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U.S. Department of Health and Human Services

Regulatory Information

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Freedom of Information Annual Report 2013

 

FREEDOM OF INFORMATION ANNUAL REPORT — FY 2013
 
I.       BASIC INFORMATION REGARDING REPORT
 
1.    Name, title, address, and telephone number of person(s) to be contacted with questions about the Report.
 
Garfield Daley
Acting Director, Freedom of Information/Privacy Acts Division
Office of the Assistant Secretary for Public Affairs
United Sates Department of Health and Human Services
330 C Street, S.W., Room 2221
Washington D.C. 20201
(202) 690-7453
 
2.    ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB:
 
3.    ADDRESS FOR PAPER COPIES OF THIS REPORT
 
Contact Garfield Daley or Michael Bell at the address or telephone number listed above, or the link shown: http://www.hhs.gov/foia/contacts/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 for Community Living (ACL): http://www.acl.gov/Site_Utilities/FOIA/index.aspx
 
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 the Secretary for Health (OASH): http://www.psc.gov/foia/
 
Office of Public Health and Science (OPHS): http://www.psc.gov/foia/
 
Substance Abuse and Mental Health Services Administration (SAMHSA): http://www.samhsa.gov/foia/
 
II.       HOW TO MAKE A FOIA REQUEST
 
1.      HHS and OPDIV Freedom of Information Officers/FOIA Requester Service Centers
 
Department of Health and Human Services (HHS)
Freedom of Information Officer
Mary E. Switzer Building, Room 2206
330 C Street, S.W.
Washington, D.C. 20201
Phone: 202-690-7453
 
Administration for Children and Families (ACF)
Freedom of Information Officer
901 D Street, S.W.
7th Floor West
Aerospace Building
Washington, D.C. 20447
Phone: 202-401-9215
 
Administration for Community Living (ACL)
Freedom of Information Officer
Washington, D.C. 20201
Phone: 202-357-3540
 
Agency for Healthcare Research and Quality (AHRQ)
Freedom of Information Officer
540 Gaither Road
The Eisenberg Building, Room 3129
Rockville, Maryland 20850
Phone: 301-427-1866
 
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
 
Centers for Medicare & Medicaid Services (CMS)
Freedom of Information Officer
North Building, Room N2-20-06
7500 Security Boulevard
Baltimore, Maryland 21244
Phone: 410-786-5353
 
Food and Drug Administration (FDA)
Freedom of Information Officer
Parklawn Building, Room 6-30
5600 Fishers Lane
Rockville, Maryland 20857
Phone: 301-827-6567
 
Health Resources and Services Administration (HRSA)
Freedom of Information Officer
Parklawn Building, Room 14-15
5600 Fishers Lane
Rockville, Maryland 20857
Phone: 301-443-3376
 
Indian Health Service (IHS)
Freedom of Information Officer
12300 Twinbrook Parkway, Suite 450
Twinbrook II, Metro Plaza Building
Rockville, Maryland 20857
Phone: 301-443-1116
 
National Institutes of Health (NIH)
Freedom of Information Officer
Building 31, Room 5B35
31 Center Drive
Bethesda, Maryland 20892
Phone: 301-496-5633
 
Office of Inspector General (OIG)
Freedom of Information Officer
Cohen Building, Suite 1062
330 Independence Ave, S.W.
Washington, D.C. 20201
Phone: 202-619-2541
 
Office of Public Health and Science (OPHS)
Freedom of Information Officer
Room 17-66, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Phone: 301-443-5252
 
Office of the Secretary for Health (OASH)
Freedom of Information Officer
7700 Wisconsin Avenue, Suite 920
Bethesda, MD 20857
Phone: 301-492-4800
 
Substance Abuse and Mental Health Services Administration (SAMHSA)
Freedom of Information Officer
1 Choke Cherry Road, Room 8-1042
Rockville, Maryland 20857
Phone: 240-276-2137
 
2. Brief description of why some requests are not granted: Documents requested were protected by an exemption and release would have caused harm to the interest protected by the exemption. Information withheld may include home addresses and phone numbers, social security numbers, medical records, proprietary business records, investigatory records, that if released may interfere with open investigations, and drafts of documents.
 
3. HHS FOIA Regulations http://www.hhs.gov/foia/45cfr5.html
 
III.       III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS:
 
1.      Acronyms, Agency Component Abbreviations
 
Component Abbreviation
 
Component Name
OS
 
Office of the Secretary
 
ACF
 
Administration for Children and Families
 
ACL
 
Administration for Community Living
 
AHRQ
 
Agency for Healthcare Research and Quality
 
CDC
 
Centers for Disease Control and Prevention
 
CMS
 
Centers for Medicare and Medicaid Services
 
FDA
 
Food and Drug Administration
 
HRSA
 
Health Resources and Services Administration
 
IHS
 
Indian Health Service
 
NIH
 
National Institute of Health
 
OASH
 
Office of the Assistant Secretary for Health
 
OIG
 
Office of Inspector General
 
SAMHSA
 
Substance Abuse and Mental Health Services Administration
 
 
 
2.      Basic definitions of terms :
    1. Administrative Appeal – a request to a federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.
 
    1. 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.
 
    1. 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.
 
    1. 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.
 
    1. 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.
 
    1. 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.
 
    1. 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.)
 
    1. Full Grant - an agency decision to disclose all records in full in response to a FOIA request.
 
    1. 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.
 
    1. Median Number - Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
 
    1. 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.
 

i.      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.

ii.      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.

iii.      Complex Request – a FOIA request that an agency using multi-track processing places in a slower track based on the high volume and/or complexity of the records requested.

 
    1. Partial Grant/Partial Denial – in response to a FOIA request, an agency decision to disclose portions of the records and to withhold other portions that are exempt under the FOIA, or to otherwise deny a portion of the request for a procedural reason.
 
    1. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
 
    1. 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.
 
    1. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
 
    1. Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.
 
    1. 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).
 
  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
i.      could reasonably be expected to interfere with enforcement proceedings,
ii.      would deprive a person of a right to a fair trial or an impartial adjudication,
iii.      could reasonably be expected to constitute an unwarranted invasion of personal privacy,
iv.      could reasonably be expected to disclose the identity of a confidential source,
v.      would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or
vi.      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
Agency / Component
Number of Times
Relied upon
by Agency / Component
Total Number of
Times Relied upon
by Agency Overall
41 U.S.C. § 4702
Contractor proposals that are in the possession or control of an executive agency and that have not been set forth or incorporated by reference into contracts.
Sinkfield v. HUD, No. 10-885, 2012 U.S. Dist. LEXIS 35233, at *13-15 (S.D. Ohio Mar. 15, 2012); Margolin v. NASA, No. 09-CV-00421, 2011 WL 1303221, at *6 (D. Nev. Mar. 31 , 2011);Hornbostel v. U.S. Dep't of the Interior, 305 F. Supp. 2d 21, 30 (D.D.C. 2003), summary affirmance granted, No. 03-5257, 2004 WL 1900562 (D.C. Cir. Aug. 25, 2004).
FDA
5
40
 
 
CDC
11
 
 
CMS
14
 
 
OASH
10
5 U.S.C. app. § 107(a)
Financial Disclosure information pertaining to certain government employees
Meyeroff v. EPA, 958 F. 3d 1498, 1500-02 (9th Cir. 1992); Concepcion v. FBI, 606 F. Supp. 2d 14, 33 (D.D.C. 2009), renewed motion fir summary judgment granted in part on other grounds, 699 F. Supp. 2d 106 (D.D.C. 2010); Glascoe v. DOJ, No. 04-0486, 2005 WL 1139269, at *1 (D.D.C. May 15, 2005).
FDA
2
5
 
 
CDC
1
 
 
CMS
1
 
 
OASH
1
21 U.S.C. § 331(j)
Certain information "concerning any methods or process which as a trade secret is entitled to protection"
Anderson v. HHS., 907 F.2d 936, 950 (10th Cir. 1990)
FDA
55
55
 
 
21 U.S.C. § 350d(a)(4)
Food Registration Documents
N/A
FDA
6
6
 
 
42 U.S.C. § 242m(d)
Guaranteed confidentiality of establishment or person supplying the information or described in it is identfiable.
N/A
CDC
3
3
 
 
42 U.S.C. § 262a(h)
Enhanced control of dangerous biological agents and toxins/bio-terrorism information
N/A
CDC
6
15
 
 
NIH
1
 
 
OIG
5
 
 
OS
3
42 U.S.C. 247d-6b(d)
National Stockpile
N/A
CDC
1
1
 
 
5 U.S.C. § 574(j)
Confidential communications with agency Ombudsman (3rd party neutral)
N/A
NIH
1
1
 
 
22 U.S.C. § 288a(c)
Privileges, exemptions, and immunities of international organizations
N/A
NIH
1
1
 
 
 
 
35 U.S.C. § 202(c)(5)
Invention Utilization Reports
N/A
NIH
1
1
 
 
 
 
Inspector General Act of 1978
Complaints by employees; disclosure of identity, reprisals
N/A
OIG
3
3
 
 
 
 
18 U.S.C. § 3509(d)
Certain records containing identifying information pertaining to children involved in criminal proceedings
Tampico v. EOUSA, No. 04-2285, slip op.at 8 (D.D.C. Apr. 29, 2005)
OIG
1
1
 
 
 
 
Fed. R. Crim. P. 6(e), enacted by Act of July 30, 1977, Pub. L. No. 95-78, 91 Stat. 319
Certain records pertaining to grand jury proceedings
Sussmanv. USMS, 494 F. 3d 1106, 1113 (D.C. Cir 2007); Fund for Constititional Gov't v. Nat'l Archives & Records Serv., 656 F. 2d 856, 867-68 (D.C. Cir 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).
OIG
1
1
 
 
 
 
42 U.S.C. § 300aa-12(d)(4)(A)
Medical records presented to a special master or the court in National Vaccine Injury Compensation Program
Long v. DOJ, No. 06CV1086, 2011 WL 113925 @*10 (N.D.N.Y. Mar. 25, 2011)
HRSA
4
4
 
 
42 U.S.C. § 11137(b)
Adverse reports of helath practitioners conduct
N/A
HRSA
3
3
 
 
Public Law 107-347
Data that are required for exclusively statistical purposes under a pledge of confidentiality
N/A
SAMHSA
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
402
1,301
1,313
390
ACF
242
233
322
153
ACL
0
18
18
0
AHRQ
6
0
6
0
CDC
587
1,032
1,039
580
CMS
3,701
51,364
51,682
3,383
FDA
2,575
9,990
9,702
2,863
HRSA
91
302
312
81
IHS
6
124
102
28
NIH
96
1,210
1,236
70
OASH
208
440
505
143
OIG
18
714
726
6
SAMHSA
77
188
162
103
AGENCY OVERALL
8,009
66,916
67,125
7,800

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


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

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
172
224
23
56
656
18
1
12
48
65
6
32
1,313
ACF
65
102
1
26
17
70
2
2
9
14
8
6
322
ACL
16
2
0
0
0
0
0
0
0
0
0
0
18
AHRQ
0
0
0
0
6
0
0
0
0
0
0
0
6
CDC
230
280
30
183
66
42
11
8
15
15
13
146
1,039
CMS
30,976
852
5,314
7,985
2,458
644
366
211
542
81
529
1,724
51,682
FDA
7,426
186
194
616
24
791
59
7
58
1
145
195
9,702
HRSA
258
30
3
5
7
3
0
0
0
4
2
0
312
IHS
53
27
1
6
4
4
0
0
0
5
0
2
102
NIH
772
102
11
113
15
175
6
17
6
13
6
0
1,236
OASH
134
208
17
67
31
32
1
5
2
3
5
0
505
OIG
146
98
118
106
16
47
5
6
62
77
21
24
726
SAMHSA
70
80
2
5
3
1
0
0
0
0
1
0
162
AGENCY OVERALL
40,318
2,191
5,714
9,168
3,303
1,827
451
268
742
278
736
2,129
67,125



 
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
OS
Referred to website
4
32
Administrative Closure - Based on Response and Non Response to Continued Interest calls and Correspondence
24
In litigation
4
ACF
Administratively Closed - Based on response/non-response due to continued interest calls and correspondence
6
6
 
ACL
N/A
0
0
 
AHRQ
N/A
0
0
 
CDC
Administratively Closed - Based on response/non-response due to continued interest calls and correspondence
146
146
 
CMS
Administrative Closures - Based on response/non-response due to continued interest calls and correspondence
1,724
1,724
 
FDA
Available on the Internet
195
195
 
HRSA
N/A
0
0
 
IHS
N/A
0
2
Information on website
2
NIH
N/A
0
0
 
OASH
N/A
0
0
 
 
OIG
Administratively Closed - Based on response/non-response due to continued interest calls and correspondence
20
24
Records on website
4
SAMHSA
N/A
0
0
 
AGENCY OVERALL
 
2,129


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
3
78
111
173
22
0
78
1
0
3
0
0
ACF
0
0
0
25
16
89
0
0
0
0
0
0
0
0
ACL
0
0
0
1
1
3
1
0
0
0
0
0
0
0
AHRQ
0
0
0
0
0
0
0
0
0
0
0
0
0
0
CDC
0
3
22
103
58
230
1
0
2
0
2
1
0
0
CMS
0
2
15
65
26
5,954
6
3
716
73
25
1
0
0
FDA
0
1
57
184
31
45
156
0
17
7
2
2
0
0
HRSA
0
0
6
36
5
30
0
0
0
0
0
3
0
0
IHS
0
0
0
12
13
3
0
0
0
0
0
0
0
0
NIH
0
0
4
18
26
45
9
0
4
0
0
0
0
0
OASH
0
0
11
90
14
165
8
0
92
0
0
0
0
0
OIG
0
1
10
81
62
187
80
1
162
0
24
0
0
0
SAMHSA
0
0
1
65
3
75
0
0
1
0
0
0
0
0
AGENCY OVERALL
0
7
129
758
366
6,999
283
4
1,072
81
53
10
0
0


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

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
211
199
222
188
CMS
94
116
59
151
AGENCY OVERALL
305
315
281
339


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
51
17
6
148
222
CMS
16
2
21
20
59
AGENCY OVERALL
67
19
27
168
281


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
4
11
17
14
5
0
9
0
0
0
0
0
CMS
0
2
0
4
1
31
0
0
5
0
0
0
0
0
AGENCY OVERALL
0
2
4
15
18
45
5
0
14
0
0
0
0
0
 
 
VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS

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
17
8
41
1
0
0
1
3
3
1
29
CMS
9
0
19
0
0
0
3
2
2
0
0
AGENCY OVERALL
26
8
60
1
0
0
4
5
5
1
29
 
 
VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS

Agency / Component
Description of "Other" Reasons for Denial on Appeal from Chart C(2)
Number of Times "Other" Reason Was Relied Upon
TOTAL
OS
Administrative Closure - Based on Response and Non Response to Continued Interest calls and Correspondence
2
29
Appeal Moot
26
Appeal Untimely
1
CMS
N/A
0
0
 
AGENCY OVERALL
 
29
 

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
178.00
510.00
<1
1,670.00
CMS
105.00
189.00
6.00
750.00
AGENCY OVERALL
141.00
349.00
3.00
1,210.00


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

Agency / Component
 
10th Oldest Appeal
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Appeal
OS
Date of Appeal
10/09/08
09/15/08
09/10/08
09/09/08
09/09/08
06/24/08
06/11/08
06/11/08
02/20/08
02/08/08
Number of Days Pending
1297
1315
1318
1319
1319
1374
1383
1383
1463
1471
CMS
Date of Appeal
10/11/11
08/29/11
08/29/11
08/19/11
08/11/11
07/12/11
06/24/11
06/01/11
06/01/11
04/28/11
Number of Days Pending
495
524
524
530
536
558
569
586
586
609
AGENCY OVERALL
Date of Appeal
10/09/08
09/15/08
09/10/08
09/09/08
09/09/08
06/24/08
06/11/08
06/11/08
02/20/08
02/08/08
Number of Days Pending
1297
1315
1318
1319
1319
1374
1383
1383
1463
1471
 

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

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
N/A
N/A
N/A
N/A
1
71
<1
1453
1
46
1
303
ACF
488
536
1
1260
60
119
1
992
182
182
156
207
ACL
14
13
1
60
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
AHRQ
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
CDC
21
90.21
1
1041
52
150
1
1541
97
97
97
97
CMS
11
18
1
634
2
36
1
717
37
102
1
512
FDA
9
27.6
1
1220
78
168.8
1
1465
22
173.7
1
495
HRSA
N/A
N/A
N/A
N/A
64
76
1
252
N/A
N/A
N/A
N/A
IHS
10
15
1
30
44
61
15
107
N/A
N/A
N/A
N/A
NIH
12
15
1
93
43
70
1
742
N/A
N/A
N/A
N/A
OASH
6
8
1
20
108
220
21
886
30
30
30
30
OIG
2
4
1
20
9
23
1
277
N/A
N/A
N/A
N/A
SAMHSA
100
132
1
710
168
199
1
570
N/A
N/A
N/A
N/A
AGENCY OVERALL
10
29
N/A
1260
63
99
N/A
1541
30
98
N/A
512


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
N/A
N/A
N/A
N/A
46
122
1
1040
162
162
21
303
ACF
350
414
1
1244
92
131
1
992
182
182
156
207
ACL
18
26
17
60
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
AHRQ
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
CDC
31
87.8
1
1006
80
200.5
1
1541
N/A
N/A
N/A
N/A
CMS
15
17
1
616
113
136
1
717
36
88
1
360
FDA
9
27.5
1
1220
78.5
169.9
1
1465
22
173.7
1
495
HRSA
N/A
N/A
N/A
N/A
64
76
1
252
N/A
N/A
N/A
N/A
IHS
21
35
1
70
85
110
55
165
N/A
N/A
N/A
N/A
NIH
15
17
1
93
51
74
3
742
N/A
N/A
N/A
N/A
OASH
8
8
1
20
107
224
21
819
30
30
30
30
OIG
3
4
1
19
23
37
1
277
N/A
N/A
N/A
N/A
SAMHSA
91
123
1
710
150
183
1
570
N/A
N/A
N/A
N/A
AGENCY OVERALL
9
75
N/A
1244
64
133
N/A
1541
36
127
1
495


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

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
0
0
0
0
0
0
0
0
0
0
0
0
0
0
ACF
23
2
2
0
3
3
2
0
2
3
10
24
102
176
ACL
17
0
1
0
0
0
0
0
0
0
0
0
0
18
AHRQ
0
0
0
0
0
0
0
0
0
0
0
0
0
0
CDC
213
54
26
14
17
10
10
10
6
6
14
10
31
421
CMS
40,613
3,614
751
329
192
116
92
86
72
54
486
274
84
46,763
FDA
436
493
544
436
431
471
493
533
460
420
1,430
105
149
6,401
HRSA
0
0
0
0
0
0
0
0
0
0
0
0
0
0
IHS
15
21
19
3
0
0
0
0
0
0
0
0
0
58
NIH
796
198
38
8
6
0
0
0
0
0
0
0
0
1,046
OASH
206
0
0
0
0
0
0
0
0
0
0
0
0
206
OIG
453
0
0
0
0
0
0
0
0
0
0
0
0
453
SAMHSA
23
5
7
0
3
2
4
4
4
6
5
5
5
73
AGENCY OVERALL
42,795
4,387
1,388
790
652
602
601
633
544
489
1,945
418
371
55,615


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
918
77
51
33
17
21
16
11
9
12
41
25
73
1,304
ACF
37
20
15
6
3
6
4
10
7
5
20
5
6
144
ACL
0
0
0
0
0
0
0
0
0
0
0
0
0
0
AHRQ
0
0
0
0
0
0
0
0
0
0
0
0
0
0
CDC
199
71
62
50
26
13
19
11
10
11
43
26
76
617
CMS
3,899
162
82
65
54
65
70
46
55
65
195
111
37
4,906
FDA
32
74
124
137
167
173
154
180
166
115
692
347
840
3,201
HRSA
77
34
36
32
22
22
32
13
17
10
6
1
0
302
IHS
7
6
4
3
4
2
5
4
5
0
0
0
0
40
NIH
49
44
24
24
18
7
3
3
5
3
4
3
3
190
OASH
0
59
36
27
20
12
11
5
7
8
28
22
63
298
OIG
180
52
14
8
6
4
4
1
1
1
2
0
0
273
SAMHSA
8
3
6
4
3
9
3
8
3
3
19
12
8
89
AGENCY OVERALL
5,406
602
454
389
340
334
321
292
285
233
1,050
552
1,106
11,364


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

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
6
1
0
0
1
0
0
0
0
0
0
1
0
9
ACF
0
0
0
0
0
0
0
1
0
0
1
0
0
2
ACL
0
0
0
0
0
0
0
0
0
0
0
0
0
0
AHRQ
0
0
0
0
0
0
0
0
0
0
0
0
0
0
CDC
0
0
0
0
1
0
0
0
0
0
0
0
0
1
CMS
1
5
1
1
0
0
2
0
1
0
0
2
0
13
FDA
1
0
0
0
0
0
0
0
0
0
0
0
0
1
HRSA
0
0
0
0
0
0
0
0
0
0
0
0
0
0
IHS
0
0
0
0
0
0
0
0
0
0
0
0
0
0
NIH
0
0
0
0
0
0
0
0
0
0
0
0
0
0
OASH
0
1
0
0
0
0
0
0
0
0
0
0
0
1
OIG
0
0
0
0
0
0
0
0
0
0
0
0
0
0
SAMHSA
0
0
0
0
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
8
7
1
1
2
0
2
1
1
0
1
3
0
27


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
0
0
0
463
1
371
12
1
295
ACF
38
488
330
112
60
157
1
30
30
ACL
0
0
0
0
0
0
0
0
0
AHRQ
0
0
0
0
0
0
0
0
0
CDC
23
158
211
555
168
233
0
0
0
CMS
3598
14
78
54
146
168
0
0
0
FDA
629
32
78.7
2182
136
192.1
1
478.5
478.5
HRSA
0
0
0
81
80
130
0
0
0
IHS
0
0
0
22
31
87
0
0
0
NIH
45
11
14
25
31
72
0
0
0
OASH
29
6
190
208
108
242
6
30
176
OIG
0
0
0
6
7
16
0
0
0
SAMHSA
25
100
155
76
168
129
0
0
0
AGENCY OVERALL
4387
15
81
3784
138
163
20
28
244


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

Agency / Component
 
10th Oldest Request
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Request
OS
Date of Receipt
02/25/10
01/12/10
01/12/10
01/11/10
01/08/10
01/04/10
10/22/09
10/16/09
10/05/09
03/04/08
Number of Days Pending
937
969
969
970
971
975
1027
1031
1040
1454
ACF
Date of Receipt
09/18/08
09/18/08
09/18/08
08/28/08
08/12/08
06/12/08
06/12/08
05/09/08
05/02/08
02/27/08
Number of Days Pending
490
490
490
509
520
548
570
642
794
808
ACL
Date of Receipt
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days Pending
0
0
0
0
0
0
0
0
0
0
AHRQ
Date of Receipt
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days Pending
0
0
0
0
0
0
0
0
0
0
CDC
Date of Receipt
03/16/10
03/15/10
03/15/10
01/27/10
01/13/10
10/30/09
10/02/09
06/26/09
09/23/08
07/25/08
Number of Days Pending
891
892
892
924
933
982
1001
1069
1259
1300
CMS
Date of Receipt
04/13/11
03/30/11
03/08/11
03/03/11
03/03/11
03/03/11
02/09/11
02/08/11
01/19/11
01/18/11
Number of Days Pending
649
664
664
665
665
674
674
678
678
679
FDA
Date of Receipt
07/21/09
07/01/09
06/30/09
06/19/09
06/09/09
05/08/09
02/20/09
06/26/08
05/28/08
05/09/08
Number of Days Pending
1048
1067
1068
1075
1083
1104
1159
1321
1342
1354
HRSA
Date of Receipt
09/28/12
09/28/12
03/19/12
02/28/12
02/28/12
02/24/12
12/27/11
11/10/11
10/12/11
01/24/11
Number of Days Pending
252
252
388
402
402
404
444
473
495
677
IHS
Date of Receipt
07/29/13
07/11/13
07/05/13
07/05/13
06/26/13
06/12/13
04/23/13
04/16/13
04/16/13
03/05/13
Number of Days Pending
45
57
61
61
68
78
114
119
119
149
NIH
Date of Receipt
07/17/13
06/13/13
06/10/13
06/10/13
06/10/13
06/06/13
04/30/13
04/18/13
12/31/12
03/22/11
Number of Days Pending
53
76
79
79
79
81
99
115
190
636
OASH
Date of Receipt
05/19/11
05/11/11
04/28/11
04/27/11
03/15/11
03/09/11
03/04/11
01/03/11
11/03/10
08/20/10
Number of Days Pending
617
623
632
633
664
668
671
715
758
811
OIG
Date of Receipt
N/A
N/A
N/A
N/A
09/26/13
09/23/13
09/19/13
09/13/13
08/28/13
07/15/13
Number of Days Pending
0
0
0
0
2
5
7
8
23
55
SAMHSA
Date of Receipt
07/23/12
07/17/12
07/05/12
07/03/12
06/25/12
06/12/12
06/07/12
03/15/12
02/27/12
10/25/11
Number of Days Pending
310
314
322
324
330
339
342
402
415
504
AGENCY OVERALL
Date of Receipt
06/19/09
06/09/09
05/08/09
02/20/09
09/23/08
07/25/08
06/26/08
05/28/08
05/09/08
03/04/08
Number of Days Pending
1075
1083
1104
1159
1259
1300
1321
1342
1354
1454


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
3
2
4
5
4
ACF
0
1
1
1
1
ACL
0
0
N/A
N/A
N/A
AHRQ
0
0
N/A
N/A
N/A
CDC
1
9
1.5
2.9
10
CMS
50
29
6
12
54
FDA
1
347
12
12.9
97
HRSA
0
6
10
10
6
IHS
0
0
N/A
N/A
N/A
NIH
0
3
4
4
3
OASH
0
2
3
3
2
OIG
0
20
4
4
20
SAMHSA
0
0
N/A
N/A
N/A
AGENCY OVERALL
55
419
9
12
197


VIII.B. Requests for Fee Waiver

Agency / Component
Number Granted
Number Denied
Median Number of Days to Adjudicate
Average Number of Days to Adjudicate
OS
1
1
N/A
N/A
ACF
0
2
8
8
ACL
0
0
N/A
N/A
AHRQ
0
0
N/A
N/A
CDC
1
0
64
64
CMS
80
13
4
8
FDA
392
5
10
20.6
HRSA
2
4
12
12
IHS
0
0
N/A
N/A
NIH
0
6
3
4.67
OASH
0
0
N/A
N/A
OIG
0
10
2
3
SAMHSA
0
0
N/A
N/A
AGENCY OVERALL
476
41
9
19



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
11
0
11
$1,071,012.00
$192,053.00
$1,263,065.00
ACF
3
0
3
$368,000.00
$0.00
$368,000.00
ACL
0
0.1
0.1
$14,160.00
$0.00
$14,160.00
AHRQ
0
0
0
$0.00
$0.00
$0.00
CDC
12
0
12
$1,557,513.49
$1,700.00
$1,559,213.49
CMS
21
62
83
$7,015,272.00
$57,470.00
$7,072,742.00
FDA
82
52.15
134.15
$33,570,981.00
$1,462,953.00
$35,033,934.00
HRSA
3
1.5
4.5
$497,411.00
$0.00
$497,411.00
IHS
2
1
3
$369,945.00
$0.00
$369,945.00
NIH
17
14.31
31.31
$3,336,857.90
$26,340.00
$3,363,197.90
OASH
6
1
7
$1,161,075.00
$332,450.00
$1,493,525.00
OIG
3
2
5
$286,000.00
$5,000.00
$291,000.00
SAMHSA
2
3
5
$253,000.00
$0.00
$253,000.00
AGENCY OVERALL
162
137.06
299.06
$49,501,227.39
$2,077,966.00
$51,579,193.39

 

X. Fees Collected for Processing Requests


Agency / Component
Total Amount of Fees Collected
Percentage of Total Costs
OS
$239.00
0.02%
ACF
$0.00
0.00%
ACL
$0.00
0.00%
AHRQ
$0.00
0.00%
CDC
$52,111.15
3.35%
CMS
$326,643.00
4.66%
FDA
$577,039.00
1.72%
HRSA
$1,922.50
0.39%
IHS
$0.00
0.00%
NIH
$21,935.44
0.66%
OASH
$1,748.00
0.15%
OIG
$13,617.00
4.76%
SAMHSA
$0.00
0.00%
AGENCY OVERALL
$995,255.09
2.01%


 

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
364
177
ACF
141
0
ACL
0
0
AHRQ
0
0
CDC
494
0
CMS
1,426
145
FDA
2,334
0
HRSA
62
0
IHS
22
0
NIH
26
0
OASH
128
0
OIG
2
0
SAMHSA
91
0
AGENCY OVERALL
5,090
322


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
0
3
3
0
ACF
0
0
0
0
ACL
0
0
0
0
AHRQ
0
0
0
0
CDC
0
0
0
0
CMS
0
0
0
0
FDA
0
27
27
0
HRSA
0
0
0
0
IHS
0
0
0
0
NIH
0
7
7
0
OASH
0
3
3
0
OIG
0
3
3
0
SAMHSA
0
0
0
0
AGENCY OVERALL
0
43
43
0


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

Agency / Component
 
10th Oldest Consultation
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Consultation
OS
Date
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days
0
0
0
0
0
0
0
0
0
0
ACF
Date
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
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
AHRQ
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
N/A
N/A
Number of Days
0
0
0
0
0
0
0
0
0
0
HRSA
Date
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
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
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



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
1,129
1,301
1,099
1,313
ACF
285
233
225
322
ACL
18
18
18
18
AHRQ
57
0
57
6
CDC
1,123
1,032
899
1,039
CMS
53,424
51,364
53,744
51,682
FDA
9,598
9,990
10,492
9,702
HRSA
277
302
219
312
IHS
107
124
132
102
NIH
1,147
1,210
1,130
1,236
OASH
465
440
462
505
OIG
664
714
656
726
SAMHSA
173
188
123
162
AGENCY OVERALL
68,467
66,916
69,256
67,125


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

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
365
364
ACF
220
141
ACL
0
0
AHRQ
0
0
CDC
501
494
CMS
1,706
1,426
FDA
2,575
2,334
HRSA
58
62
IHS
6
22
NIH
33
26
OASH
194
128
OIG
9
2
SAMHSA
73
91
AGENCY OVERALL
5,740
5,090


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
200
199
192
222
CMS
111
116
53
59
AGENCY OVERALL
311
315
245
281


 

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

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
187
177
CMS
87
145
AGENCY OVERALL
274
322