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U.S. Department of Health and Human Services

Regulatory Information

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Freedom of Information Annual Report 2012


 

FREEDOM OF INFORMATION ANNUAL REPORT — FY 2012
 
I.  BASIC INFORMATION REGARDING REPORT
 
1. Name, title, address, and telephone number of person(s) to be contacted with questions about the Report.
 
Fred Sadler, Director
Division of Freedom of Information
Office of Executive Secretariat
12420 Parklawn Dr., Rm. 10-50
Rockville, MD 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:
 
** 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):
 
Administration for Children and Families (ACF):
 
Agency for Healthcare Research and Quality (AHRQ):
 
Centers for Disease Control and Prevention (CDC):
 
Centers for Medicare & Medicaid Services (CMS):
 
Food and Drug Administration (FDA):
 
Health Resources and Services Administration (HRSA):
 
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 (SAMHSA):

 
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
Room 17-66, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Phone: 301-443-5252
 
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
 
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., Rm-10-50
Rockville, MD 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
 
 
2.  Brief description of why some requests are not granted: Documents requested were protected by an exemption and release would have caused harm to the interest protected by the exemption. Information withheld may include home addresses and phone numbers, social security numbers, medical records, proprietary business records, investigatory records, that if released may interfere with open investigations, and drafts of documents.
 
III.  ACRONYMS, DEFINITIONS, AND EXEMPTIONS:
 
1.   Agency-specific acronyms or other terms:
 
HHS - U.S. Department of Health and Human Services
 
OPDIVs - Operating Divisions of HHS
 
OS - Office of the Secretary, HHS
 
OASPA - Office of the Assistant Secretary for Public Affairs, HHS
 
AoA - Administration on Aging
 
ACF - Administration for Children and Families
 
AHRQ - Agency for Healthcare Research and Quality
 
ATSDR - Agency for Toxic Substances and Disease Registry
 
CDC - Centers for Disease Control and Prevention
 
FDA - Food and Drug Administration
 
HRSA - Health Resources and Services Administration
 
IHS - Indian Health Service
 
NIH - National Institutes of Health
 
OIG – Office of the Inspector General
 
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
 
2.  Basic terms (from FOIA UPDATE, Summer 1997):
 
a.  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.
 
b.   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.
 
c.   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.
 
d.   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.
 
e.  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.
 
f.    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.
 
g.   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.)
 
h.   Full Grant - an agency decision to disclose all records in full in response to a FOIA request.
 
i.    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.
 
j.    Median Number - Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
 
k.   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.
 
l.    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.
 
m. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
 
n.   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.
 
o.   Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
 
p.   Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.
 
q.   Time Limits – the time period in the statute for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request).
 
3.  Concise descriptions of the nine FOIA exemptions:
 
a.  Exemption 1: classified national defense and foreign relations information
 
b.   Exemption 2: information that is related solely to the internal personnel rules and practices of an agency
 
c.  Exemption 3: information that is prohibited from disclosure by another federal law
 
d.   Exemption 4: trade secrets and other confidential business information
 
e.  Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
 
f.    Exemption 6: information involving matters of personal privacy
 
g.   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
 
h.   Exemption 8: information relating to the supervision of financial institutions
 
i.    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 HHS
18 U.S.C. § 2510 -
20
Pen Register
Information
Raulerson v. Ashcroft, 271 F. Supp.2d 17
(D.D.C. 2002)
 
 
41 U.S.C. § 4702
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)
FDA-2
 
42 U.S.C. § 262a
Select Agent
Information
None
 
 
42 U.S.C. §
242m(d) (Public Health Service Act § 308(d))
Identifiable
information for certain research and statistical activities
None
 
 
42 U.S.C. §
300aa-12(d)(4)(A)
Medical records
presented to a Special Master in National Vaccine Injury Compensation Program court proceedings
Diane and Craig
Arpino on behalf of Joseph Craig Arpino, Somers Point, New Jersey, HRSA - Fed. Cl. Number
040005V
 
 
42 U.S.C. §
11137 (b)
Adverse reports
of a health practitioner’s conduct
None
 
 
15 U.S.C.
1335a(b)(2)(A) Comprehensive Smoking Education Act of
1984
Cigarette additive
information
None
 
 


 

 
 
 
 
Statute
 
Type of Information Withheld
 
 
 
 
Case Citation
Number of
Times Relied upon per Component
 
Total Number of Times Relied upon by HHS
35 U.S.C. § 122
Information
contained in a pending or otherwise non- issued patent application
Irons and Sears v. Dann, 606 F.
2d 1215 (D.C.
Cir. 1979);
Leeds v. Quigg,
720 F. Supp. 193 (D.D.C. 1989)
 
 
5 U.S.C. app. §
107(a) Ethics in
Gov’t Act
Financial
disclosure information pertaining to certain government employees
Meyeroff v.
E.P.A., 958 F.
3d 1498, 1503 (9thCir. 1992); concepcion v. FBI, 606 F. Supp. 2d 14,
33(D.D.C. 2009)
FDA-2
 
5 U.S.C. § 574(j)
Confidential
communications with agency Ombudsman
None
 
 
21 U.S.C. § 331(j)
Trade Secrets
Anderson v.
Department of Health & Human Servs.,
907 F.2d 936,
950 (10thCir.
1990)
FDA - 53
 
21 U.S.C. §
350d(a)(54)
Food
Registration
Documents
None
FDA - 3
 


 

V FOIA Requests
 
A.  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
3,469
9,598
10,492
2,575
HRSA
 
 
 
 
IHS
 
 
 
 
NIH
 
 
 
 
SAMHSA
 
 
 
 
HHS Total
 
 
 
 


 

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
7,513
195
159
538
15
1,193
192
7
94
1
240
345
10,492
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
345
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
0
62
151
65
41
157
0
10
4
5
1
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
A.  Processed Requests – Response Time for All Perfected Requests1
 
 
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
OS2
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
FDA
8
28.9
1
1198
105
203.4
1
1757
0
0
0
0
HRSA3
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
NIH4
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
HHS
Overall
 
 
 
 
 
 
 
 
 
 
 
 
 
 
1 Some numbers based on estimates.
2 Uses single-track log.
3 Uses single-track log.
4 Uses single-track log.
 
 
B.  Processed Requests – Response Time for Perfected Requests in Which Information Was Granted5
 
 
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
OS6
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
FDA
8
28.8
1
1198
111
205.4
1
1757
0
0
0
0
HRSA7
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
NIH8
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
HHS
Overall
 
 
 
 
 
 
 
 
 
 
 
 
 
  
5 Some numbers based on estimates.
6 Uses single-track log.
7 Uses single-track log.
8 Uses single-track log.


 

C.  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
OS9
 
 
 
 
 
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
 
 
 
 
 
FDA
182
357
532
504
369
497
414
495
462
399
1684
109
199
6,203
HRSA10
 
 
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
NIH11
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
HHS Overall
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
   
9 Uses single-track log.
10 Uses single-track log.
11 Uses single-track log.


 

 
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
23
84
123
149
152
135
186
201
213
151
907
411
1,481
4,216
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
1
0
0
0
0
0
0
0
0
0
0
0
1
HRSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
 
 
 
 
NIH
 
 
 
 
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 
 
 
 
 

  

 
D.  Pending Requests – All Pending Perfected Requests12
 
 
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
OS13
 
 
 
 
 
 
 
 
 
ACF
 
 
 
 
 
 
 
 
 
AOA
 
 
 
 
 
 
 
 
 
CMS
 
 
 
 
 
 
 
 
 
OIG
 
 
 
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
 
 
 
CDC
 
 
 
 
 
 
 
 
 
FDA
342
22
91.6
2,208
160
212.7
3
290
303
HRSA14
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
NIH15
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 
  
 
12 Some numbers based on estimates.
13 Uses single-track log.
14 Uses single-track log.
15 Uses single-track log.


 

 
E.  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
1,119
 
4/16/2008
1,140
 
3/18/2008
1,140
 
3/18/2008
1,149
 
3/5/2008
1,191
 
1/3/2008
1,213
 
11/30/2007
1,245
 
9/07/2007
1,270
 
4/18/2007
1,369
 
4/11/2007
1,374
 
2/27/2007
HRSA
 
 
 
 
 
 
 
 
 
 
IHS
 
 
 
 
 
 
 
 
 
 
NIH
 
 
 
 
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 
 
 
 
 


 

VIII.  REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER
A.  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
1
207
7
8.5
178
HRSA
 
 
 
 
 
IHS
 
 
 
 
 
NIH
 
 
 
 
 
SAMHSA
 
 
 
 
 
HHS Total
 
 
 
 
 


 

B.  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
320
7
10
19.6
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
 
(Staff Costs
& Processing
Costs)
 
 
 
 
Litigation- Related Costs
 
 
 
 
 
 
 
Total Costs
OS
 
 
 
 
 
 
ACF
 
 
 
 
 
 
AOA
 
 
 
 
 
 
CMS
 
 
 
 
 
 
OIG
 
 
 
 
 
 
OPHS/PSC
 
 
 
 
 
 
AHRQ
 
 
 
 
 
 
CDC
 
 
 
 
 
 
FDA
87.54
40.15
127.69
33,524,931.54
$1,092,553
$34,617,484.54
HRSA
 
 
 
 
 
 
IHS
 
 
 
 
 
 
NIH
 
 
 
 
 
 
SAMHSA
 
 
 
 
 
 
HHS Total
 
 
 
 
 
 


 

X FEES COLLECTED FOR PROCESSING REQUESTS
 
 
Total Amount of Fees
Collected
 
 
Percentage of Total Costs
OS
 
 
ACF16
 
 
AOA
 
 
CMS
 
 
OIG
 
 
OPHS/PSC
 
 
AHRQ
 
 
CDC
 
 
FDA
$505,467.28
1.51%
HRSA
 
 
IHS
 
 
NIH
 
 
SAMHSA
 
 
HHS Total
 
 


 

XI.     FOIA REGULATIONS
 


 

XII.  BACKLOGS, CONSULTATIONS, AND COMPARISONS
A.  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
2, 575
0
HRSA
 
 
IHS
 
 
NIH
 
 
SAMHSA
 
 
HHS Total
 
 


 

B.  Consultations on FOIA Requests – Received, Processed, and Pending Consultations
 
 
Number of
Consultations Received from Other Agencies that Were Pending at HHS 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 HHS During the Fiscal Year
Number of
Consultations Received from Other Agencies that Were Pending at HHS as of End of the Fiscal Year
OS
 
 
 
 
ACF
 
 
 
 
AOA
 
 
 
 
CMS
 
 
 
 
OIG
 
 
 
 
OPHS/PSC
 
 
 
 
AHRQ
 
 
 
 
CDC
 
 
 
 
FDA
0
17
17
0
HRSA
 
 
 
 
IHS
 
 
 
 
NIH
 
 
 
 
SAMHSA
 
 
 
 
HHS Total
 
 
 
 


 

C.  Consultations on FOIA Requests – Ten Oldest Consultations Received from Other
Agencies and Pending at HHS
 
 
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
 
 
 
 
 
 
 
 
 
 


 

D.  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
9,301
9,598
10,602
10,492
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
3,469
2,575
HRSA
 
 
IHS
 
 
NIH
 
 
SAMHSA
 
 
HHS Total
 
 


 

E.  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