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HHS Fiscal Year 2013 Freedom of Information Annual Report

I. BASIC INFORMATION REGARDING REPORT

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

    Administration for Community Living (ACL)
    Freedom of Information Officer
    Washington, D.C. 20201
    Phone: 202-357-3540

    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 Public Health and Science (OPHS)
    Freedom of Information Officer
    Room 17-66, Parklawn Building
    5600 Fishers Lane
    Rockville, MD 20857
    Phone: 301-443-5252

    Office of the Assistant Secretary for Health (OASH)
    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.
  3. HHS FOIA Regulations

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III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS:

1. Agency-specific acronyms or other terms:

  • OS - Office of the Secretary, HHS
  • ACF - Administration for Children and Families
  • ACL - Administration for Community Living
  • AHRQ - Agency for Healthcare Research and Quality
  • CDC - Centers for Disease Control and Prevention
  • CMS - Centers for Medicare and Medicaid Services
  • FDA - Food and Drug Administration
  • HHS - U.S. Department of Health and Human Services
  • HRSA - Health Resources and Services Administration
  • IHS - Indian Health Service
  • NIH - National Institutes of Health
  • OASH - Office of the Assistant Secretary for Health
  • OIG - Office of the Inspector General
  • OPHS - Office of Public Health and Science
  • SAMHSA - Substance Abuse and Mental Health Services Administration
  • Basic definitions of terms :
  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 - 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.
  1. 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.
  2. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
  3. 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
  4. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
  5. Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.
  6. 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).
  • Concise descriptions of the nine FOIA exemptions:
    • Exemption 1: classified national defense and foreign relations information
    • Exemption 2: internal agency rules and practices
    • Exemption 3: information that is prohibited from disclosure by another federal law
    • Exemption 4: trade secrets and other confidential business information
    • Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
    • Exemption 6: information involving matters of personal privacy
    • 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
    • Exemption 8: information relating to the supervision of financial institutions
    • Exemption 9: geological information on wells

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IV. Exemption 3 Statutes

Statute

Type of Information
Withheld

Case Citation

Agency / Component

Total Number of
Times Relied upon
by AGENCY
OVERALL

41 U.S.C. § 4702

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.

Sinkfield v. HUD, No. 10-885, 2012 U.S. Dist. LEXIS 35233, at *13-15 (S.D. Ohio Mar. 15, 2012); Margolin v. NASA, No. 09-CV-00421, 2011 WL 1303221, at *6 (D. Nev. Mar. 31 , 2011);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).

FDA – 5
CDC – 11
CMS – 14
OASH – 10

40

5 U.S.C. app. § 107(a)

Financial Disclosure information pertaining to certain government employees

Meyeroff v. 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); Glascoe v. DOJ, No. 04-0486, 2005 WL 1139269, at *1 (D.D.C. May 15, 2005).

FDA – 2
CDC – 1
CMS – 1
OASH – 1

5

21 U.S.C. § 331(j)

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

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

FDA – 55

55

21 U.S.C. § 350d(a)(4)

Food Registration Documents

N/A

FDA- 6

6

42 U.S.C. § 242m(d)

Guaranteed confidentiality of establishment or person supplying the information or described in it is identifiable.

N/A

CDC – 3

3

42 U.S.C. § 262a(h)

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

N/A

CDC – 6
NIH – 1
OIG – 5
OS – 3

15

42 U.S.C. 247d-6b(d)

National Stockpile

N/A

CDC – 1

1

5 U.S.C. § 574(j)

Confidential communications with agency Ombudsman (3rd party neutral)

N/A

NIH – 1

1

22 U.S.C. § 288a(c)

Privileges, exemptions, and immunities of international organizations

N/A

NIH – 1

1

35 U.S.C. § 202(c)(5)

Invention Utilization Reports

N/A

NIH – 1

1

Inspector General Act of 1978

Complaints by employees; disclosure of identity, reprisals

N/A

OIG – 3

3

18 U.S.C. § 3509(d)

Certain records containing identifying information pertaining to children involved in criminal proceedings

Tampico v. EOUSA, No. 04-2285, slip op.at 8 (D.D.C. Apr. 29, 2005)

OIG – 1

1

Fed. R. Crim. P. 6(e)
, enacted by Act of July 30, 1977,
Pub. L. No. 95-78, 91 Stat. 319

Certain records pertaining to grand jury proceedings

Sussmanv. USMS, 494 F. 3d 1106, 1113 (D.C. Cir 2007); Fund for Constitutional 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 – 1

1

42 U.S.C. § 300aa-12(d)(4)(A)

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

Long v. DOJ, No. 06CV1086, 2011 WL 113925 @*10 (N.D.N.Y. Mar. 25, 2011)

HRSA – 4

4

42 U.S.C. § 11137(b)

Adverse reports of helath practitioners conduct

N/A

HRSA – 4

3

Public Law 107-347

Data that are required for exclusively statistical purposes under a pledge of confidentiality

N/A

SAMHSA – 4

1

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V. A. FOIA REQUESTS – RECEIVED, PROCESSED AND PENDING FOIA REQUESTS

Agency / Component

Number of Requests
Pending as of Start
of Fiscal Year

Number of
Requests Received
in Fiscal Year

Number of
Requests Processed
in Fiscal Year

Number of Requests
Pending as of End
of Fiscal Year

OS

402

1,301

1,313

390

ACF

242

233

322

153

ACL

0

18

18

0

AHRQ

6

0

6

0

CDC

587

1,032

1,039

580

CMS

3,701

51,364

51,682

3,383

FDA

2,575

9,990

9,702

2,863

HRSA

91

302

312

81

IHS

6

124

102

28

NIH

96

1,210

1,236

70

OASH

208

440

505

143

OIG

18

714

726

6

SAMHSA

77

188

162

103

AGENCY
OVERALL

8,009

66,916

67,125

7,800

1. OS FOIA Office converted over to a new FOIA tracking system, it was determined that the actual number of requests pending for FY2012 should have been 402, instead of 394.
2. In early fiscal year 2013, all FOIA requests received and assigned to the Agency for Healthcare Research and Quality was transferred to the Office of the Assistant Secretary for Health for processing.

V. B.(1). DISPOSITION OF FOIA REQUESTS – ALL PROCESSED REQUESTS

Comp-
onent
Numb-
er of Full Grants
Numb-
er of Partial Grants
/
Partial Denials
Numb-
er of Full Denials Based on Exemp-
tions
Number of Full Denials Based on Reasons Other than Exemp- tionsTOTAL

No Records

All
Records Referred
to Anot-
her Comp
onent or Agency

Re- quest With-
drawn

Fee-
Related Reason

Records not Reason-
ably Desc-
ribed

Im- proper FOIA Re- quest for Other Reason

Not Agency Record

Dupli-
cate Re-quest

Other *Ex-
plain in Chart Below

OS

172

224

23

56

656

18

1

12

48

65

6

32

1,313

ACF

65

102

1

26

17

70

2

2

9

14

8

6

322

ACL

16

2

0

0

0

0

0

0

0

0

0

0

18

AHRQ

0

0

0

0

6

0

0

0

0

0

0

0

6

CDC

230

280

30

183

66

42

11

8

15

15

13

146

1,039

CMS

30,976

852

5,314

7,985

2,458

644

366

211

542

81

529

1,724

51,682

FDA

7,426

186

194

616

24

791

59

7

58

1

145

195

9,702

HRSA

258

30

3

5

7

3

0

0

0

4

2

0

312

IHS

53

27

1

6

4

4

0

0

0

5

0

2

102

NIH

772

102

11

113

15

175

6

17

6

13

6

0

1,236

OASH

134

208

17

67

31

32

1

5

2

3

5

0

505

OIG

146

98

118

106

16

47

5

6

62

77

21

24

726

SAMHSA

70

80

2

5

3

1

0

0

0

0

1

0

162

AGENCY
OVERALL

40,318

2,191

5,714

9,168

3,303

1,827

451

268

742

278

736

2,129

67,125

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V. B.(2). DISPOSITION OF FOIA REQUESTS – "OTHER" REASONS FOR "FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTIONS"

Component

Description of "Other" Reasons for Denials from Chart B(1)

Number of Times "Other" Reason Was Relied Upon

TOTAL

OSReferred to website

4

32

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

24

In litigation

4

ACF

Administratively Closed - Based on response/non-response due to continued interest calls and correspondence

6

6

ACL

N/A

0

0

AHRQ

N/A

0

0

CDC

Administratively Closed - Based on response/non-response due to continued interest calls and correspondence

146

146

CMS

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

1,724

1,724

FDA

Available on the Internet

195

195

HRSA

N/A

0

0

IHS

N/A

0

2

Information on website

2

NIH

N/A

0

0

OASH

N/A

0

0

OIG

Administratively Closed - Based on response/non-response due to continued interest calls and correspondence

20

24

Records on website

4

SAMHSA

N/A

0

0

AGENCY
OVERALL

 

 

2,129

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 V.B.(3). DISPOSITION OF FOIA REQUESTSNUMBER 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

78

111

173

22

0

78

1

0

3

0

0

ACF

0

0

0

25

16

89

0

0

0

0

0

0

0

0

ACL

0

0

0

1

1

3

1

0

0

0

0

0

0

0

AHRQ

0

0

0

0

0

0

0

0

0

0

0

0

0

0

CDC

0

3

22

103

58

230

1

0

2

0

2

1

0

0

CMS

0

2

15

65

26

5,954

6

3

716

73

25

1

0

0

FDA

0

1

57

184

31

45

156

0

17

7

2

2

0

0

HRSA

0

0

6

36

5

30

0

0

0

0

0

3

0

0

IHS

0

0

0

12

13

3

0

0

0

0

0

0

0

0

NIH

0

0

4

18

26

45

9

0

4

0

0

0

0

0

OASH

0

0

11

90

14

165

8

0

92

0

0

0

0

0

OIG

0

1

10

81

62

187

80

1

162

0

24

0

0

0

SAMHSA

0

0

1

65

3

75

0

0

1

0

0

0

0

0

AGENCY
OVERALL

0

7

129

758

366

6,999

283

4

1,072

81

53

10

0

0

VI. A. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS – RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS

Component

Number of Appeals
Pending as of Start
of Fiscal Year

Number of
Appeals Received
in Fiscal Year

Number of
Appeals Processed
in Fiscal Year

Number of Appeals
Pending as of End
of Fiscal Year

OS

211

199

222

188

CMS

94

116

59

151

AGENCY
OVERALL

305

315

281

339

VI. B. DISPOSITION OF ADMINISTRATIVE APPEALS – ALL PROCESSED APPEALS

Component

Number Affirmed on Appeal

Number Partially Affirmed & Partially Reversed/Remanded on Appeal

Number Completely Reversed/Remanded on Appeal

Number of Appeals Closed for Other Reasons

TOTAL

OS

51

17

6

148

222

CMS

16

2

21

20

59

AGENCY
OVERALL

67

19

27

168

281

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VI. 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

4

11

17

14

5

0

9

0

0

0

0

0

CMS

0

2

0

4

1

31

0

0

5

0

0

0

0

0

AGENCY OVERAL

0

2

4

15

18

45

5

0

14

0

0

0

0

0

VI. C. (2). REASONS FOR DENIAL ON APPEAL – REASONS OTHER THAN EXEMPTIONS

Com-ponent

No Records

Records Referred at Initial Request Level

Request With- drawn

Fee-Related Reason

Records not Reason- ably Described

Improper Request for Other Reasons

Not Agency Record

Dup- licate Request or Appeal

Request in Liti- gation

Appeal Based Solely on Denial of Request for Expe- dited Pro- cessing

Other *Explain in chart below

OS

17

8

41

1

0

0

1

3

3

1

29

CMS

9

0

19

0

0

0

3

2

2

0

0

AGENCY
OVERALL

26

8

60

1

0

0

4

5

5

1

29

VI. C. (3). REASONS FOR DENIAL ON APPEAL – "OTHER" REASONS

Component

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

Number of Times "Other" Reason Was Relied Upon

TOTAL

OS

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

2

29

Appeal Moot

26

Appeal Untimely

1

CMS

N/A

0

0

AGENCY
OVERALL

 

 

29

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VI. C. (4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS

Component

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

OS

178.00

510.00

<1

1,670.00

CMS

105.00

189.00

6.00

750.00

AGENCY
OVERALL

141.00

349.00

3.00

1,210.00

VI. C. (5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS

Component 

10th Oldest Appeal

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

OS: Date of Appeal

2008- 10-09

2008- 09-15

2008- 09-10

2008- 09-09

2008- 09-09

2008- 06-24

2008- 06-11

2008- 06-11

2008- 02-20

2008- 02-08

OS: Number of Days Pending

1297

1315

1318

1319

1319

1374

1383

1383

1463

1471

CMS: Date of Appeal

2011- 10-11

2011- 08-29

2011- 08-29

2011- 08-19

2011- 08-11

2011- 07-12

2011- 06-24

2011- 06-01

2011- 06-01

2011- 04-28

CMS: Number of Days Pending

495

524

524

530

536

558

569

586

586

609

AGENCY
OVERALL: Date of Appeal

2008- 10-09

2008- 09-15

2008- 09-10

2008- 09-09

2008- 09-09

2008- 06-24

2008- 06-11

2008- 06-11

2008- 02-20

2008- 02-08

AGENCY
OVERALL: Number of Days Pending

1297

1315

1318

1319

1319

1374

1383

1383

1463

1471

VII. A. FOIA REQUESTS – RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

Component

Simple: Med- ian Num-ber of Days

Simple: Aver-age Num- ber of Days

Simple: Low- est Num- ber of Days

Simple: High- est Num- ber of Days

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

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

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

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

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

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

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

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

OS

N/A

N/A

N/A

N/A

1

71

<1

1453

1

46

1

303

ACF

488

536

1

1260

60

119

1

992

182

182

156

207

ACL

14

13

1

60

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

AHRQ

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CDC

21

90.21

1

1041

52

150

1

1541

97

97

97

97

CMS

11

18

1

634

2

36

1

717

37

102

1

512

FDA

9

27.6

1

1220

78

168.8

1

1465

22

173.7

1

495

HRSA

N/A

N/A

N/A

N/A

64

76

1

252

N/A

N/A

N/A

N/A

IHS

10

15

1

30

44

61

15

107

N/A

N/A

N/A

N/A

NIH

12

15

1

93

43

70

1

742

N/A

N/A

N/A

N/A

OASH

6

8

1

20

108

220

21

886

30

30

30

30

OIG

2

4

1

20

9

23

1

277

N/A

N/A

N/A

N/A

SAMHSA

100

132

1

710

168

199

1

570

N/A

N/A

N/A

N/A

AGENCY
OVERALL

10

29

N/A

1260

63

99

N/A

1541

30

98

N/A

512

Back to Top


VII. B. PROCESSED REQUESTS – RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANTED

Component

Simple: Med- ian Num-ber of Days

Simple: Aver-age Num- ber of Days

Simple: Low- est Num- ber of Days

Simple: High- est Num- ber of Days

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

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

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

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

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

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

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

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

OS

N/A

N/A

N/A

N/A

46

122

1

1040

162

162

21

303

ACF

350

414

1

1244

92

131

1

992

182

182

156

207

ACL

18

26

17

60

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

AHRQ

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CDC

31

87.8

1

1006

80

200.5

1

1541

N/A

N/A

N/A

N/A

CMS

15

17

1

616

113

136

1

717

36

88

1

360

FDA

9

27.5

1

1220

78.5

169.9

1

1465

22

173.7

1

495

HRSA

N/A

N/A

N/A

N/A

64

76

1

252

N/A

N/A

N/A

N/A

IHS

21

35

1

70

85

110

55

165

N/A

N/A

N/A

N/A

NIH

15

17

1

93

51

74

3

742

N/A

N/A

N/A

N/A

OASH

8

8

1

20

107

224

21

819

30

30

30

30

OIG

3

4

1

19

23

37

1

277

N/A

N/A

N/A

N/A

SAMHSA

91

123

1

710

150

183

1

570

N/A

N/A

N/A

N/A

AGENCY
OVERALL

9

75

N/A

1244

64

133

N/A

1541

36

127

1

495

VII. C. PROCESSED SIMPLE REQUESTS – RESPONSE TIME IN DAY INCREMENTS

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

23

2

2

0

3

3

2

0

2

3

10

24

102

176

ACL

17

0

1

0

0

0

0

0

0

0

0

0

0

18

AHRQ

0

0

0

0

0

0

0

0

0

0

0

0

0

0

CDC

213

54

26

14

17

10

10

10

6

6

14

10

31

421

CMS

40,613

3,614

751

329

192

116

92

86

72

54

486

274

84

46,763

FDA

436

493

544

436

431

471

493

533

460

420

1,430

105

149

6,401

HRSA

0

0

0

0

0

0

0

0

0

0

0

0

0

0

IHS

15

21

19

3

0

0

0

0

0

0

0

0

0

58

NIH

796

198

38

8

6

0

0

0

0

0

0

0

0

1,046

OASH

206

0

0

0

0

0

0

0

0

0

0

0

0

206

OIG

453

0

0

0

0

0

0

0

0

0

0

0

0

453

SAMHSA

23

5

7

0

3

2

4

4

4

6

5

5

5

73

AGENCY
OVERALL

42,795

4,387

1,388

790

652

602

601

633

544

489

1,945

418

371

55,615

Back to Top

VII. C. PROCESSED COMPLEX REQUESTS – RESPONSE TIME IN DAY INCREMENTS

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

918

77

51

33

17

21

16

11

9

12

41

25

73

1,304

ACF

37

20

15

6

3

6

4

10

7

5

20

5

6

144

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

199

71

62

50

26

13

19

11

10

11

43

26

76

617

CMS

3,899

162

82

65

54

65

70

46

55

65

195

111

37

4,906

FDA

32

74

124

137

167

173

154

180

166

115

692

347

840

3,201

HRSA

77

34

36

32

22

22

32

13

17

10

6

1

0

302

IHS

7

6

4

3

4

2

5

4

5

0

0

0

0

40

NIH

49

44

24

24

18

7

3

3

5

3

4

3

3

190

OASH

0

59

36

27

20

12

11

5

7

8

28

22

63

298

OIG

180

52

14

8

6

4

4

1

1

1

2

0

0

273

SAMHSA

8

3

6

4

3

9

3

8

3

3

19

12

8

89

AGENCY
OVERALL

5,406

602

454

389

340

334

321

292

285

233

1,050

552

1,106

11,364

VII. C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING – RESPONSE TIME IN DAY INCREMENTS

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

6

1

0

0

1

0

0

0

0

0

0

1

0

9

ACF

0

0

0

0

0

0

0

1

0

0

1

0

0

2

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

1

0

0

0

0

0

0

0

0

1

CMS

1

5

1

1

0

0

2

0

1

0

0

2

0

13

FDA

1

0

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

OASH

0

1

0

0

0

0

0

0

0

0

0

0

0

1

OIG

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

AGENCY
OVERALL

8

7

1

1

2

0

2

1

1

0

1

3

0

27

Back to Top

VII. D. PENDING REQUESTS – ALL PENDING PERFECTED REQUESTS

Component

Simple: Number Pending

Simple: Median Number of Days

Simple: Average Number of Days

Complex: Number Pending

Complex: Median Number of Days

Complex: Average Number of Days

Expedited Processing: Number Pending

Expedited Processing: Median Number of Days

Expedited Processing: Average Number of Days

OS

0

0

0

463

1

371

12

1

295

ACF

38

488

330

112

60

157

1

30

30

ACL

0

0

0

0

0

0

0

0

0

AHRQ

0

0

0

0

0

0

0

0

0

CDC

23

158

211

555

168

233

0

0

0

CMS

3598

14

78

54

146

168

0

0

0

FDA

629

32

78.7

2182

136

192.1

1

478.5

478.5

HRSA

0

0

0

81

80

130

0

0

0

IHS

0

0

0

22

31

87

0

0

0

NIH

45

11

14

25

31

72

0

0

0

OASH

29

6

190

208

108

242

6

30

176

OIG

0

0

0

6

7

16

0

0

0

SAMHSA

25

100

155

76

168

129

0

0

0

AGENCY
OVERALL

4387

15

81

3784

138

163

20

28

244

VII. E. PENDING REQUESTS – TEN OLDEST PENDING PERFECTED REQUESTS

Component 

10th Oldest Request

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

OS: Date of Receipt

2010- 02-25

2010- 01-12

2010- 01-12

2010- 01-11

2010- 01-08

2010- 01-04

2009- 10-22

2009- 10-16

2009- 10-05

2008- 03-04

OS: Number of Days Pending

937

969

969

970

971

975

1027

1031

1040

1454

ACF: Date of Receipt

2008- 09-18

2008- 09-18

2008- 09-18

2008- 08-28

2008- 08-12

2008- 06-12

2008- 06-12

2008- 05-09

2008- 05-02

2008- 02-27

ACF: Number of Days Pending

490

490

490

509

520

548

570

642

794

808

ACL: Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

ACL: 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

N/A

N/A

N/A

N/A

N/A

N/A

AHRQ: Number of Days Pending

0

0

0

0

0

0

0

0

0

0

CDC: Date of Receipt

2010- 03-16

2010- 03-15

2010- 03-15

2010- 01-27

2010- 01-13

2009- 10-30

2009- 10-02

2009- 06-26

2008- 09-23

2008- 07-25

CDC: Number of Days Pending

891

892

892

924

933

982

1001

1069

1259

1300

CMS: Date of Receipt

2011- 04-13

2011- 03-30

2011- 03-08

2011- 03-03

2011- 03-03

2011- 03-03

2011- 02-09

2011- 02-08

2011- 01-19

2011- 01-18

CMS: Number of Days Pending

649

664

664

665

665

674

674

678

678

679

FDA: Date of Receipt

2009- 07-21

2009- 07-01

2009- 06-30

2009- 06-19

2009- 06-09

2009- 05-08

2009- 02-20

2008- 06-26

2008- 05-28

2008- 05-09

FDA: Number of Days Pending

1048

1067

1068

1075

1083

1104

1159

1321

1342

1354

HRSA: Date of Receipt

2012- 09-28

2012- 09-28

2012- 03-19

2012- 02-28

2012- 02-28

2012- 02-24

2011- 12-27

2011- 11-10

2011- 10-12

2011- 01-24

HRSA:Number of Days Pending

252

252

388

402

402

404

444

473

495

677

IHS: Date of Receipt

2013- 07-29

2013- 07-11

2013- 07-05

2013- 07-05

2013- 06-26

2013- 06-12

2013- 04-23

2013- 04-16

2013- 04-16

2013- 03-05

IHS: Number of Days Pending

45

57

61

61

68

78

114

119

119

149

NIH: Date of Receipt

2013- 07-17

2013- 06-13

2013- 06-10

2013- 06-10

2013- 06-10

2013- 06-06

2013- 04-30

2013- 04-18

2012- 12-31

2011- 03-22

NIH: Number of Days Pending

53

76

79

79

79

81

99

115

190

636

OASH: Date of Receipt

2011- 05-19

2011- 05-11

2011- 04-28

2011- 04-27

2011- 03-15

2011- 03-09

2011- 03-04

2011- 01-03

2010- 11-03

2010- 08-20

OASH: Number of Days Pending

617

623

632

633

664

668

671

715

758

811

OIG: Date of Receipt

N/A

N/A

N/A

N/A

2013-09-26

2013-09-23

2013-09-19

2013-09-13

2013-08-28

2013-07-15

OIG: Number of Days Pending

0

0

0

0

2

5

7

8

23

55

SAMHSA: Date of Receipt

2012- 07-23

2012- 07-17

2012- 07-05

2012- 07-03

2012- 06-25

2012- 06-12

2012- 06-07

2012- 03-15

2012- 02-27

2011- 10-25

SAMHSA: Number of Days Pending

310

314

322

324

330

339

342

402

415

504

AGENCY
OVERALL: Date of Receipt

2009- 06-19

2009- 06-09

2009- 05-08

2009- 02-20

2008- 09-23

2008- 07-25

2008- 06-26

2008- 05-28

2008- 05-09

2008- 03-04

AGENCY
OVERALL: Number of Days Pending

1075

1083

1104

1159

1259

1300

1321

1342

1354

1454

Back to Top

VIII. A. 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

3

2

4

5

4

ACF

0

1

1

1

1

ACL

0

0

N/A

N/A

N/A

AHRQ

0

0

N/A

N/A

N/A

CDC

1

9

1.5

2.9

10

CMS

50

29

6

12

54

FDA

1

347

12

12.9

97

HRSA

0

6

10

10

6

IHS

0

0

N/A

N/A

N/A

NIH

0

3

4

4

3

OASH

0

2

3

3

2

OIG

0

20

4

4

20

SAMHSA

0

0

N/A

N/A

N/A

AGENCY
OVERALL

55

419

9

12

197

VIII. B. Requests for Fee Waiver

Agency / Component

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

OS

1

1

N/A

N/A

ACF

0

2

8

8

ACL

0

0

N/A

N/A

AHRQ

0

0

N/A

N/A

CDC

1

0

64

64

CMS

80

13

4

8

FDA

392

5

10

20.6

HRSA

2

4

12

12

IHS

0

0

N/A

N/A

NIH

0

6

3

4.67

OASH

0

0

N/A

N/A

OIG

0

10

2

3

SAMHSA

0

0

N/A

N/A

AGENCY
OVERALL

476

41

9

19

Back to Top

IX. FOIA Personnel and Costs

Agency / Component

Personnel: Number of "Full-Time FOIA Employees"

Personnel: Number of "Equivalent Full-Time FOIA Employees"

Personnel: Total Number of "Full-Time FOIA Staff"

Costs: Processing Costs

Costs: Litigation-Related Costs

Costs: Total Costs

OS

11

0

11

$1,071,012.00

$192,053.00

$1,263,065.00

ACF

3

0

3

$368,000.00

$0.00

$368,000.00

ACL

0

0.1

0.1

$14,160.00

$0.00

$14,160.00

AHRQ

0

0

0

$0.00

$0.00

$0.00

CDC

12

0

12

$1,557,513.49

$1,700.00

$1,559,213.49

CMS

21

62

83

$7,015,272.00

$57,470.00

$7,072,742.00

FDA

82

52.15

134.15

$33,570,981.00

$1,462,953.00

$35,033,934.00

HRSA

3

1.5

4.5

$497,411.00

$0.00

$497,411.00

IHS

2

1

3

$369,945.00

$0.00

$369,945.00

NIH

17

14.31

31.31

$3,336,857.90

$26,340.00

$3,363,197.90

OASH

6

1

7

$1,161,075.00

$332,450.00

$1,493,525.00

OIG

3

2

5

$286,000.00

$5,000.00

$291,000.00

SAMHSA

2

3

5

$253,000.00

$0.00

$253,000.00

AGENCY
OVERALL

162

137.06

299.06

$49,501,227.39

$2,077,966.00

$51,579,193.39

X. Fees Collected for Processing Requests

Component

Total Amount of Fees Collected

Percentage of Total Costs

OS

$239.00

0.02%

ACF

$0.00

0.00%

ACL

$0.00

0.00%

AHRQ

$0.00

0.00%

CDC

$52,111.15

3.35%

CMS

$326,643.00

4.66%

FDA

$577,039.00

1.72%

HRSA

$1,922.50

0.39%

IHS

$0.00

0.00%

NIH

$21,935.44

0.66%

OASH

$1,748.00

0.15%

OIG

$13,617.00

4.76%

SAMHSA

$0.00

0.00%

AGENCY
OVERALL

$995,255.09

2.01%

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XII. A. Backlogs of FOIA Requests and Administrative Appeals

Agency / Component

Backlogged Requests as of End of Fiscal Year

Backlogged Appeals as of End of Fiscal Year

OS

364

177

ACF

141

0

ACL

0

0

AHRQ

0

0

CDC

494

0

CMS

1,426

145

FDA

2,334

0

HRSA

71

0

IHS

22

0

NIH

26

0

OASH

128

0

OIG

2

0

SAMHSA

91

0

AGENCY
OVERALL

5,099

322

XII. B. CONSULTATIONS ON FOIA REQUESTS – RECEIVED, PROCESSED, AND PENDING CONSULTATIONS

Agency / Component

Consultations Received from Other Agencies that were Pending at the 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 the Agency During the Fiscal Year

Consultations Received from Other Agencies that were Pending at the Agency as of End
of the Fiscal Year

OS

0

3

3

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

27

27

0

HRSA

0

0

0

0

IHS

0

0

0

0

NIH

0

7

7

0

OASH

0

3

3

0

OIG

0

3

3

0

SAMHSA

0

0

0

0

AGENCY
OVERALL

0

43

43

0

XII. C. CONSULTATIONS ON FOIA REQUESTS – TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES AND PENDING AT THE AGENCY

Component 

10th Oldest
Consultation

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest
Consultation

OS: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

OS: Number of Days

0

0

0

0

0

0

0

0

0

0

ACF: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

ACF: Number of Days

0

0

0

0

0

0

0

0

0

0

ACL: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

ACL:Number of Days

0

0

0

0

0

0

0

0

0

0

AHRQ: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

AHRQ: Number of Days

0

0

0

0

0

0

0

0

0

0

CDC: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CDC: Number of Days

0

0

0

0

0

0

0

0

0

0

CMS: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CMS: Number of Days

0

0

0

0

0

0

0

0

0

0

FDA: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FDA: Number of Days

0

0

0

0

0

0

0

0

0

0

HRSA: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

HRSA: Number of Days

0

0

0

0

0

0

0

0

0

0

IHS: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

IHS: Number of Days

0

0

0

0

0

0

0

0

0

0

NIH: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

NIH: Number of Days

0

0

0

0

0

0

0

0

0

0

OASH: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

OASH: Number of Days

0

0

0

0

0

0

0

0

0

0

OIG: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

OIG: Number of Days

0

0

0

0

0

0

0

0

0

0

SAMHSA: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

SAMHSA: Number of Days

0

0

0

0

0

0

0

0

0

0

AGENCY
OVERALL: Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

AGENCY
OVERALL: Number of Days

0

0

0

0

0

0

0

0

0

0

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XII. D. (1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT – REQUESTS RECEIVED AND PROCESSED

Component

Requests Recieved: Number Received During Fiscal Year from Last Year's Annual Report

Requests Recieved: Number Received During Fiscal Year from Current Annual Report

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

Requests Processed: Number Processed During Fiscal Year from Current Annual Report

OS

1,129

1,301

1,099

1,313

ACF

285

233

225

322

ACL

18

18

18

18

AHRQ

57

0

57

6

CDC

1,123

1,032

899

1,039

CMS

53,424

51,364

53,744

51,682

FDA

9,598

9,990

10,492

9,702

HRSA

277

302

219

312

IHS

107

124

132

102

NIH

1,147

1,210

1,130

1,236

OASH

465

440

462

505

OIG

664

714

656

726

SAMHSA

173

188

123

162

AGENCY
OVERALL

68,467

66,916

69,256

67,125

XII. D. (2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT – BACKLOGGED REQUESTS

Component

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

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

OS

365

364

ACF

220

141

ACL

0

0

AHRQ

0

0

CDC

501

494

CMS

1,706

1,426

FDA

2,575

2,334

HRSA

58

71

IHS

6

22

NIH

33

26

OASH

194

128

OIG

9

2

SAMHSA

73

91

AGENCY
OVERALL

5,740

5,099

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XII. E. (1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT – APPEALS RECEIVED AND PROCESSED

Component

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

Appeals Received: Number Received During Fiscal Year from Current Annual Report

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

Appeals Processed: Number Processed During Fiscal Year from Current Annual Report

OS

200

199

192

222

CMS

111

116

53

59

AGENCY
OVERALL

311

315

245

281

XII. E. (2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT – BACKLOGGED APPEALS

Component

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

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

OS

187

177

CMS

87

145

AGENCY
OVERALL

274

322

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