HHS Fiscal Year 2016 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:

Michael S. Marquis
Director, Freedom of Information/Privacy Acts Division
Office of the Assistant Secretary for Public Affairs
United States Department of Health and Human Services
200 Independence Avenue, S.W., Suite 729H
Washington D.C. 20201
(202) 690-7453

2. Electronic Address for this Report on the World Wide Web:

https://www.hhs.gov/foia/reports/annual-reports/index.html

3. Address for Paper Copies of this Report

Contact Michael Marquis or Michael Bell, FOIA Public Liaison, at the address or telephone number listed above, or at: https://www.hhs.gov/foia/contacts/index.html

II. Making a FOIA Request

1. HHS and Operating Division Freedom of Information Officers/FOIA Requester Service Centers:

Department of Health and Human Services (HHS):

Website: https://www.hhs.gov/foia
Freedom of Information Act Officer
Hubert H. Humphrey Building
200 Independence Avenue, S.W., Suite 729H
Washington D.C. 20201
Phone: (202) 690-7453

Administration for Children and Families (ACF):

Website: https://www.acf.hhs.gov/freedom-of-information-act
Freedom of Information Act Officer
Mary E. Switzer Building
330 C Street, S.W., Room 4004
Washington, D.C. 20201
Phone: 202-401-9215

Administration for Community Living (ACL):

Website: https://www.acl.gov/Site_Utilities/FOIA/index.aspx
Freedom of Information Act Officer
Administration for Community Living
Washington, D.C. 20201
Phone: 202-357-3540

Agency for Healthcare Research and Quality (AHRQ):

Website: https://www.ahrq.gov/policy/foia/index.html
Freedom of Information Act Officer
Hubert H. Humphrey Building
200 Independence Avenue, S.W., Suite 729H
Washington D.C. 20201
Phone: (301) 443-3403
Phone: (202) 260-6933

Centers for Disease Control and Prevention (CDC):

Website: https://www.cdc.gov/od/foia/
Freedom of Information Act Officer
1600 Clifton Road, N.E., MS D-54
Atlanta, Georgia 30333
Phone: 770-488-6277

Centers for Medicare & Medicaid Services (CMS):

Website: https://www.cms.hhs.gov/foia/
Freedom of Information Act Officer
North Building, Room N2-20-06
7500 Security Boulevard
Baltimore, Maryland 21244
Phone: 410-786-5353

Food and Drug Administration (FDA):

Website: https://www.fda.gov/RegulatoryInformation/foi/
Freedom of Information Act Officer
Division of Freedom of Information
Office the Executive Secretariat, OC
12420 Parklawn Drive, Room 1020
Rockville, Maryland 20857
Phone: 301-796-3900 (main)

Health Resources and Services Administration (HRSA):

Website: https://www.hrsa.gov/foia/
Freedom of Information Act Officer
Parklawn Building, Room 14-15
5600 Fishers Lane
Rockville, Maryland 20857
Phone: 301-443-3376

Indian Health Service (IHS):

Website: https://www.ihs.gov/AdminMngrResources/FOIA/
Freedom of Information Act Officer
12300 Twinbrook Parkway, Suite 450
Twinbrook II, Metro Plaza Building
Rockville, Maryland 20857
Phone: 301-443-1116

National Institutes of Health (NIH):

Website: https://www.nih.gov/icd/od/foia/
Freedom of Information Act Officer
Building 31, Room 5B35
31 Center Drive
Bethesda, Maryland 20892
Phone: 301-496-5633

Office of the Assistant Secretary for Health (OASH), including the U.S. Public Health Service:

Website: https://www.hhs.gov/foia
Freedom of Information Act Officer
Hubert H. Humphrey Building
200 Independence Avenue, S.W., Suite 729H
Washington D.C. 20201
Phone: (301) 443-3403
Phone: (202) 260-6933

Office of Inspector General (OIG):

Website: https://oig.hhs.gov/foia/
Freedom of Information Act Officer
Cohen Building, Suite 1062
330 Independence Ave, S.W.
Washington, D.C. 20201
Phone: 202-619-2541

Substance Abuse and Mental Health Services Administration (SAMHSA):

Website: https://www.samhsa.gov/foia/
Freedom of Information Act Officer
1 Choke Cherry Road, Room 8-1042
Rockville, Maryland 20857
Phone: 240-276-2137

1. 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.

2. HHS FOIA Regulations: https://www.federalregister.gov/documents/2016/10/28/2016-25684/freedom-of-information-regulations

III. Acronyms, Definitions and Exemptions:

1. The following acronyms / agency component abbreviations, are utilized in this report:

Component Abbreviation Component Name
OS Office of the Secretary
ACF Administration for Children and Families
ACL Administration for Community Living
CDC Centers for Disease Control and Prevention
CMS Centers for Medicare & Medicaid Services
FDA Food and Drug Administration
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 Inspector General
SAMHSA Substance Abuse and Mental Health Services Administration

2. Following are definitions of terms used in this report:

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.

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.

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.

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 FOIA Report data for both the agency overall and for each principal component of the agency.

Consultation – the procedure whereby the agency responding to a FOIA request first forwards a record to another agency or component within the same agency for its review because that other 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 or component within the same agency that forwarded it. That agency, in turn, will then respond to the FOIA requester.

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.

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.)

Full Grant – an agency decision to disclose all records in full in response to a FOIA request.

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.

Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.

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.

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.

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.

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.

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.

Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.

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.

Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.

Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.

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. Following are concise descriptions of the nine FOIA exemptions:

Exemption 1: classified national defense and foreign relations information

Exemption 2: information that is related solely to the internal personnel rules and practices of an agency

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 (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, (E) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or (F) 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

IV. Exemption 3 Statutes

Statute Type of Information Withheld Case Citation Agency / Component Number of Times Relied upon by Agency / Component Total Number of Times Relied upon by Agency Overall
5 U.S.C. app. § 107(a) (Ethics in Government Act of 1978) Financial disclosure information pertaining to certain government employees Meyerhoff v. EPA, 958 F.2d 1498, 1500-02 (9th Cir. 1992); Seife v. NIH, 874 F. Supp. 2d 248, 254 (S.D.N.Y. 2012); Concepcion v. FBI, 606 F. Supp. 2d 14, 33 (D.D.C. 2009), renewed motion for 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). CDC 3 7
    FDA 1
    OASH 3
18 U.S.C. § 3509(d) (Federal Victims' Protection and Rights Act) Certain records containing identifying information pertaining to children involved in criminal proceedings Davis v. U.S. Postal Inspection Serv., No. 13-01972, 2014 WL 7014877, at*3 (D.D.C. Dec. 15, 2014); Rodriguez v. U.S. Dep't of Army, 31 F. Supp. 3d 218, 236-37 (D.D.C. 2014). ACF 1 1
       
21 U.S.C. § 331(j) (Food, Drug, and Cosmetic Act) Certain information "concerning any method or process which as a trade secret is entitled to protection" Anderson v. HHS, 907 F.2d 936, 950-51 (10th Cir. 1990). CMS 1 24
    FDA 23
21 U.S.C. § 350d(a)(5) Food registration documents   FDA 1 1
       
25 U.S.C. § 1675(g) Medical quality assurance records   IHS 4 4
       
35 U.S.C. § 205 Information pertaining to invention in which the Federal Government owns or may own a right, title, or interest (including a nonexclusive license) for a reasonable time in order for a patent application to be filed   NIH 1 1
       
35 U.S.C. § 209(f) Plans of a licensee for development or marketing of a federally owned invention   NIH 4 4
       
41 U.S.C. § 253b(m)(1) (currently at 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). CDC 15 45
    CMS 18
    FDA 3
    NIH 2
    OASH 7
42 U.S.C. § 242m(d) Identifiable information for certain research and statistical activities   CDC 14 14
       
42 U.S.C. § 247d-6b(d) Information identifying the location at which materials in the stockpile under subsection (a) of this section are stored   CDC 5 5
       
42 U.S.C. § 262a(h) Bioterrorism-related information   CDC 16 17
    OIG 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. DOJ, 778 F. Supp. 2d 222, 234 (N.D.N.Y. 2011) HRSA 8 8
       
42 U.S.C. § 653(i)(7)(E)(ii) Information in the Federal Parent Locator Service   ACF 1 1
       
42 U.S.C. § 1320c-9 Certain information related to Medicare End Stage Renal Disease provided to an organization not considered a Federal Agency for FOIA purposes   CMS 2 2
       
42 U.S.C. § 1395bb(b) Information related to Accreditation Survey Information   CMS 1 1
       
42 U.S.C. § 1396r–8 (b)(3)(D) Information disclosed by manufacturers or wholesalers which discloses the identity of a specific manufacturer or wholesaler and prices charged for drugs by such manufacturer or wholesaler   HRSA 1 1
       
42 U.S.C. § 11137(b) Adverse reports of a health practitioner's conduct   HRSA 3 3
       
5 U.S.C. app. 3 § 7(b) Name of employees who provide information or complaints to the Inspector General   OIG 14 14
       
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   OIG 1 1
       

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 272 985 1,034 223
ACF 534 464 749 249
ACL 1 22 20 3
CDC 749 1,120 1,445 424
CMS 3,115 17,917 19,021 2,011
FDA 2,709 10,374 10,611 2,472
HRSA 55 305 318 42
IHS 39 156 161 34
NIH 89 1,324 1,266 147
OASH 53 392 399 46
OIG 7 1,015 989 33
SAMHSA 49 158 177 30
AGENCY OVERALL 7,672 34,232 36,190 5,714

Due to data entry delays in reporting the correct ending / beginning pending case counts, the following changes are reported for the HHS components:

ACF reported 522 at the end of FY 2015, 534 at the beginning of FY 2016
ACL reported 0 at the end of FY 2015, 1 at the beginning of FY 2016
CDC reported 762 at the end of FY 2015, 749 at the beginning of FY 2016
CMS reported 3,130 at the end of FY 2015, 3,115 at the beginning of FY 2016
HRSA reported 52 at the end of FY 2015, 55 at the beginning of FY 2016
OASH reported 54 at the end of FY 2015, 53 at the beginning of FY 2016
OIG reported 6 at the end of FY 2015, 7 at the beginning of FY 2016

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

Agency / Component Number of Full Grants Number of Partial Grants / Partial Denials Number of Full Denials Based on Exemptions Number of Full Denials Based on Reasons Other than Exemptions  
No Records All Records Referred to Another Component or Agency Request Withdrawn Fee-Related Reason Records not Reasonably Described Improper FOIA Request for Other Reason Not Agency Record Duplicate Request Other *Explain in Chart Below TOTAL
OS 95 223 33 94 453 25 1 19 12 67 12 0 1,034
ACF 159 440 82 27 5 11 0 8 0 6 5 6 749
ACL 10 7 0 3 0 0 0 0 0 0 0 0 20
CDC 233 401 48 200 16 448 4 2 17 52 23 1 1,445
CMS 4,853 2,855 5,387 2,864 131 624 221 302 794 615 348 27 19,021
FDA 8,130 78 168 425 53 1,116 107 47 91 3 141 252 10,611
HRSA 51 163 13 46 15 17 0 3 2 4 4 0 318
IHS 24 29 4 27 5 42 0 0 16 1 2 11 161
NIH 792 169 10 103 8 118 8 15 5 36 2 0 1,266
OASH 171 140 21 34 6 13 2 1 2 7 2 0 399
OIG 265 157 117 148 10 137 0 1 45 83 19 7 989
SAMHSA 28 75 9 33 0 9 0 0 6 12 5 0 177
AGENCY OVERALL 14,811 4,737 5,892 4,004 702 2,560 343 398 990 886 563 304 36,190

V. B. (2) Disposition of FOIA Requests -- "Other" Reasons for "Full Denials Based on Reasons Other Than Exemptions"

Agency / Component Description of "Other" Reasons for Denials from Chart B(1) Number of Times "Other" Reason Was Relied Upon TOTAL
ACF Litigation 6 6
   
CDC Litigation 1 1
   
CMS Unable to locate requester 27 27
   
FDA Publicly Available Information 252 252
   
IHS Publicly Available Information 4 11
Request opened in error 7
OIG Publicly Available Information 7 7
   
OS N/A 0 0
   
ACL N/A 0 0
   
HRSA N/A 0 0
   
NIH N/A 0 0
   
OASH N/A 0 0
   
SAMHSA N/A 0 0
   
AGENCY OVERALL     304

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

Agency / 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 0 71 131 194 27 0 103 1 1 1 0 0
ACF 0 1 2 129 65 432 2 1 37 0 0 30 0 0
ACL 0 0 0 2 7 0 0 0 0 0 0 0 0 0
CDC 0 17 53 155 77 337 9 7 11 0 5 1 0 0
CMS 0 2 22 293 58 6,764 8 30 967 169 19 0 0 0
FDA 0 0 28 103 24 16 108 1 9 3 0 0 0 0
HRSA 0 4 12 118 33 97 0 0 1 0 0 8 0 0
IHS 0 0 4 22 19 20 4 0 0 0 0 0 0 0
NIH 0 0 7 46 44 63 20 0 6 1 0 0 0 0
OASH 0 0 10 74 11 127 6 0 30 0 0 0 0 0
OIG 0 2 16 102 58 211 116 1 170 0 14 14 0 0
SAMHSA 0 0 0 74 7 79 1 0 0 0 0 0 0 0
AGENCY OVERALL 0 26 154 1,189 534 8,340 301 40 1,334 174 39 54 0 0

VI. A. Administrative Appeals of Initial Determinations of FOIA Requests -- Received, Processed, and Pending Administrative Appeals

Agency / 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 189 180 157 212
CMS 267 82 175 174
AGENCY OVERALL 456 262 332 386

VI. B. Disposition of Administrative Appeals -- All Processed Appeals

Agency / 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 45 12 7 93 157
CMS 5 0 1 169 175
AGENCY OVERALL 50 12 8 262 332

VI. C. (1). Reasons for Denial on Appeal -- Number of Times Exemptions Applied

Agency / 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 7 17 8 21 0 0 12 0 1 0 0 0
CMS 0 0 5 6 5 70 0 2 27 2 1 0 0 0
AGENCY OVERALL 0 0 12 23 13 91 0 2 39 2 2 0 0 0

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

Agency / 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 2 47 26 1 1 3 0 1 10 2 0
CMS 6 1 164 3 2 3 1 1 0 0 1
AGENCY OVERALL 8 48 190 4 3 6 1 2 10 2 1

VI. C. (3). Reasons for Denial on Appeal -- "Other" Reasons

Agency / Component Description of "Other" Reasons for Denial on Appeal from Chart C(2) Number of Times "Other" Reason Was Relied Upon TOTAL
CMS Unable to locate requester 1 1
   
OS N/A 0 0
   
AGENCY OVERALL     1

VI. C. (4). Response Time for Administrative Appeals

Agency / Component Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days
OS 151.00 435.61 <1 1,684.00
CMS 420.00 468.00 <1 1,323.00
AGENCY OVERALL 293.00 452.68 <1 1,684.00

VI. C. (5). Ten Oldest Pending Administrative Appeals

Agency / Component   10th Oldest Appeal 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Appeal
OS Date of Appeal 2013-05-23 2013-03-20 2013-03-18 2012-09-14 2012-04-17 2012-04-10 2012-01-03 2011-06-21 2011-04-28 2011-01-11
Number of Days Pending 844 890 892 1017 1122 1127 1195 1328 1365 1440
CMS Date of Appeal 2013-06-11 2013-06-04 2013-06-04 2013-05-28 2013-05-01 2012-12-12 2012-12-12 2012-04-23 2012-04-12 2011-12-09
Number of Days Pending 832 837 837 842 860 956 956 1118 1125 1210
AGENCY OVERALL Date of Appeal 2012-09-14 2012-04-23 2012-04-17 2012-04-12 2012-04-10 2012-01-03 2011-12-09 2011-06-21 2011-04-28 2011-01-11
Number of Days Pending 1017 1118 1122 1125 1127 1195 1210 1328 1365 1440

VII. A. Processed Requests - Response Time for All Processed Perfected Requests

Agency / 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 1 4.91 <1 98 122 221.58 5 1139 42 98.55 1 302
ACF 385.5 378.09 <1 1796 462 384.99 <1 901 23 23 23 23
ACL 13 11.4 1 23 N/A N/A N/A N/A N/A N/A N/A N/A
CDC 8 55.2 <1 963 231 307.26 <1 1546 422 399.48 13 889
CMS 17 34 1 1030 9 46 1 1803 194 250 2 803
FDA 4 17.3 1 297 62 157.6 1 1442 N/A N/A N/A N/A
HRSA 4 6 <1 20 52 112 21 817 N/A N/A N/A N/A
IHS 28 40 1 139 98 106 16 314 N/A N/A N/A N/A
NIH 11 13 1 55 36 61 1 418 169 166 141 189
OASH 5 7.48 <1 97 38 58.74 <1 397 N/A N/A N/A N/A
OIG 2 6 1 20 21 31 1 251 N/A N/A N/A N/A
SAMHSA 1 22 1 317 73 114 1 686 N/A N/A N/A N/A
AGENCY OVERALL 13 27.5 <1 1796 44 115.36 <1 1803 365 379.57 1 889

VII. B. Processed Requests - Response Time for Perfected Requests in Which Information Was Granted

Agency / 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 8 15.64 <1 98 87 203.32 5 1026 42 98.55 1 302
ACF 54 179.59 <1 987 486 441.88 <1 901 23 23 23 23
ACL 13 12.4 1 23 N/A N/A N/A N/A N/A N/A N/A N/A
CDC 15 71.28 <1 963 255 325.81 <1 1546 430 446.91 42 889
CMS 19 30 1 1030 29 96 1 1175 128 226 2 803
FDA 4 17.3 1 297 63 158.2 1 1442 N/A N/A N/A N/A
HRSA 5 7 <1 20 46 102 21 738 N/A N/A N/A N/A
IHS 32 50 7 166 39 44 8 123 N/A N/A N/A N/A
NIH 13 15 1 55 42 71 1 418 169 166 141 189
OASH 5 7.62 <1 97 42 62.32 <1 397 N/A N/A N/A N/A
OIG 12 10 1 20 25 39 1 251 N/A N/A N/A N/A
SAMHSA 13 23 1 107 52 98 1 556 N/A N/A N/A N/A
AGENCY OVERALL 13 28.58 <1 1030 67 138.77 <1 1546 74 114.08 1 889

VII. C. Processed Simple Requests -- Response Time in Day Increments

Agency / 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 662 40 11 2 1 0 0 0 0 0 0 0 0 716
ACF 6 3 2 4 3 3 3 0 0 3 14 21 56 118
ACL 18 2 0 0 0 0 0 0 0 0 0 0 0 20
CDC 408 69 22 15 10 7 2 2 2 2 11 8 30 588
CMS 6,486 1,224 192 66 34 38 26 26 18 20 80 82 229 8,521
FDA 5,154 578 182 94 47 46 38 26 18 29 96 0 0 6,308
HRSA 176 0 0 0 0 0 0 0 0 0 0 0 0 176
IHS 16 12 12 6 5 0 4 3 1 0 0 0 0 59
NIH 745 177 13 0 0 0 0 0 0 0 0 0 0 935
OASH 227 4 1 0 2 0 0 0 0 0 0 0 0 234
OIG 662 0 0 0 0 0 0 0 0 0 0 0 0 662
SAMHSA 26 7 2 1 0 1 0 0 1 0 0 1 0 39
AGENCY OVERALL 14,586 2,116 437 188 102 95 73 57 40 54 201 112 315 18,376

VII. C. Processed Complex Requests -- Response Time in Day Increments

Agency / 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 28 37 35 18 8 11 8 12 10 3 25 25 56 276
ACF 8 9 1 1 4 1 0 0 1 0 6 8 73 112
ACL 0 0 0 0 0 0 0 0 0 0 0 0 0 0
CDC 113 51 40 24 49 26 35 20 16 10 81 82 270 817
CMS 6,704 1,090 338 220 161 100 56 50 36 32 179 113 323 9,402
FDA 1,238 487 355 197 170 101 179 101 82 82 331 338 504 4,165
HRSA 0 58 19 13 6 6 3 3 2 5 11 3 8 137
IHS 7 11 10 7 14 16 9 0 0 4 5 3 0 86
NIH 96 77 37 31 13 7 6 8 6 10 11 5 1 308
OASH 27 55 27 14 12 8 5 6 4 2 0 2 0 162
OIG 136 79 28 16 7 5 3 2 3 1 1 0 0 281
SAMHSA 19 33 11 4 11 9 8 3 6 6 14 1 7 132
AGENCY OVERALL 8,376 1,987 901 545 455 290 312 205 166 155 664 580 1,242 15,878

VII. C. Processed Requests Granted Expedited Processing -- Response Time in Day Increments

Agency / 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 4 1 1 0 0 1 0 0 2 0 1 1 0 11
ACF 0 1 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
CDC 1 0 1 0 1 0 0 0 0 1 3 1 15 23
CMS 1 3 3 2 1 2 1 0 1 0 5 1 18 38
FDA 0 0 0 0 0 0 0 0 0 0 0 0 0 0
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 1 1 1 0 0 0 3
OASH 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
SAMHSA 0 0 0 0 0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL 6 5 5 2 2 3 1 1 4 2 9 3 33 76

VII. D. Pending Requests -- All Pending Perfected Requests

Agency / 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 24 7.5 9 195 310 33 1 170 170
ACF 180 406 408 69 79 101 0 N/A N/A
ACL 3 11 10.33 0 N/A N/A 0 N/A N/A
CDC 20 34.5 35 382 189 301 20 489 420
CMS 263 9 14 1675 77 174 73 495 455
FDA 207 30 59.1 2245 183 254.3 2 484 484
HRSA 11 34 58 31 39 61 0 N/A N/A
IHS 6 20 26 28 95 96 0 N/A N/A
NIH 53 8 11 94 54 81 0 N/A N/A
OASH 1 50 50 45 28 44 0 N/A N/A
OIG 2 7 7 32 21 44 0 N/A N/A
SAMHSA 0 N/A N/A 30 23 77 0 N/A N/A
AGENCY OVERALL 770 109 118.24 4826 143 209 96 490 445.34

VII. E. Pending Requests -- Ten Oldest Pending Perfected Requests

Agency / Component   10th Oldest Request 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Request
OS Date of Receipt 2013-10-29 2013-10-28 2013-10-28 2013-10-25 2013-10-24 2013-10-21 2013-10-18 2013-05-01 2013-03-04 2013-02-14
Number of Days Pending 734 735 735 736 737 740 741 859 901 912
ACF Date of Receipt 2013-11-25 2013-11-25 2013-11-21 2013-11-20 2013-09-03 2013-08-20 2013-08-20 2013-05-01 2013-04-30 2013-03-27
Number of Days Pending 716 716 718 719 773 782 782 859 860 884
ACL Date of Receipt N/A N/A N/A N/A N/A N/A N/A 2016-09-19 2016-09-15 2016-09-15
Number of Days Pending 0 0 0 0 0 0 0 9 11 11
CDC Date of Receipt 2011-10-11 2011-09-15 2011-07-12 2011-04-05 2011-02-08 2011-01-04 2010-11-29 2010-04-15 2010-03-16 2010-03-15
Number of Days Pending 1238 1255 1301 1369 1408 1432 1456 1612 1634 1635
CMS Date of Receipt 2012-10-18 2012-10-15 2012-10-12 2012-10-10 2012-09-19 2012-05-22 2012-04-10 2012-03-05 2012-03-01 2012-02-23
Number of Days Pending 972 975 979 983 999 1082 1102 1138 1140 1145
FDA Date of Receipt 2011-06-27 2011-05-31 2011-04-07 2011-03-22 2011-03-17 2011-03-16 2011-03-09 2011-03-09 2011-02-24 2011-02-02
Number of Days Pending 1311 1330 1367 1379 1382 1383 1388 1388 1397 1412
HRSA Date of Receipt 2016-05-26 2016-05-18 2016-04-26 2016-02-26 2016-02-22 2016-02-22 2016-02-08 2016-01-08 2015-11-16 2015-05-26
Number of Days Pending 88 94 110 122 145 145 165 185 221 341
IHS Date of Receipt 2016-06-08 2016-03-22 2016-03-22 2016-03-14 2016-03-01 2016-02-18 2016-02-16 2016-02-10 2015-12-09 2015-11-03
Number of Days Pending 129 136 136 142 151 159 161 164 206 229
NIH Date of Receipt 2016-01-08 2016-01-06 2015-12-18 2015-12-16 2015-11-10 2015-11-02 2015-09-24 2014-10-15 2014-10-10 2014-10-03
Number of Days Pending 184 186 197 199 223 229 255 490 492 497
OASH Date of Receipt 2016-07-21 2016-07-14 2016-07-11 2016-06-15 2016-05-23 2016-04-28 2016-04-04 2016-03-08 2016-02-18 2015-05-18
Number of Days Pending 50 55 58 75 91 108 126 145 158 346
OIG Date of Receipt 2016-06-22 2016-06-13 2016-06-03 2016-06-01 2016-06-01 2016-04-19 2016-04-06 2016-03-29 2016-03-29 2016-03-29
Number of Days Pending 71 78 83 86 86 116 125 126 126 131
SAMHSA Date of Receipt 2016-07-05 2016-04-19 2016-04-01 2016-04-01 2016-03-22 2016-03-22 2015-10-09 2015-10-07 2015-09-18 2015-01-28
Number of Days Pending 63 68 130 130 138 138 255 257 270 437
AGENCY OVERALL Date of Receipt 2011-03-09 2011-03-09 2011-02-24 2011-02-08 2011-02-02 2011-01-04 2010-11-29 2010-04-15 2010-03-16 2010-03-15
Number of Days Pending 1388 1388 1397 1408 1412 1432 1456 1612 1634 1635

VIII. A. Requests for Expedited Processing

Agency / Component Number Granted Number Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate Number Adjudicated Within Ten Calendar Days
OS 8 11 1 3.63 17
ACF 1 0 1 1 1
ACL 0 0 N/A N/A N/A
CDC 7 77 2 3.64 81
CMS 33 72 5 19 74
FDA 0 470 6 6.4 453
HRSA 0 0 N/A N/A N/A
IHS 0 0 N/A N/A N/A
NIH 3 14 3 3.9 16
OASH 0 1 1 1 1
OIG 0 11 3 3 11
SAMHSA 0 0 N/A N/A N/A
AGENCY OVERALL 52 656 6 7.74 654

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 4 0 1.5 3.5
ACF 1 0 1 1
ACL 0 0 N/A N/A
CDC 18 10 1 65.46
CMS 34 79 3 9
FDA 2 27 5 9.4
HRSA 0 0 N/A N/A
IHS 0 0 N/A N/A
NIH 0 1 1 1
OASH 0 0 N/A N/A
OIG 0 18 5 6
SAMHSA 0 0 N/A N/A
AGENCY OVERALL 59 136 3 16.65

IX. FOIA Personnel and Costs

Agency / 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 10 0 10 $1,705,834.00 $407,715.00 $2,113,549.00
ACF 3 2.3 5.3 $576,879.00 $0.00 $576,879.00
ACL 0 0.1 0.1 $22,400.00 $0.00 $22,400.00
CDC 19 5 24 $2,237,134.00 $0.00 $2,237,134.00
CMS 29 62 91 $5,306,946.78 $70,000.00 $5,376,946.78
FDA 98 36.8 134.8 $33,387,345.00 $849,000.00 $34,236,345.00
HRSA 3 2 5 $518,126.00 $0.00 $518,126.00
IHS 1 2.1 3.1 $337,070.00 $0.00 $337,070.00
NIH 21.36 9.37 30.73 $3,709,572.20 $15,003.87 $3,724,576.07
OASH 5 0 5 $720,133.10 $0.00 $720,133.10
OIG 3 1 4 $267,000.00 $60,000.00 $327,000.00
SAMHSA 1 0.5 1.5 $94,163.00 $0.00 $94,163.00
AGENCY OVERALL 193.36 121.17 314.53 $48,882,603.08 $1,401,718.87 $50,284,321.95

X. Fees Collected for Processing Requests

Agency / Component Total Amount of Fees Collected Percentage of Total Costs
OS $0.00 0.00%
ACF $0.00 0.00%
ACL $0.00 0.00%
CDC $12,903.27 0.58%
CMS $137,336.12 2.59%
FDA $443,422.55 1.33%
HRSA $3,403.25 0.66%
IHS $0.00 0.00%
NIH $66,910.00 1.80%
OASH $5,666.25 0.79%
OIG $4,091.80 1.53%
SAMHSA $0.00 0.00%
AGENCY OVERALL $673,733.24 1.38%

XI.A. Number of Times Subsection (C) Used

Agency / Component Number of Times Subsection (C) Used
HHS 0
AGENCY OVERALL 0

XI.B. Number of Subsection (A)(2) Postings

Agency / Component Number of (a)(2) Records Posted by the FOIA Office Number of (a)(2) Records Posted by Program Offices
OS 2 336
ACF 0 2,152
ACL 0 0
CDC 0 0
CMS 9 400
FDA 28,319 1,490
HRSA 0 50
IHS 0 0
NIH 38 802
OASH 0 0
OIG 0 362
SAMHSA 0 0
AGENCY OVERALL 28,368 5,592

XII.A. Backlogs of FOIA Requests and Administrative Appeals

Agency / Component Number of Backlogged Requests as of End of Fiscal Year Number of Backlogged Appeals as of End of Fiscal Year
OS 195 206
ACF 242 N/A
ACL 0 N/A
CDC 374 N/A
CMS 1,271 169
FDA 2,248 N/A
HRSA 30 N/A
IHS 27 N/A
NIH 64 N/A
OASH 30 N/A
OIG 17 N/A
SAMHSA 21 N/A
AGENCY OVERALL 4,519 375

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

Agency / Component Number of Consultations Received from Other Agencies that were

Pending

at the Agency as of

Start

of the Fiscal Year
Number of Consultations

Received

from Other Agencies During the Fiscal Year
Number of Consultations Received from Other Agencies that were

Processed

by the Agency During the Fiscal Year
Number of Consultations Received from Other Agencies that were

Pending

at the Agency as of

End

of the Fiscal Year
OS 2 31 24 9
ACF 0 0 0 0
ACL 0 0 0 0
CDC 2 17 19 0
CMS 0 0 0 0
FDA 0 24 22 2
HRSA 0 0 0 0
IHS 0 0 0 0
NIH 0 10 10 0
OASH 0 0 0 0
OIG 0 7 7 0
SAMHSA 0 2 2 0
AGENCY OVERALL 4 91 84 11

XII. C. Consultations on FOIA Requests -- Ten Oldest Consultations Recieved from Other Agencies and Pending at the Agency

Agency / Component   10th Oldest Consultation 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation
OS Date N/A 2016-09-27 2016-09-22 2016-09-12 2016-09-06 2016-09-01 2016-05-05 2016-03-01 2015-10-06 2015-03-17
Number of Days 0 3 6 14 18 20 103 150 248 390
ACF Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
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
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
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
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 2016-09-23 2015-12-24
Number of Days 0 0 0 0 0 0 0 0 5 199
HRSA Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
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
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
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
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
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
Number of Days 0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL Date 2016-09-23 2016-09-22 2016-09-12 2016-09-06 2016-09-01 2016-05-05 2016-03-01 2015-12-24 2015-10-06 2015-03-17
Number of Days 5 6 14 18 20 103 150 199 248 390

XII. D. 1. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received and Processed

Agency / 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 1,071 985 1,113 1,034
ACF 850 464 1,100 749
ACL 11 22 11 20
CDC 1,020 1,120 943 1,445
CMS 26,566 17,917 28,153 19,021
FDA 9,958 10,374 10,145 10,611
HRSA 379 305 419 318
IHS 149 156 130 161
NIH 1,273 1,324 1,268 1,266
OASH 357 392 423 399
OIG 1,276 1,015 1,304 989
SAMHSA 175 158 177 177
AGENCY OVERALL 43,085 34,232 45,186 36,190

XII. D. 2. Comparison of Numbers of Requests from Previous and Current Annual Report -- Backlogged Requests

Agency / 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 245 195
ACF 514 242
ACL 0 0
CDC 673 374
CMS 1,801 1,271
FDA 2,337 2,248
HRSA 36 30
IHS 36 27
NIH 24 64
OASH 35 30
OIG 3 17
SAMHSA 41 21
AGENCY OVERALL 5,745 4,519

XII. E. 1. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report -- Appeals Received and Processed

Agency / 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 196 180 190 157
CMS 116 82 92 175
AGENCY OVERALL 312 262 282 332

XII. E. 2. Comparison of Backlogged Administrative Appeals from Previous and Current Annual Report – Backlogged Appeals

Agency / Component Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report
OS 173 206
CMS 264 169
AGENCY OVERALL 437 375
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