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U.S. Department of Health and Human Services

Regulatory Information

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Freedom of Information Annual Report 2011

 

I.       BASIC INFORMATION REGARDING REPORT
 
1.    Name, title, address, and telephone number of person(s) to be contacted with questions about the Report.
 
Fred Sadler, Director
Division of Freedom of Information
Office of Public Information & Library Services
Office of Shared Services
U.S. Food & Drug Administration
12420 Parklawn Dr. Rm 10-50
Rockville, Maryland 20857
301-796-8975(direct)
301-796-3900 (main)
301-827-9267 (fax)
 

 

2.     ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB:
 

 

3.    ADDRESS FOR PAPER COPIES OF THIS REPORT
 
Contact Fred Sadler 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 Inspector General (OIG): http://oig.hhs.gov/foia/
Office of Public Health and Science (OPHS): 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
 
Administration on Aging (AOA)
Freedom of Information Officer
Washington, D.C. 20201
Phone: 202-357-3540
 
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
 
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
7700 Wisconsin Ave., Suite 920
Bethesda, MD 20814
Phone: 301-492-4800
 
Agency for Healthcare Research and Quality (AHRQ)
Freedom of Information Officer
540 Gaither Road
The Eisenberg Building, Room 2222
Rockville, Maryland 20850
Phone: 301-427-1866
 
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: 404-498-1580
 
Food and Drug Administration (FDA)
Freedom of Information Officer
12420 Parklawn Dr., Room 10-50
Rockville, Maryland 20857
Phone: 301-796-3900
 
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
  
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
 
  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. 

 

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
OPHS - Office of Public Health and Science
PHS - Public Health Service
PRO - Professional Review Organization
PSC - Program Support Center
SAMHSA - Substance Abuse and Mental Health Services Administration 

 

  1. 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 - 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. 

 

(A)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.
 
(B) 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.
 
(C) 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. 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
    5. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
    6. Exemption 6: information involving matters of personal privacy
    7. 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

 

    1. Exemption 8: information relating to the supervision of financial institutions
    2. Exemption 9: geological information on wells  


 

IV.       EXEMPTION 3 STATUTES
 
Statute
Type of Information Withheld
Case Citation
Number of Times Relied upon per Component
Total Number of Times Relied upon by Agency
Public Health Security and Bioterrorism Preparedness and Response Act, 2002 (P.L. 107-188) 21U.S.C. § 350d(a)(b)
Food Registration Document
 
 
5
Food and Drug Cosmetic Act, as amended (21 U.S.C. § 331(j))
                   Trade Secrets
 
 
24
Ethics in Govt. Act 5 U.S.C. app.
§ 107(a)
Financial disclosure forms/personal financial interest
 
 
2
41 U.S.C. § 253b(m)
 
Technical proposal not incorporated into a final contract
Hornbostel v. U.S. Dep't. of Interior, 305 F.Supp.2d 21 (D.D.C. 2003)
Center for Pub. Integrity v. Department of Energy, 191 F.Supp.2d 187 (D.D.C. 2002).
 
6
 
 
 
 
 
 
 
 
 
 
 

 

V.       FOIA Requests
 
  1. Received, Processed, and Pending FOIA Requests
 
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
 
 
 
 
ACF
 
 
 
 
AOA
 
 
 
 
CMS
 
 
 
 
OIG
 
 
 
 
OPHS/PSC
 
 
 
 
AHRQ
 
 
 
 
CDC
 
 
 
 
FDA
4,722
9,301
10,602
3,421
HRSA
 
 
 
 
IHS
 
 
 
 
NIH
 
 
 
 
SAMHSA
 
 
 
 
HHS Total
 
 
 
 
 
 
 
Note: Prior number of Requests Pending Ending of 2010 Fiscal Year was 4691. The number of pending requests was revised as a result of late revisions to the tracking system by agency component FOIA Officers.


 

B. (1) Disposition of all FOIA Requests – All Processed Requests
 
 
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
Total
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”
OS
 
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
 
FDA
7,473
170
77
707
8
1,386
213
1
93
2
201
271
10,602
HRSA
 
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
 
NIH
 
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 
 
 
 
 


B. (2) Disposition of FOIA Requests – Other Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B (1)
 
Component
Description of “Other” Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied upon
TOTAL
OS
 
 
ACF
 
 
AOA
 
 
CMS
 
 
OIG
 
 
OPHS/PSC
 
 
AHRQ
 
 
CDC
 
 
FDA
Available on the Internet
271
HRSA
 
 
IHS
 
 
NIH
 
 
SAMHSA
 
 
HHS Total
 
 
 


B. (3) Disposition of FOIA Requests - Number of times exemptions applied
 
 
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
ACF
0
 
 
 
 
 
 
 
 
 
 
 
0
0
AOA
0
 
 
 
 
 
 
 
 
 
 
 
0
0
CMS
0
 
 
 
 
 
 
 
 
 
 
 
0
0
OIG
0
 
 
 
 
 
 
 
 
 
 
 
0
0
OPHS/PSC
0
 
 
 
 
 
 
 
 
 
 
 
0
0
AHRQ
0
 
 
 
 
 
 
 
 
 
 
 
0
0
CDC
0
 
 
 
 
 
 
 
 
 
 
 
0
0
FDA
0
5
37
114
34
34
118
0
13
6
8
4
0
0
HRSA
0
 
 
 
 
 
 
 
 
 
 
 
0
0
IHS
0
 
 
 
 
 
 
 
 
 
 
 
0
0
NIH
0
 
 
 
 
 
 
 
 
 
 
 
0
0
SAMHSA
0
 
 
 
 
 
 
 
 
 
 
 
0
0
HHS Total
0
 
 
 
 
 
 
 
 
 
 
 
0
0
 


 

VI.       ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS
 
A. Received, Processed, and Pending Administrative Appeals
 
 
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
 
 
 
 
CMS
 
 
 
 
HHS Total
 
 
 
 
 
B. Disposition of Administrative Appeals – All Processed Appeals
 
 
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
 
 
 
 
 
CMS
 
 
 
 
 
HHS Total
 
 
 
 
 
 
C. (1) Reasons for denial on Appeal – Number of Times Exemptions applied
 
 
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
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 


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


C. (3) Reasons for denial on Appeal – Other:
 
 
Description of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied upon
TOTAL
OS
 
 
CMS
 
 
HHS Total
 
 
 
C. (4) Response time for administrative appeals (See chart)
 
 
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
OS
 
 
 
 
CMS
 
 
 
 
HHS Overall
 
 
 
 
 


C. (5) Ten Oldest Pending Appeals (See Chart)
 
 
10th Oldest Appeal
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Appeal
OS
Date of Receipt of Ten Oldest Appeals
 
 
 
 
 
 
 
 
 
 
Number of Days Pending
 
 
 
 
 
 
 
 
 
 
CMS
Date of Receipt of Ten Oldest Appeals
 
 
 
 
 
 
 
 
 
 
Number of Days Pending
 
 
 
 
 
 
 
 
 
 
HHS Overall
Date of Receipt of Ten Oldest Appeals
 
 
 
 
 
 
 
 
 
 
Number of Days Pending
 
 
 
 
 
 
 
 
 
 
 

 

VII.       FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS
 
  1. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted[1]
 
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[2]
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
FDA
9
48.6
1
1,305
162
248.1
1
1,760
53
64.3
31
109
HRSA[3]
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
NIH[4]
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
HHS Overall
 
 
 
 
 
 
 
 
 
 
 
 

 

  1. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted[5]
 
Simple
Complex
Expedited Processing
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
OS[6]
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
FDA
9
48.6
1
1,305
164
249.7
1
1,760
53
64.3
31
109
HRSA[7]
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
NIH[8]
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
HHS Overall
 
 
 
 
 
 
 
 
 
 
 
 
 


  1. Processed Requests – Response Time in Day Increments

 

1.        Simple Requests
 
 
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[9]
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
FDA
2,423
717
438
392
492
441
244
116
91
81
253
99
220
6,007
HRSA[10]
 
 
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
NIH[11]
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
HHS Overall
 
 
 
 
 
 
 
 
 
 
 
 
 
 


2.        Complex Requests
 
 
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
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
FDA
577
309
248
212
251
230
154
101
106
116
295
379
1,538
4,516
HRSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
NIH
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 
 
 
 
 


3.        Requests Granted Expedited Processing
 
 
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
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
FDA
0
0
0
0
1
0
1
0
0
0
1
0
0
3
HRSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
NIH
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 


  1. Pending Requests – All Pending Perfected Requests[12]
 
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
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
FDA
252
179
217
3,145
32
108.7
2
191
226.8
HRSA[14]
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
NIH[15]
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 


  1. Pending Requests – Ten Oldest Pending Perfected Requests
 
10th Oldest Request and Number of Days Pending
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Request and Number of Days Pending
OS
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
FDA
3/5/2008
899
1/3/2008
941
11/30/2007
963
9/7/2207
1,020
5/8/2007
1,105
4/18/2007
1,119
3/20/2007
1,140
2/27/2007
1,155
2/7/2007
1,168
3/16/2006
1,392
HRSA
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
NIH
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 


 

VIII.       REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER
 
  1. Requests for Expedited Processing
 
Number Granted
Number Denied
Median Number of Days to Adjudicate
Average Number of Days to Adjudicate
Number Adjudicated Within Ten Calendar Days
OS
 
 
 
 
 
ACF
 
 
 
 
 
AOA
 
 
 
 
 
CMS
 
 
 
 
 
OIG
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
AHRQ
 
 
 
 
 
CDC
 
 
 
 
 
FDA
3
92
13
21.3
38
HRSA
 
 
 
 
 
IHS
 
 
 
 
 
NIH
 
 
 
 
 
SAMHSA
 
 
 
 
 
HHS Total
 
 
 
 
 
 

  1. Requests for Fee Waiver
 
Number Granted
Number Denied
Median Number of Days to Adjudicate
Average Number of Days to Adjudicate
OS
 
 
 
 
ACF
 
 
 
 
AOA
 
 
 
 
CMS
 
 
 
 
OIG
 
 
 
 
OPHS/PSC
 
 
 
 
AHRQ
 
 
 
 
CDC
 
 
 
 
FDA
254
11
11
19.9
HRSA
 
 
 
 
IHS
 
 
 
 
NIH
 
 
 
 
SAMHSA
 
 
 
 
HHS Total
 
 
 
 
 

 

IX.       FOIA PERSONNEL AND COSTS
 
 
 
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
 
 
 
 
 
 
ACF
 
 
 
 
 
 
AOA
 
 
 
 
 
 
CMS
 
 
 
 
 
 
OIG
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
CDC
 
 
 
 
 
 
FDA
85.6
41.5
127.1
650,482.11
130,226.00
$33,133,354.22
HRSA
 
 
 
 
 
 
IHS
 
 
 
 
 
 
NIH
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 


 

X.       FEES COLLECTED FOR PROCESSING REQUESTS
 
 
Total Amount of Fees Collected
Percentage of Total Costs
OS
 
 
ACF[16]
 
 
AOA
 
 
CMS
 
 
OIG
 
 
OPHS/PSC
 
 
AHRQ
 
 
CDC
 
 
FDA
452,246.57
69.53%
HRSA
 
 
IHS
 
 
NIH
 
 
SAMHSA
 
 
HHS Total
 
 
 
XI.       FOIA REGULATIONS
 
http://www.hhs.gov/foia/45cfr5.html

 
XII.       BACKLOGS, CONSULTATIONS, AND COMPARISONS
 
  1. Backlogs of FOIA Requests and Administrative Appeals
 
Number of Backlogged Requests as of End of Fiscal Year
Number of Backlogged Appeals as of End of Fiscal Year
OS
 
 
ACF
 
 
AOA
 
 
CMS
 
 
OIG
 
 
OPHS/PSC
 
 
AHRQ
 
 
CDC
 
 
FDA
3,421
0
HRSA
 
 
IHS
 
 
NIH
 
 
SAMHSA
 
 
HHS Total
 
 
 

  1. Consultations on FOIA Requests – Received, Processed, and Pending Consultations
 
Number of Consultations Received from Other Agencies that Were Pending at Your 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 Your Agency During the Fiscal Year
Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year
OS
 
 
 
 
ACF
 
 
 
 
AOA
 
 
 
 
CMS
 
 
 
 
OIG
 
 
 
 
OPHS/PSC
 
 
 
 
AHRQ
 
 
 
 
CDC
 
 
 
 
FDA
0
12
12
0
HRSA
 
 
 
 
IHS
 
 
 
 
NIH
 
 
 
 
SAMHSA
 
 
 
 
HHS Total
 
 
 
 
 

  1. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency
 
10th Oldest Request and Number of Days Pending
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Request and Number of Days Pending
OS
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
OAO
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
FDA
0
0
0
0
0
0
0
0
0
0
HRSA
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
NIH
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 
 

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

 

(1)   Requests Received and Processed
 
 
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
 
 
 
 
ACF
 
 
 
 
AOA
 
 
 
 
CMS
 
 
 
 
OIG
 
 
 
 
OPHS/PSC
 
 
 
 
AHRQ
 
 
 
 
CDC
 
 
 
 
FDA
9,690
9,301
9,879
10,602
HRSA
 
 
 
 
IHS
 
 
 
 
NIH
 
 
 
 
SAMHSA
 
 
 
 
HHS Total
 
 
 
 


 

(2)   Requests Backlogged
 
 
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
 
 
ACF
 
 
AOA
 
 
CMS
 
 
OIG
 
 
OPHS/PSC
 
 
AHRQ
 
 
CDC
 
 
FDA
4,691
3,421
HRSA
 
 
IHS
 
 
NIH
 
 
SAMHSA
 
 
HHS Total
 
 
 



Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged
 
(1)   Appeals Received, Processed
 
 
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
 
 
 
 
CMS
 
 
 
 
HHS Total
 
 
 
 
 
 
(2)   Appeals Backlogged
 
 
Number of Backlogged Administrative Appeals as of End of the Fiscal Year from Previous Annual Report
Number of Backlogged Administrative Appeals as of End of the Fiscal Year from Current Annual Report
OS
 
 
CMS
 
 
HHS Total
 
 
 


 
 
[1] Some numbers based on estimates.
[2] Uses single-track log.
[3] Uses single-track log.
[4] Uses single-track log.
[5] Some numbers based on estimates.
[6] Uses single-track log.
[7] Uses single-track log.
[8] Uses single-track log.
[9] Uses single-track log.
[10] Uses single-track log.
[11] Uses single-track log.
[12] Some numbers based on estimates.
[13] Uses single-track log.
[14] Uses single-track log.
[15] Uses single-track log.
[16] The ACF has temporarily suspended fee collections.