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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:

http://www.hhs.gov/foia/12anlrpt.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

StatuteType of Information WithheldCase CitationNumber of Times Relied upon per ComponentTotal Number of Times Relied upon by HHS
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 – 22
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. ¤ 262aEnhanced control of dangerous biological agents and toxins/bio-terrorism informationNoneOIG – 3
CDC – 4
7
42 U.S.C. ¤ 242m(d) (Public Health Service Act ¤ 308(d))Identifiable information for certain research and statistical activitiesNoneCDC - 11
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]Éwithout 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 - 33
Inspector General Act of 1978 (Pub. L. 95-452), ¤7Complaints by Employees; Disclosure of Identity; ReprisalsNoneOIG – 3535
Rule 6(e) Federal Rules of Criminal ProcedureCertain records pertaining to grand jury proceedingsSussmanv. 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 – 22
5 U.S.C. app. 4 ¤ 107(a) (Ethics in Government Act of 1978)Financial disclosure information pertaining to certain government employeesMeyeroffv. 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 - 5353
21 U.S.C. ¤ 350d(a)(4)Food Registration DocumentsNoneFDA - 33
42 U.S.C. ¤ 11137 (b)Adverse reports of a health practitionerÕs conductNoneHRSA – 33

 

V: FOIA Requests

  1. Received, Processed, and Pending FOIA Requests
ComponentNumber of Requests Pending as of Start of Fiscal YearNumber of Requests Received in Fiscal YearNumber of Requests Processed in Fiscal YearNumber of Requests Pending as of End of Fiscal Year
OS3641,1291,099394
ACF182[1]285225242
ACL018180
AHRQ6[2]57576
CDC3631,123899587
CMS4,02153,42453,7443,701
FDA3,469[3]9,59810,4922,575
HRSA3327721991
IHS311071326
NIH791,1471,13096
OIG1066465618
OASH205465462208
SAMHSA27[4]17312377
HHS Total8,79068,46769,2568,001

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

Compo-
nent
Number of Full GrantsNumber 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-
Related Reason
Records not Reason-
ably Descri-
bed
Impro-
per FOIA Request for Other Reason
Not Agency RecordDupli-
cate Request
Other Explain in chart below
OS61130859646280639629511,099
ACF6777117529133579225
ACL152100000000018
AHRQ9250130310030357
CDC27421113213425113351910180899
CMS33,4288265,4819,104636841860238859972101,16453,744
FDA7,513195159538151,193192794124034510,492
HRSA173225584000020219
IHS213020125401612120132
NIH74110810104151257965001,130
OIG140138601131441144483711656
OASH143982699401501741613462
SAMHSA525621000000030123
HHS
Total
42,6371,9185,78610,2871,4262,3351,0753201,0742795031,61669,256

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 UponNumber of Times Other Reason Was Relied UponTOTAL
OSAdministrative Closure - Based on Response and Non Response to Continued Interest calls and Correspondence5151
ACFAdministrative Closure - Based on Response and Non Response to Continued Interest calls and Correspondence9  9
ACLN/A00
AHRQNot a Proper Request23
Referral1
CDCN/A00
CMSAdministrative Closures based on response/non-response due to continued interest calls and correspondence1,1641,164
FDAAvailable on Internet345345
HRSAN/A00
IHSAdministrative Closures based on response/non-response due to continued interest calls and correspondence1920
Available on Internet1
NIHN/A 0
OIGAdministrative Closures based on response/non-response due to continued interest calls and correspondence611
Available on Internet5
OASHAdministrative Closures based on response/non-response due to continued interest calls and correspondence1313
SAMHSAN/A00
Agency Overall  1,616

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
OS00143891171004400200
ACF010872000000000
ACL00000300000000
AHRQ0002342400000000
CDC009542717901003200
CMS00695135,2032045519262000
FDA0060151654115701045100
HRSA0062943100000400
IHS000871500000000
NIH002172342901010000
OIG00426638160220129019000
OASH019401081203600000
SAMHSA0003725410000000
HHS Total021355713545,950203168424532900

 

VI: Administrative Appeals of Initial Determinations of FOIA Requests

A. Received, Processed, and Pending Administrative Appeals

ComponentNumber of Appeals Pending as of Start of Fiscal YearNumber of Appeals Received in Fiscal YearNumber of Appeals Processed in Fiscal YearNumber of Appeals Pending as of End of Fiscal Year
OS203200192211
CMS361115394
HHS Total239311245305

B. Disposition of Administrative Appeals – All Processed Appeals

ComponentNumber Affirmed on AppealNumber Partially Affirmed & Partially Reversed/Remanded on AppealNumber Completely Reversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTAL
OS81231177192
CMS0125053
HHS Total812413127245

C. (1) Reasons for denial on Appeal – 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
OS003182224701322000
CMS020222110100000
HHS Total023202445801422000

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

ComponentNo RecordsRecords Refer-
red at Initial Request Level
Request With
drawn
Fee-
Related Reason
Records Not Reason-
ably Descri
bed
Impro-
per Request For Other Reasons
Not Agency RecordDupli-
cate Request Or Appeal
Request In Liti-
gation
Appeal Based Solely on Denial of Request For Expe-
dited Proce-
ssing
Other Explain in Chart Below
OS33014100027953
CMS3042000317010
HHS Total3605610031971053

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

ComponentDescription of Other Reasons for Denial on Appeal from Chart C (2) &Number of Times Those Reasons Were Relied uponTOTAL
OSAppeal moot3453
Appeal untimely15
Appeal upheld7
Failed to respond on designate date6
Remand 
Component 
CMSN/A00
HHS Total  53

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

ComponentMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
OS82.00225.001.002,121.00
CMS76.00117.002.00361.00
HHS Overall79.00171.001.002,121.00

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

Compo-nentDate of Receipt
& Days Pending
10th Oldest Appeal9th8th7th6th5th4th3rd2ndOldest Appeal
OSDate of Receipt of Ten Oldest Appeals8/24/
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 Pending2,5562,5752,5782,5902,5912,6932,7502,8382,8522,875
CMSDate of Receipt of Ten Oldest Appeals4/13/
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 Pending370371375377379379384394409500
HHS OverallDate of Receipt of Ten Oldest Appeals8/24/
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 Pending2,5562,5752,5782,5902,5912,6932,7502,8382,8522,875

 

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

  1. Processed Requests – Response Time for All Perfected Requests[5]
ComponentSimpleComplexExpedited Processing
Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
OS[6]00001899112,6480000
ACF8722711,039337117504004
ACL057000000000
AHRQ6812035407800000
CDC187465366210211,1190000
CMS1114184214108259811713924400
FDA82911,19810520311,7570000
HRSA[7]0000182112290000
IHS9181324259131520000
NIH[8]13161161547811,2400000
OIG1312792712570000
OASH716115310016679990000
SAMHSA56481106578343930000
HHS Overall83501,198428002,64860110400
  1. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted[9]
ComponentSimpleComplexExpedited Processing
Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
OS[10]00005315111,8630000
ACF7813811,073506824860000
ACL141161500000000
AHRQ89320354010800000
CDC187465366210211,1190000
CMS15171548193187257111713541379
FDA82911,19811120511,7570000
HRSA[11]0000182112290000
IHS9181324259131520000
NIH[12]15171161669131,2370000
OIG24119274212160000
OASH102011488818479990000
SAMHSA57531316648443930000
HHS Overall103011,198539511,7570100379
  1. 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
201-3
00 Days
301-4
00 Days
401+ DaysTOTAL
OS[13]00000000000000
ACF31232011861441316236175
ACL1800000000000018
AHRQ2400000000000024
CDC4265200000010240
CMS41,3385,773918406200129633521541121148,952
FDA1823575325043694974144954623991,6841091996,203
HRSA[14]00000000000000
IHS191614846570000079
NIH[15]7042055210000010000972
OIG425200000000000427
OASH1813585411300000238
SAMHSA1210121641000000055
HHS Overall42,9386,4471,5619625896404975444854071,74212324857,183

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+ DaysTOTAL
OS76265501919111210432816891,088
ACF1789513020010248
ACL00000000000000
AHRQ898800000000033
CDC2911229577464634321314552120866
CMS2,583202107906061405665978933831554,792
FDA23841231491521351862012131519074111,4814,216
HRSA13351155610401410221
IHS5128648730000053
NIH432716191676663612158
OIG149271816482110300229
OASH2403027131712956321318224
SAMHSA61712876121332068
HHS Total4,0226644914293283033003263082781,9328481,76711,996

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+ DaysTOTAL
OS00000000000000
ACF10000000000001
ACL00000000000000
AHRQ00000000000000
CDC00000000000000
CMS023121211112017
FDA01000000000001
HRSA00000000000000
IHS00000000000000
NIH00000000000000
OIG00000000000000
OASH00000000000000
SAMHSA00000000000000
HHS Total133121211112019
  1. Pending Requests – All Pending Perfected Requests[16]
ComponentSimpleComplexExpedited Processing
Number PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of Days
OS[17]000394376446000
ACF17487497663373000
ACL000000000
AHRQ00063140000
CDC6119545081602211858858
CMS1,92711171,7749212015127138
FDA34222922,2081602133290303
HRSA[18]000586584000
IHS000612065000
NIH[19]5712153958931180180
OIG21616926000
OASH197293269100222000
SAMHSA18562095857166000
HHS Total2,60015915,4027913620235114
  1. Pending Requests – Ten Oldest Pending Perfected Requests
ComponentDate of Receipt10th Oldest Request and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Request and Number of Days Pending
Number of Days Pending
OSDate of Receipt7/20/
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 Pending835850898940104710591190119411981286
ACFDate of Receipt8/28/
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 Pending1066107811211121114511501197119712091236
ACLDate of ReceiptN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
Number of Days Pending0000000000
AHRQDate of ReceiptN/AN/AN/AN/A9/21/
2012
8/29/
2012
8/16/
2012
8/13/
2012
6/8/
2012
6/6/
2012
Number of Days Pending000052130337880
CDCDate of Receipt1/16/
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 Pending9309389659789879971008104911111193
CMSDate of Receipt2/4/
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 Pending416417420425428428432434446503
FDADate of Receipt4/16/
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 Pending1119114011401149123712611321142314281459
HRSADate of Receipt3/19/
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 Pending139151151153193206220239293359
IHSDate of ReceiptN/AN/AN/AN/A9/12/
2012
8/21/
2012
8/9/
2012
7/27/
2012
6/4/
2012
2/27/
2012
Number of Days Pending00001322374685152
NIHDate of Receipt4/25/
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 Pending110141146164175180251336386494
OIGDate of Receipt9/26/
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 Pending2101220202227345154
OASHDate of Receipt6/14/
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 Pending599600600603603619627627627709
SAMHSADate of Receipt4/19/
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 Pending378387389393394405422423449450
Agency OverallDate of Receipt2/27/
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 Pending1198119812361237126112861321142314281459

 

VIII: Requests for Expedited Processing and Requests for Fee Waiver

  1. Requests for Expedited Processing
ComponentNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar Days
OS0174217
ACF10111
ACL00N/AN/AN/A
AHRQ03123
CDC0302427
CMS2431327
FDA120779178
HRSA0510105
IHS00000
NIH15875
OIG02112
OASH00000
SAMHSA00000
HHS Total2727263265
  1. Requests for Fee Waiver
ComponentNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to Adjudicate
OS522311
ACF00N/AN/A
ACL00N/AN/A
AHRQ6011
CDC00N/AN/A
CMS00N/AN/A
FDA32071020
HRSA141111
IHS00N/AN/A
NIH0122
OIG0212
OASH00N/AN/A
SAMHSA00N/AN/A
HHS Total3323634

 

IX: FOIA Personnel and Costs

ComponentPersonnelCosts
Number of Full-Time FOIA EmployeesNumber of Equivalent Full-Time FOIA EmployeesTotal Number of Full-Time FOIA StaffProcessing CostsLitigation-Related CostsTotal Costs
OS12012$1,154,218.00$626,950.00$1,781,168.00
ACF415$443,000.00$0.00$443,300.00
ACL00.41$2,576.00$0.00$2,576
AHRQ20.04$54,903.00$0.00$54,903.00
CDC12012$1,343,600.00$1,700.00$1,345,300.00
CMS196180$5,067,281.00$57,470.00$5,124,751.00
FDA8840128$33,524,931.00$1,092,553.00$34,617,484.00
HRSA31.54.5$490,723.00$0.00$490,723.00
IHS123$369,945.00$0.00$369,945.00
NIH161430$3,279,867.00$5,000.00$3,284,867.00
OIG325$128,317.00$0.00$128,317.00
OASH527$1,261,075.00$63,641.00$1,324,716.00
SAMHSA112$99,000.00$0.00$99,000.00
HHS Total166124.90290.90$47,219,436.00$1,847,314$49,066,750.00

 

X: Fees Collected for Processing Requests

ComponentTotal Amount of Fees CollectedPercentage of Total Costs
OS$222.000.02%
ACF[20]$0.000.00%
ACL$0.000.00%
AHRQ$92.000.17%
CDC$221.000.02%
CMS$475,835.009.39%
FDA$505,467.001.51%
HRSA$2,563.000.52%
IHS$0.000.00%
NIH$27,014.000.82%
OIG$3,368.002.62%
OASH$1,748.000.14%
SAMHSA$0.000.00%
HHS Total$1,016,5302.15%

 

XI. FOIA Regulations

http://www.hhs.gov/foia/45cfr5.html

 

XII: Backlogs, Consultations, and Comparisons

  1. Backlogs of FOIA Requests and Administrative Appeals
ComponentNumber of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal Year
OS365187
ACF2200
ACL00
AHRQ00
CDC5010
CMS1,70687
FDA2,5750
HRSA580
IHS60
NIH330
OIG90
OASH1940
SAMHSA730
HHS Total5,740274
  1. Consultations on FOIA Requests – Received, Processed, and Pending Consultations
ComponentNumber of Consultations Received from Other Agencies that Were Pending at Your Agency as of Start of the Fiscal YearNumber of Consultations Received from Other Agencies During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year
OS0000
ACF0000
ACL0000
AHRQ0000
CDC0000
CMS0000
FDA017170
HRSA0000
IHS0000
NIH0220
OIG0110
OASH0220
SAMHSA0000
HHS Total022220
  1. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency
Component10th Oldest Request and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Request and Number of Days Pending
OSN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
ACF0000000000
ACLN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
AHRQ0000000000
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
  1. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged

(1)  Requests Received and Processed

ComponentNumber of Requests ReceivedNumber of Requests Processed
Number Received During Fiscal Year from Last Year's Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year's Annual ReportNumber Processed During Fiscal Year from Current Annual Report
OS1,3961,1291,5921,099
ACF296285416224
ACL16181618
AHRQ77578157
CDC1,1281,1231,088899
CMS52,11653,42453,32853,744
FDA9,3019,59810,60210,492
HRSA332277330219
IHS100107104132
NIH1,1981,1471,2041,130
OIG729664737656
OASH576465529462
SAMHSA166173152123
HHS Total67,42668,46770,17969,256

(2) Requests Backlogged

ComponentNumber of Backlogged Requests as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
OS309365
ACF160220
ACL00
AHRQ00
CDC287501
CMS2,0081,706
FDA3,4212,575
HRSA258
IHS346
NIH2533
OIG49
OASH165194
SAMHSA11473
HHS Total6,5295,740
  1. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

(1)  Appeals Received, Processed

ComponentNumber of Appeals ReceivedNumber of Appeals Processed
Number Received During Fiscal Year from Last Year's Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year's Annual ReportNumber Processed During Fiscal Year from Current Annual Report
OS191200199192
CMS12511112053
HHS Total316311319245

(2)  Appeals Backlogged

ComponentNumber of Backlogged Administrative Appeals as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Administrative Appeals as of End of the Fiscal Year from Current Annual Report
OS68[21]187
CMS3687
HHS Total104274

 [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.