$2,576

AHRQ

2

0

.04

$54,903.00

$0.00

$54,903.00

CDC

12

0

12

$1,343,600.00

$1,700.00

$1,345,300.00

CMS

19

61

80

$5,067,281.00

$57,470.00

$5,124,751.00

FDA

88

40

128

$33,524,931.00

$1,092,553.00

$34,617,484.00

HRSA

3

1.5

4.5

$490,723.00

$0.00

$490,723.00

IHS

1

2

3

$369,945.00

$0.00

$369,945.00

NIH

16

14

30

$3,279,867.00

$5,000.00

$3,284,867.00

OIG

3

2

5

$128,317.00

$0.00

$128,317.00

OASH

5

2

7

$1,261,075.00

$63,641.00

$1,324,716.00

SAMHSA

1

1

2

$99,000.00

$0.00

$99,000.00

HHS Total

166

124.90

290.90

$47,219,436.00

$1,847,314

$49,066,750.00

 

X: Fees Collected for Processing Requests

Component

Total Amount of Fees Collected

Percentage of Total Costs

OS

$222.00

0.02%

ACF [20]

$0.00

0.00%

ACL

$0.00

0.00%

AHRQ

$92.00

0.17%

CDC

$221.00

0.02%

CMS

$475,835.00

9.39%

FDA

$505,467.00

1.51%

HRSA

$2,563.00

0.52%

IHS

$0.00

0.00%

NIH

$27,014.00

0.82%

OIG

$3,368.00

2.62%

OASH

$1,748.00

0.14%

SAMHSA

$0.00

0.00%

HHS Total

$1,016,530

2.15%

 

XI. FOIA Regulations

 

XII: Backlogs, Consultations, and Comparisons

  1. Backlogs of FOIA Requests and Administrative Appeals

Component

Backlogged Requests as of End of Fiscal Year

Backlogged Appeals as of End of Fiscal Year

OS

365

187

ACF

220

0

ACL

0

0

AHRQ

0

0

CDC

501

0

CMS

1,706

87

FDA

2,575

0

HRSA

58

0

IHS

6

0

NIH

33

0

OIG

9

0

OASH

194

0

SAMHSA

73

0

HHS Total

5,740

274

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

Component

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

Consultations Received from Other Agencies During the Fiscal Year

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

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

ACL

0

0

0

0

AHRQ

0

0

0

0

CDC

0

0

0

0

CMS

0

0

0

0

FDA

0

17

17

0

HRSA

0

0

0

0

IHS

0

0

0

0

NIH

0

2

2

0

OIG

0

1

1

0

OASH

0

2

2

0

SAMHSA

0

0

0

0

HHS Total

0

22

22

0

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

Component

10th

9th

9th

7th

6th

5th

4th

3rd

2nd

1st

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

ACL

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

AHRQ

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

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

(1) Requests Received and Processed

Component

Number of Requests Received

Number of Requests Processed

Number Received During Fiscal Year from Last Year's Annual Report

Number Received During Fiscal Year from Current Annual Report

Number Processed During Fiscal Year from Last Year's Annual Report

Number Processed During Fiscal Year from Current Annual Report

OS

1,396

1,129

1,592

1,099

ACF

296

285

416

224

ACL

16

18

16

18

AHRQ

77

57

81

57

CDC

1,128

1,123

1,088

899

CMS

52,116

53,424

53,328

53,744

FDA

9,301

9,598

10,602

10,492

HRSA

332

277

330

219

IHS

100

107

104

132

NIH

1,198

1,147

1,204

1,130

OIG

729

664

737

656

OASH

576

465

529

462

SAMHSA

166

173

152

123

HHS Total

67,426

68,467

70,179

69,256

(2) Requests Backlogged

Component

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

309

365

ACF

160

220

ACL

0

0

AHRQ

0

0

CDC

287

501

CMS

2,008

1,706

FDA

3,421

2,575

HRSA

2

58

IHS

34

6

NIH

25

33

OIG

4

9

OASH

165

194

SAMHSA

114

73

HHS Total

6,529

5,740

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

(1) Appeals Received, Processed

Component

Number of Appeals Received

Number of Appeals Processed

Number Received During Fiscal Year from Last Year's Annual Report

Number Received During Fiscal Year from Current Annual Report

Number Processed During Fiscal Year from Last Year's Annual Report

Number Processed During Fiscal Year from Current Annual Report

OS

191

200

199

192

CMS

125

111

120

53

HHS Total

316

311

319

245

(2) Appeals Backlogged

Component

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

68 [21]

187

CMS

36

87

HHS Total

104

274


 [1] The ACF reported 197 pending requests for the end of fiscal year 2011, however, the number of pending requests for the end of the fiscal year 2011 should be 182; inaccuracies were indentified while implementing a new, more automated FOIA system.

 [2] The AHRQ reported 3 pending requests for fiscal year 2011, however, it was determined that 6 requests should have been counted for the end of fiscal year 2011.

 [3] The FDA reported 3,390 pending requests for the end of fiscal year 2011, however, it was determined that 3,469 should have been counted for the end of fiscal year 2011.

 [4] The SAMHSA reported 168 requests were pending at the end of the fiscal year 2011; however, the number of pending requests was revised as a result of a miscount by in-house tracking system

 [5] Some numbers based on estimates.

 [6] Uses single-track log.

 [7] Uses single-track log.

 [8] Uses single-track log.

 [9] Some numbers based on estimates.

 [10] Uses single-track log.

 [11] Uses single-track log.

 [12] Uses single-track log.

 [13] Uses single-track log.

 [14] Uses single-track log.

 [15] Uses single-track log.

 [16] Some numbers based on estimates.

 [17] Uses single-track log.

 [18] Uses single-track log.

 [19] Uses single-track log.

 [20] The ACF has temporarily suspended fee collections.

 [21] There were 119 Administrative Appeals which were not counted as  in number of backlogged as of the end of FY2011 year, however, these number s are now reflected in the number of backlogged as of the end of FY2012.