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HHS Fiscal Year 2005 Freedom of Information Annual Report

AGENCY: U.S. Department of Health and Human Services
REPORT PREPARED BY: Robert Eckert
TITLE: Director, Freedom of Information/Privacy Acts Division, Office of the Assistant Secretary for Public Affairs, HHS.
ADDRESS: Room 645-F, 200 Independence Avenue, S.W., Washington, D.C. 20201
PHONE NUMBER: (202) 690-7453
ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB: http://www.hhs.gov/foia/reports/05anlrpt.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/
Agency for Healthcare Research and Quality (AHRQ): http://www.ahrq.gov
Centers for Disease Control and Prevention (CDC): http://www.cdc.gov
Centers for Medicare & Medicaid Services (CMS): http://www.cms.gov
Food and Drug Administration (FDA): http://www.fda.gov
Health Resources and Services Administration (HRSA): http://www.hrsa.gov/
Indian Health Service (IHS): http://www.ihs.gov
National Institute of Health (NIH): http://www.nih.gov/
Office of Public Health and Science (OPHS): www.psc.gov/aos/foia/

ADDRESS FOR PAPER COPIES OF THIS REPORT:
Freedom of Information/Privacy Acts Division
U.S. Department of Health and Human Services
Hubert H. Humphrey Building/Room 645-F
200 Independence Avenue, S.W.
Washington, DC 20201
HOW TO MAKE A FOIA REQUEST: Please see HHS Guide to Information
Resources at www.hhs.gov/about/infoguid.html#foia
A. Names, addresses, and telephone numbers of all individual agency components and offices that process FOIA requests:
HHS Freedom of Information Officer
Room 645-F, Hubert H. Humphrey Building
200 Independence Avenue, S.W.
Washington, D.C. 20201
Telephone: (202) 690-7453
Administration for Children and Families (ACF)
Freedom of Information Officer
901 D Street, S.W.
Washington, D.C. 20447
Telephone: (202) 401-5967
Administration on Aging (AOA)
Freedom of Information Officer
Executive Secretariat
Washington D.C. 20201
Telephone: (202) 357-3540
Agency for Healthcare Research and Quality (AHRQ)
Freedom of Information Officer
540 Gaither Road, Room 2222
Rockville, MD 20850
Telephone: (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 Rd, N.E., MSD 54
Atlanta, Georgia 30333
Telephone: (404) 639-7270
Centers for Medicare & Medicaid Services (CMS)
Freedom of Information Officer
7500 Security Boulevard
Room N2-20-16, North Building
Baltimore, Maryland 21244
Telephone (410) 786-5352
Food and Drug Administration (FDA)
Freedom of Information Officer
5600 Fishers Lane (HFI-35), Room 6-30
Rockville MD 20857
Telephone: (301) 827-6500
Health Resources and Services Administration (HRSA)
Freedom of Information Officer
Office of Communications, Room 14-23
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-2865
Indian Health Service (IHS)
Freedom of Information Officer
Suite 450
12300 Twinbrook Parkway,
Rockville, MD 20852
Telephone: (301) 443-1116
National Institutes of Health (NIH)
Freedom of Information Officer
Room 5B35, Building 31
9000 Rockville Pike
Bethesda, MD 20892
Telephone: (301) 496-5633
Office of Public Health and Science (OPHS)
Freedom of Information Officer, Room 17A-46
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-5252
Substance Abuse and Mental Health Services Administration (SAMHSA)
Freedom of Information Officer
Room 8-1042
1 Choke Cherry Road
Rockville, MD 20857
Telephone: (240) 276-2130
B. . Brief description of agency=s response time range(s): There is no overall time range because individual operating divisions (OPDIVS) have authority to release or deny their own records, and vary greatly in terms of the size and volume of FOIA requests processed. Individual OPDIV response times can range from same day response to over a year, depending on the complexity of the request.
C. 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.
DEFINITIONS OF TERMS AND ACRONYMS USED IN REPORT:
A. 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 Services
NIH - National Institutes of Health
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
B. Basic terms (from FOIA UPDATE, Summer 1997):
FOIA/PA request - Freedom of Information/Privacy Act request. A FOIA request is generally a request for access to records concerning a third party, an organization, or a particular topic of interest. A Privacy Act request is a request for records concerning oneself. Such requests are also treated as FOIA requests. (All requests for access to records, regardless of which law is cited by the requester, are included in this report).
Initial Request - A request to a federal agency for access to records under the Freedom of Information Act.
Appeal - A request to a federal agency asking that it review at a higher administrative level a full denial or partial denial of access to records under the Freedom of Information Act, or any other FOIA determination such as a matter pertaining to fees.
Processed Request or Appeal - A request or appeal for which an agency has taken final action on the request or appeal in all respects.
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 in each track are processed on a first-in/first-out basis. A requester who has an urgent need for records may request expedited processing (see below).
Expedited processing - An agency will process a FOIA request on an expedited basis when a requester has shown an exceptional need or urgency for the records which warrants prioritization of his or her request over other requests that were made earlier.
Simple request - A FOIA request that an agency using multi-track processing places in its fastest (non-expedited) track based on the volume and/or simplicity of the records requested.
Complex request - A FOIA request, which an agency using multi-track processing places in a slower track, based on the volume and/or complexity of records requested.
Grant - An agency decision to disclose all records in full response to a FOIA request.
Partial grant - An agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.
Partial grant - An agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.
Time Limits - The time period in the Freedom of Information Act for an agency to respond to a FOIA request (ordinarily 20 working days from proper receipt of a perfected FOIA request).
Perfected request - A FOIA request for records which adequately describes the records sought, which has been received by the FOIA office of the agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees.
Exemption 3 statute - A separate federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).
Median number - The middle number, not the average. For example, of 3, 7, and 14, the median number is 7.
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 eight.
EXEMPTION 3 STATUTES
A. List of Exemption 3 statutes relied on by the agency during report year: (See chart)
1. Brief description of type(s) of information withheld under each statute: (See chart)
2. Has a court upheld the use of each statute? If so, cite example: (See chart)

INITIAL FOIA/PA ACCESS REQUESTS (Include all requests, 3rd or 1st party): (See chart below)

Numbers of initial requests (line 1 + line 2 - line 3 = line 4):
1. Number of requests pending at close of preceding fiscal year: 23,545
2. Number of requests received during reporting fiscal year: 222,372
3. Number of requests processed during reporting fiscal year: 221,402 (Includes 111 requests closed retroactively by NIH for FY 2004, for which disposition information is not available)
4. Number of requests pending at close of reporting fiscal year: 24,515 (This number should match Line VII.B.1.)
Disposition of Initial Requests: (See chart)
1. Number granted in full: 203,367
2. Number granted in part: 1,051
3. Number of full denials: 2,330
1. Number of times each FOIA exemption was used: (See chart)
Exemption 1: 0,000
Exemption 2: 53
Exemption 3: 49
Exemption 4: 570
Exemption 5: 215
Exemption 6: 2,846
Exemption 7

    Exemption 7(A): 74
    Exemption 7(B): 0
    Exemption 7 (C): 21
    Exemption 7 (D): 3
    Exemption 7 (E): 1
    Exemption 7 (F): 0

Exemption 8: 0000
Exemption 9: 0000

4. Other reasons for non-disclosure (total): 14,535 (See chart)

No records: 4,706
Referrals: 1.602
Request withdrawn: 2,859
Fee-related reason: 1,114
Records not reasonably described: 2,428
Not a proper FOIA request for some other reason:966
Not an agency record: 30
Duplicate request: 296
Other (specify): 1,074 (administrative closures--primarily when requester did not respond to queries as to continued interest; and, when materials are more readily available from other sources, e.g. internet, libraries, etc.)

VI. APPEALS OF INITIAL DENIALS OF FOIA/PA REQUESTS (include all access requests whether first or third party, See chart):

A. Numbers of Appeals:

1. Number of appeals received during the fiscal year: 233
2. Number of appeals processed during the fiscal year: 164

B. Disposition of Appeals:

     1. Number completely upheld: 40
     2. Number partially reversed: 17
     3. Number completely reversed: 35
         a. Number of times each FOIA exemption used (counting each exemption used once per appeal)

        Exemption 1: 0
        Exemption 2: 4
        Exemption 3: 2
        Exemption 4: 18
        Exemption 5: 20
        Exemption 6: 25
        Exemption 7

          Exemption 7(A): 1
          Exemption 7(B): 0
          Exemption 7(C): 2
          Exemption 7(D): 1
          Exemption 7(E): 0
          Exemption 7(F): 0

        Exemption 8: 0
        Exemption 9: 0
HHS Fiscal Year 2005
Freedom of Information Annual Report
AGENCY: U.S. Department of Health and Human Services
REPORT PREPARED BY: Robert Eckert
TITLE: Director, Freedom of Information/Privacy Acts Division, Office of the Assistant Secretary for Public Affairs, HHS.
ADDRESS: Room 645-F, 200 Independence Avenue, S.W., Washington, D.C. 20201
PHONE NUMBER: (202) 690-7453
ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB: http://www.hhs.gov/foia/05anlrpt.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/
Agency for Healthcare Research and Quality (AHRQ): http://www.ahrq.gov
Centers for Disease Control and Prevention (CDC): http://www.cdc.gov
Centers for Medicare & Medicaid Services (CMS): http://www.cms.gov
Food and Drug Administration (FDA): http://www.fda.gov
Health Resources and Services Administration (HRSA): http://www.hrsa.gov/
Indian Health Service (IHS): http://www.ihs.gov
National Institute of Health (NIH): http://www.nih.gov/
Office of Public Health and Science (OPHS): www.psc.gov/aos/foia/

ADDRESS FOR PAPER COPIES OF THIS REPORT:
Freedom of Information/Privacy Acts Division
U.S. Department of Health and Human Services
Hubert H. Humphrey Building/Room 645-F
200 Independence Avenue, S.W.
Washington, DC 20201
HOW TO MAKE A FOIA REQUEST: Please see HHS Guide to Information
Resources at www.hhs.gov/about/infoguid.html#foia
A. Names, addresses, and telephone numbers of all individual agency components and offices that process FOIA requests:
HHS Freedom of Information Officer
Room 645-F, Hubert H. Humphrey Building
200 Independence Avenue, S.W.
Washington, D.C. 20201
Telephone: (202) 690-7453
Administration for Children and Families (ACF)
Freedom of Information Officer
901 D Street, S.W.
Washington, D.C. 20447
Telephone: (202) 401-5967
Administration on Aging (AOA)
Freedom of Information Officer
Executive Secretariat
Washington D.C. 20201
Telephone: (202) 357-3540
Agency for Healthcare Research and Quality (AHRQ)
Freedom of Information Officer
540 Gaither Road, Room 2222
Rockville, MD 20850
Telephone: (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 Rd, N.E., MSD 54
Atlanta, Georgia 30333
Telephone: (404) 639-7270
Centers for Medicare & Medicaid Services (CMS)
Freedom of Information Officer
7500 Security Boulevard
Room N2-20-16, North Building
Baltimore, Maryland 21244
Telephone (410) 786-5352
Food and Drug Administration (FDA)
Freedom of Information Officer
5600 Fishers Lane (HFI-35), Room 6-30
Rockville MD 20857
Telephone: (301) 827-6500
Health Resources and Services Administration (HRSA)
Freedom of Information Officer
Office of Communications, Room 14-23
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-2865
Indian Health Service (IHS)
Freedom of Information Officer
Suite 450
12300 Twinbrook Parkway,
Rockville, MD 20852
Telephone: (301) 443-1116
National Institutes of Health (NIH)
Freedom of Information Officer
Room 5B35, Building 31
9000 Rockville Pike
Bethesda, MD 20892
Telephone: (301) 496-5633
Office of Public Health and Science (OPHS)
Freedom of Information Officer, Room 17A-46
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-5252
Substance Abuse and Mental Health Services Administration (SAMHSA)
Freedom of Information Officer
Room 8-1042
1 Choke Cherry Road
Rockville, MD 20857
Telephone: (240) 276-2130
B. . Brief description of agency=s response time range(s): There is no overall time range because individual operating divisions (OPDIVS) have authority to release or deny their own records, and vary greatly in terms of the size and volume of FOIA requests processed. Individual OPDIV response times can range from same day response to over a year, depending on the complexity of the request.
C. 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.
DEFINITIONS OF TERMS AND ACRONYMS USED IN REPORT:
A. 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 Services
NIH - National Institutes of Health
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
B. Basic terms (from FOIA UPDATE, Summer 1997):
FOIA/PA request - Freedom of Information/Privacy Act request. A FOIA request is generally a request for access to records concerning a third party, an organization, or a particular topic of interest. A Privacy Act request is a request for records concerning oneself. Such requests are also treated as FOIA requests. (All requests for access to records, regardless of which law is cited by the requester, are included in this report).
Initial Request - A request to a federal agency for access to records under the Freedom of Information Act.
Appeal - A request to a federal agency asking that it review at a higher administrative level a full denial or partial denial of access to records under the Freedom of Information Act, or any other FOIA determination such as a matter pertaining to fees.
Processed Request or Appeal - A request or appeal for which an agency has taken final action on the request or appeal in all respects.
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 in each track are processed on a first-in/first-out basis. A requester who has an urgent need for records may request expedited processing (see below).
Expedited processing - An agency will process a FOIA request on an expedited basis when a requester has shown an exceptional need or urgency for the records which warrants prioritization of his or her request over other requests that were made earlier.
Simple request - A FOIA request that an agency using multi-track processing places in its fastest (non-expedited) track based on the volume and/or simplicity of the records requested.
Complex request - A FOIA request, which an agency using multi-track processing places in a slower track, based on the volume and/or complexity of records requested.
Grant - An agency decision to disclose all records in full response to a FOIA request.
Partial grant - An agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.
Partial grant - An agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.
Time Limits - The time period in the Freedom of Information Act for an agency to respond to a FOIA request (ordinarily 20 working days from proper receipt of a perfected FOIA request).
Perfected request - A FOIA request for records which adequately describes the records sought, which has been received by the FOIA office of the agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees.
Exemption 3 statute - A separate federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).
Median number - The middle number, not the average. For example, of 3, 7, and 14, the median number is 7.
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 eight.
EXEMPTION 3 STATUTES
A. List of Exemption 3 statutes relied on by the agency during report year: (See chart)
Brief description of type(s) of information withheld under each statute: (See chart)
Has a court upheld the use of each statute? If so, cite example: (See chart)

INITIAL FOIA/PA ACCESS REQUESTS (Include all requests, 3rd or 1st party): (See chart below)

Numbers of initial requests (line 1 + line 2 - line 3 = line 4):

Number of requests pending at close of preceding fiscal year: 23,545
Number of requests received during reporting fiscal year: 222,372
Number of requests processed during reporting fiscal year: 221,402 (Includes 111 requests closed retroactively by NIH for FY 2004, for which disposition information is not available)
Number of requests pending at close of reporting fiscal year: 24,515 (This number should match Line VII.B.1.)

Disposition of Initial Requests: (See chart)

Number granted in full: 203,367
Number granted in part: 1,051
Number of full denials: 2,330
Number of times each FOIA exemption was used: (See chart)
Exemption 1: 0,000
Exemption 2: 53
Exemption 3: 49
Exemption 4: 570
Exemption 5: 215
Exemption 6: 2,846
Exemption 7

    Exemption 7(A): 74
    Exemption 7(B): 0
    Exemption 7 (C): 21
    Exemption 7 (D): 3
    Exemption 7 (E): 1
    Exemption 7 (F): 0

Exemption 8: 0000
Exemption 9: 0000
4. Other reasons for non-disclosure (total): 14,535 (See chart)

No records: 4,706
Referrals: 1.602
Request withdrawn: 2,859
Fee-related reason: 1,114
Records not reasonably described: 2,428
Not a proper FOIA request for some other reason:966
Not an agency record: 30
Duplicate request: 296
Other (specify): 1,074 (administrative closures--primarily when requester did not respond to queries as to continued interest; and, when materials are more readily available from other sources, e.g. internet, libraries, etc.)

VI. APPEALS OF INITIAL DENIALS OF FOIA/PA REQUESTS (include all access requests whether first or third party, See chart):
  A. Numbers of Appeals:
    1. Number of appeals received during the fiscal year: 233
    2. Number of appeals processed during the fiscal year: 164
  B. Disposition of Appeals:
     1. Number completely upheld: 40
     2. Number partially reversed: 17
     3. Number completely reversed: 35
         a. Number of times each FOIA exemption used (counting each exemption used once per appeal)
        Exemption 1: 0
        Exemption 2: 4
        Exemption 3: 2
        Exemption 4: 18
        Exemption 5: 20
        Exemption 6: 25
        Exemption 7
          Exemption 7(A): 1
          Exemption 7(B): 0
          Exemption 7(C): 2
          Exemption 7(D): 1
          Exemption 7(E): 0
          Exemption 7(F): 0
        Exemption 8: 0
        Exemption 9: 0

      4. Other reasons for non-disclosure (total): 72 (See chart)
        a. No records: 19
        b. Referrals:2
        c. Request withdrawn: 22
        d. Fee-related reason : 7
        e. Records not reasonably described: 0
        f. Not a proper FOIA request for some other reason: 0
        g. Not an agency record: 0
        h. Duplicate request: 0
        i. Other (specify): 22 (administrative closures, material more readily available from other sources, e.g., internet, )libraries, etc.
VII. COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS: (See chart)
A. Median Processing Time for Requests Processed During the Year: (Some OPDIVs do not use multiple tracks-see attached)
1. Simple Requests (if multiple tracks used):
a. number of requests processed: 49,301 (See chart)
b. median number of days to process: (See chart)
2. Complex Requests (includes total of complex requests and single-track systems):
a. number of requests processed: 172,044 (See chart)
b. median number of days to process: (See chart)
3. Requests Accorded Expedited Processing:
a. number of requests processed: 57
b. median number of days to process: (See chart)
B. Status of Pending Requests (if multiple tracks are being used, report for each track as well as totals). (See chart)
1. Number of requests pending as of the end of the fiscal year covered in this report (from Line V.A.4): 24,515
2. Median number of days that such requests were pending as of that date: Medians vary greatly from OPDIV to OPDIV. (See chart)
VIII. COMPARISONS WITH PREVIOUS YEAR(S): (Optional):
A. Comparison of numbers of requests received: Decreased by 01.2%, from 225,006 to 222,372.
B. Comparison of numbers of requests processed: Decreased by 00.5%, from 222,408 to 221,402
C. Comparison of median numbers of days requests were pending as of end of fiscal year: See chart for Section VII
D. Other statistics significant to components: The HHS received 191 requests for expedited processing, of which 57 were granted.

The HHS is highly diversified; a number of OPDIVs experienced an increase in the number of FOIA requests received, while the IHS experienced a decline of 6,845 requests due primarily to a decrease in the number of medical records requests. The overall number of HHS FOIA requests that were processed decreased slightly.

The ACF, which previously had been serviced by the Office of the Secretary (OS) FOIA/PA office, established its own FOIA office in April 2005 to coordinate and respond directly to FOIA requesters. Each HHS OPDIV now has its own operating FOIA office to respond to most FOIA requesters directly.
E. Other narrative statements describing agency efforts to improve timeliness of FOIA performance and to make records available to the public (e.g., backlog-reduction activities; public availability of new categories of records): None.
IX. COSTS/FOIA STAFFING: (See chart)
A. Staffing levels:
1. Number of full-time FOIA personnel: 181
2. Number of personnel with part-time or occasional FOIA duties (in total work-years): 65.58
3. Total number of personnel (in work years): 246.58
B. Total costs (including staff and all resources):
1. FOIA processing (including appeals): $18,137,650
2. Litigation-related activities (estimated): $739,929
3. Total costs: $18,877,579
4. Comparison with previous year(s) (including percentage of change) (optional):
X. FEES: (See chart below)
A. Total amount of fees collected by agency for processing requests: $721,779
B. Percentage of total costs: 4%
XI. FOIA REGULATIONS (including fee schedule):
The FOIA regulation implementing the 1996 amendments to the Freedom of Information Act has been published as a Notice of Proposed Rule Making and public comments have been received. The passage of PL 105-277 requiring OMB to revise circular A-110 will require further revisions to the HHS FOIA regulation and public comments on those new sections. That effort is currently underway. Until such time as the revised regulation is published as a new final rule, the current HHS FOIA regulation can be found at 45 CFR Part 5, and at: www.hhs.gov/foia/45cfr5.html.

IV. Exemption 3 Statutes
Statute/Rule
Type of Information Withheld
Case Citation
5 U.S.C. 107(a)(2) Appendix 4
Confidential financial disclosure reports
Meyerhoff v. EPA, 958 F.2^nd (9^th Cir 1992)
35 U.S.C. 122
Information in a pending patent application
Irons and Sears v. Dann, 606 F.2d 1215 (D.C. Cir. 1979; Leeds v. Quigg, 720 F. Supp. 193 (D.C.C. 1989)
41 U.S.C. 253b (m)
Contractor proposals not incorporated into agency contracts
Hornbostel v. United States Dep’t of the Interior, 305 F. Suppp. 2d 21 (D.D.C. 2003)
42 U.S.C. 242m(d) 308(d)
National Death Index, information regarding fatalities
No
42 U.S.C. 300hh-12 (c), Section 121(c)
Bioterrorism-related information
No
42 U.S.C. 11137(b)
Adverse reports of a physician’s conduct or practice
No

V. Initial FOI/PA Access Requests

V.A. Numbers of Initial Requests
(1)
Number of Requests Pending as of End of Preceding Year
Number of Requests Received in Current Year
Number of Requests Processed in Current Year
Number of Requests Pending as of End of Current Year
OS (2)
523
1,163
935
751
ACF (2)
0
158
141
17
AOA
0
31
22
9
CMS
4,084
35,198
34,347
4,935
    OASPH
287
616
790
113
    AHRQ
11
89
94
6
    CDC
196
1,161
1,136
221
    FDA
16,671
19,233
18,535
17,369
    HRSA
46
375
386
35
    IHS
41
151,429
151,428
42
    NIH
1,632
12,718
13,382 (3)
968
    SAMHSA
54
201
206
49
    PHS Total
18,938
185,822
185,957
18,803
HHS Total
23,545
222,372
221,402 (3)
24,515
(1) Includes Privacy Act records requests
(2) The ACF, heretofore served by OS as its FOIA office, opened and initiated processing of FOIA requests in April 2005 for ACF records
(3) Includes 111 “pending” requests closed retroactively for FY 2004, for which disposition figures are unavailable.

V.B. Disposition of Initial Requests

Number of Total Grants
Number of Partial Grants
Number of Full Denials
Total of Other Reasons for Nondisclosure
OS
250
303
28
354
ACF
31
80
0
30
AOA
4
7
1
10
CMS
23,322
94
2,160
8,771
    OASPH
496
43
36
215
    AHRQ
78
6
0
10
    CDC
526
211
13
386
    FDA
14,235
39
37
4,224
    HRSA
291
15
18
62
    IHS
151,329
61
21
17
    NIH (1)
12,775
35
13 (1)
448
    SAMHSA
30
165
3
8
    PHS Total
179,760
575
141 (1)
5,370
HHS Total
203,367
1,059
2,330 (1)
14,535
(1) The NIH, and therefore the “total”, disposition figures do not include 111 additional requests that were initially received in previous years and closed, for which disposition information is unavailable.

V.B.3. Exemptions Claimed Under the FOIA (1)

(2)
(3)
(4)
(5)
(6)
(7)
(A)
(7) (B)
(7)
(C)
(7)
(D)
(7)
(E)
(7)
(F)
OS
3
3
160
55
266
42
0
5
0
0
0
ACF
0
0
63
10
77
0
0
0
0
0
0
AOA
0
0
7
0
1
0
0
0
0
0
0
CMS
2
3
14
25
2209
1
0
9
1
0
0
    OASPH
18
12
20
25
37
6
0
2
0
0
0
    AHRQ
0
5
6
1
1
0
0
0
0
0
0
    CDC
20
7
92
48
102
0
0
0
0
0
0
    FDA
4
5
44
8
17
20
0
5
2
1
0
    HRSA
0
3
10
13
5
5
0
0
0
0
0
    IHS
3
5
41
5
28
0
0
0
0
0
0
    NIH
3
5
41
5
28
0
0
0
0
0
0
    SAMHSA
0
1
72
20
75
0
0
0
0
0
0
    PHS Total
48
43
326
125
293
31
0
7
2
1
0
HHS Total
53
49
570
215
2846
74
0
21
3
1
0
(1) No claims for exemption (1), (8), or (9).
V.B.4. Other Reasons for Nondisclosure (Total)

No Records
Referrals
Request Withdrawn
Fee-Related Reason
Records Not Reasonably Described
Not a Proper FOIA Request for Some Other Reason
Not an Agency Record
Duplicate Request
Other
OS
85
193
52
6
1
3
2
8
4
ACF
7
8
12
0
0
1
0
2
0
AOA
10
0
0
0
0
0
0
0
0
CMS
2921
715
575
612
2405
771
0
12
760 (1)
    OASPH
91
62
59
3
0
0
0
0
0
    AHRQ
5
0
4
1
0
0
0
0
0
    CDC
222
14
61
6
0
0
25
20
38
    FDA
1109
35
1916
454
0
191
0
249
270 (1)
    HRSA
38
11
10
1
0
0
1
1
0
    IHS
4
0
8
2
0
0
1
0
2
    NIH
209
24
161
28
22
0
1
3
0
    SAMHSA
5
0
1
1
0
0
0
1
0
    PHS Total
1683
146
2220
496
22
191
28
274
310
HHS Total
4706
1062
2859
1114
2428
966
30
296
1074
(1) Administrative closures, primarily when requester did not respond to queries as to continued interest in FOIA request; and, when materials are more readily available from other sources, e.g., the internet and libraries

VII. Compliance With Time Limits/Status of Pending Requests

A. Median Processing Time for Requests Processed During the Year

OS
ACF
AOA
CMS
OASPH
AHRQ
CDC
FDA
HRSA
IHS
NIH
SAM-HSA
1. a. Number of Simple Requests (Where multiple tracks used)
0
0
0
33,583
179
0
0
15,539
0
0
0
0
b. Median Days to Process
0
0
0
10
10 (1)
0
0
26
0
0
0
0
2.a. Number of Complex
Requests (Where multiple tracks used)
0
0
0
722
611
0
0
1,987
0
0
0
0
b. Median Days to Process
0
0
0
86
60
0
0
370
0
0
0
0
3. a. Number of Expedited Requests
1
4
0
42
0
0
2
2
6
0
0
0
b. Median Days to Process
60
41
0
158
0
0
52
100
14
0
0
0
4. a. Number of Single Track Requests
934
137
22
0
0
94
1134
1,007
380
151,428
13,382 (1)
206
b. Median Days to Process
69 (3)
40
5
0
0
34
36
86
20
32
173
45
(1) Calculated median day figure does not include median day information for 55 additional OAPHS requests referred to other organizations, for which data is unavailable
(2) Calculated median day figure does not include median day information for 111 NIH FOIA requests closed retroactively for which median day data is unavailable
(3) Based on estimate

B. Status of Pending Requests

OS
ACF
AOA
CMS
OASPH
AHRQ
CDC
FDA
HRSA
IHS
NIH
SAMHSA
1. Number of Requests Pending
751
17
9
2226 (1)
113
6
221
17369
35
42
968
49
2. Number of Median Days of Pending Requests as of Septem-ber 30, 2004
189 (2)
65
188
11
60 (3)
8
130
261 (3)
9
32
166
65

2709 (4)

507

Simple requests
Based on sample
Multi-track median figures unavailable
Complex requests

IX. Costs/FOIA Staffing, and
X. Fees

Staffing Levels
Costs (Estimated)
Fees

Full-Time Staff
Staff With Part-Time or Occasional FOIA Duties (In Total Work-years)
Staff (In Work-Years)
FOIA Processing
Litigation-Related Activities
Total Costs
Total Fees Collected
% of Costs
OS
5
0.00
5.00
$ 443,800
$ 147,409
$ 591,209
$ 10,058
2
ACF
2
0.50
2.50
153,036
0
153,036
2,238
2
AOA
0
0.08
0.08
5,152
0
5,512
0
0
CMS
70
11.80
81.80
2,222,150
29,602
2,251,752
213,910
10
    OAPHS
4
0.00
4.00
206,678
38,462
245,140
8,483
4
    AHRQ
1
0.25
1.25
66,146
0
66,146
726
1
    CDC
5
0.00
5.00
330,584
0
330,584
37,556
11
    FDA
71
14.90
85.90
11,133,436
487,314
11,620,750
392,145
3
    HRSA
2
0.50
2.50
112,400
1,300
113,700
4,140
4
    IHS
2
13.00
15.00
492,534
0
492,534
4,069
1
    NIH
18
24.55
42.55
2,894,460
35,842
2,930,302
43,614
2
    SAMHSA
1
0.00
1.00
77,274
0
77,274
4,840
6
    PHS Total
104
53.20
157.20
$15,313,512
$562,918
$15,876,430
$495,573
3
HHS Total
181
65.58
246.58
$18,137,650
$739,929
$18,877,579
$721,779
4
Last revised: April 4, 2006

4. Other reasons for non-disclosure (total): 72 (See chart)

        a. No records: 19
        b. Referrals:2
        c. Request withdrawn: 22
        d. Fee-related reason : 7
        e. Records not reasonably described: 0
        f. Not a proper FOIA request for some other reason: 0
        g. Not an agency record: 0
        h. Duplicate request: 0
        i. Other (specify): 22 (administrative closures, material more readily available from other sources, e.g., internet, )libraries, etc.

VII. COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS: (See chart)

A. Median Processing Time for Requests Processed During the Year: (Some OPDIVs do not use multiple tracks-see attached)
1. Simple Requests (if multiple tracks used):
a. number of requests processed: 49,301 (See chart)
b. median number of days to process: (See chart)
2. Complex Requests (includes total of complex requests and single-track systems):
a. number of requests processed: 172,044 (See chart)
b. median number of days to process: (See chart)
3. Requests Accorded Expedited Processing:
a. number of requests processed: 57
b. median number of days to process: (See chart)
B. Status of Pending Requests (if multiple tracks are being used, report for each track as well as totals). (See chart)
1. Number of requests pending as of the end of the fiscal year covered in this report (from Line V.A.4): 24,515
2. Median number of days that such requests were pending as of that date: Medians vary greatly from OPDIV to OPDIV. (See chart)

VIII. COMPARISONS WITH PREVIOUS YEAR(S): (Optional):

A. Comparison of numbers of requests received: Decreased by 01.2%, from 225,006 to 222,372.
B. Comparison of numbers of requests processed: Decreased by 00.5%, from 222,408 to 221,402
C. Comparison of median numbers of days requests were pending as of end of fiscal year: See chart for Section VII
D. Other statistics significant to components: The HHS received 191 requests for expedited processing, of which 57 were granted.

The HHS is highly diversified; a number of OPDIVs experienced an increase in the number of FOIA requests received, while the IHS experienced a decline of 6,845 requests due primarily to a decrease in the number of medical records requests. The overall number of HHS FOIA requests that were processed decreased slightly.

The ACF, which previously had been serviced by the Office of the Secretary (OS) FOIA/PA office, established its own FOIA office in April 2005 to coordinate and respond directly to FOIA requesters. Each HHS OPDIV now has its own operating FOIA office to respond to most FOIA requesters directly.
E. Other narrative statements describing agency efforts to improve timeliness of FOIA performance and to make records available to the public (e.g., backlog-reduction activities; public availability of new categories of records): None.

IX. COSTS/FOIA STAFFING: (See chart)

A. Staffing levels:
1. Number of full-time FOIA personnel: 181
2. Number of personnel with part-time or occasional FOIA duties (in total work-years): 65.58
3. Total number of personnel (in work years): 246.58
B. Total costs (including staff and all resources):
1. FOIA processing (including appeals): $18,137,650
2. Litigation-related activities (estimated): $739,929
3. Total costs: $18,877,579
4. Comparison with previous year(s) (including percentage of change) (optional):

X. FEES: (See chart below)

A. Total amount of fees collected by agency for processing requests: $721,779
B. Percentage of total costs: 4%

XI. FOIA REGULATIONS (including fee schedule):

The FOIA regulation implementing the 1996 amendments to the Freedom of Information Act has been published as a Notice of Proposed Rule Making and public comments have been received. The passage of PL 105-277 requiring OMB to revise circular A-110 will require further revisions to the HHS FOIA regulation and public comments on those new sections. That effort is currently underway. Until such time as the revised regulation is published as a new final rule, the current HHS FOIA regulation can be found at 45 CFR Part 5, and at: www.hhs.gov/foia/45cfr5.html.

IV. Exemption 3 Statutes

Statute/Rule	Type of Information Withheld	Case Citation
5 U.S.C. 107(a)(2) Appendix 4	Confidential financial disclosure reports	Meyerhoff v. EPA, 958 F.2^nd (9^th Cir 1992)
35 U.S.C. 122	Information in a pending patent application	Irons and Sears v. Dann, 606 F.2d 1215 (D.C. Cir. 1979; Leeds v. Quigg, 720 F. Supp. 193 (D.C.C. 1989)
41 U.S.C. 253b (m)	Contractor proposals not incorporated into agency contracts	Hornbostel v. United States Dep’t of the Interior, 305 F. Suppp. 2d 21 (D.D.C. 2003)
42 U.S.C. 242m(d) 308(d)	National Death Index, information regarding fatalities	No
42 U.S.C. 300hh-12 (c), Section 121(c)	Bioterrorism-related information	No
42 U.S.C. 11137(b)	Adverse reports of a physician’s conduct or practice	No

V. Initial FOI/PA Access Requests

V.A. Numbers of Initial Requests

(1)	Number of Requests Pending as of End of Preceding Year	Number of Requests Received in Current Year	Number of Requests Processed in Current Year	Number of Requests Pending as of End of Current Year
OS (2)	523	1,163	935	751
ACF (2)	0	158	141	17
AOA	0	31	22	9
CMS	4,084	35,198	34,347	4,935
OASPH	287	616	790	113
AHRQ	11	89	94	6
CDC	196	1,161	1,136	221
FDA	16,671	19,233	18,535	17,369
HRSA	46	375	386	35
IHS	41	151,429	151,428	42
NIH	1,632	12,718	13,382 (3)	968
SAMHSA	54	201	206	49
PHS Total	18,938	185,822	185,957	18,803
HHS Total	23,545	222,372	221,402 (3)	24,515

(1) Includes Privacy Act records requests
(2) The ACF, heretofore served by OS as its FOIA office, opened and initiated processing of FOIA requests in April 2005 for ACF records
(3) Includes 111 “pending” requests closed retroactively for FY 2004, for which disposition figures are unavailable.

V.B. Disposition of Initial Requests

	Number of Total Grants	Number of Partial Grants	Number of Full Denials	Total of Other Reasons for Nondisclosure
OS	250	303	28	354
ACF	31	80	0	30
AOA	4	7	1	10
CMS	23,322	94	2,160	8,771
OASPH	496	43	36	215
AHRQ	78	6	0	10
CDC	526	211	13	386
FDA	14,235	39	37	4,224
HRSA	291	15	18	62
IHS	151,329	61	21	17
NIH (1)	12,775	35	13 (1)	448
SAMHSA	30	165	3	8
PHS Total	179,760	575	141 (1)	5,370
HHS Total	203,367	1,059	2,330 (1)	14,535

(1) The NIH, and therefore the “total”, disposition figures do not include 111 additional requests that were initially received in previous years and closed, for which disposition information is unavailable.

V.B.3. Exemptions Claimed Under the FOIA (1)

	(2)	(3)	(4)	(5)	(6)	(7) (A)	(7) (B)	(7) (C)	(7) (D)	(7) (E)	(7) (F)
OS	3	3	160	55	266	42	0	5	0	0	0
ACF	0	0	63	10	77	0	0	0	0	0	0
AOA	0	0	7	0	1	0	0	0	0	0	0
CMS	2	3	14	25	2209	1	0	9	1	0	0
OASPH	18	12	20	25	37	6	0	2	0	0	0
AHRQ	0	5	6	1	1	0	0	0	0	0	0
CDC	20	7	92	48	102	0	0	0	0	0	0
FDA	4	5	44	8	17	20	0	5	2	1	0
HRSA	0	3	10	13	5	5	0	0	0	0	0
IHS	3	5	41	5	28	0	0	0	0	0	0
NIH	3	5	41	5	28	0	0	0	0	0	0
SAMHSA	0	1	72	20	75	0	0	0	0	0	0
PHS Total	48	43	326	125	293	31	0	7	2	1	0
HHS Total	53	49	570	215	2846	74	0	21	3	1	0

(1) No claims for exemption (1), (8), or (9).

V.B.4. Other Reasons for Nondisclosure (Total)

	No Records	Referrals	Request Withdrawn	Fee-Related Reason	Records Not Reasonably Described	Not a Proper FOIA Request for Some Other Reason	Not an Agency Record	Duplicate Request	Other
OS	85	193	52	6	1	3	2	8	4
ACF	7	8	12	0	0	1	0	2	0
AOA	10	0	0	0	0	0	0	0	0
CMS	2921	715	575	612	2405	771	0	12	760 (1)
OASPH	91	62	59	3	0	0	0	0	0
AHRQ	5	0	4	1	0	0	0	0	0
CDC	222	14	61	6	0	0	25	20	38
FDA	1109	35	1916	454	0	191	0	249	270 (1)
HRSA	38	11	10	1	0	0	1	1	0
IHS	4	0	8	2	0	0	1	0	2
NIH	209	24	161	28	22	0	1	3	0
SAMHSA	5	0	1	1	0	0	0	1	0
PHS Total	1683	146	2220	496	22	191	28	274	310
HHS Total	4706	1062	2859	1114	2428	966	30	296	1074

(1) Administrative closures, primarily when requester did not respond to queries as to continued interest in FOIA request; and, when materials are more readily available from other sources, e.g., the internet and libraries

VII. Compliance With Time Limits/Status of Pending Requests

A. Median Processing Time for Requests Processed During the Year

	OS	ACF	AOA	CMS	OASPH	AHRQ	CDC	FDA	HRSA	IHS	NIH	SAM-HSA
1. a. Number of Simple Requests (Where multiple tracks used)	0	0	0	33,583	179	0	0	15,539	0	0	0	0
b. Median Days to Process	0	0	0	10	10 (1)	0	0	26	0	0	0	0
2.a. Number of Complex Requests (Where multiple tracks used)	0	0	0	722	611	0	0	1,987	0	0	0	0
b. Median Days to Process	0	0	0	86	60	0	0	370	0	0	0	0
3. a. Number of Expedited Requests	1	4	0	42	0	0	2	2	6	0	0	0
b. Median Days to Process	60	41	0	158	0	0	52	100	14	0	0	0
4. a. Number of Single Track Requests	934	137	22	0	0	94	1134	1,007	380	151,428	13,382 (1)	206
b. Median Days to Process	69 (3)	40	5	0	0	34	36	86	20	32	173	45

(1) Calculated median day figure does not include median day information for 55 additional OAPHS requests referred to other organizations, for which data is unavailable
(2) Calculated median day figure does not include median day information for 111 NIH FOIA requests closed retroactively for which median day data is unavailable
(3) Based on estimate

B. Status of Pending Requests

	OS	ACF	AOA	CMS	OASPH	AHRQ	CDC	FDA	HRSA	IHS	NIH	SAMHSA
1. Number of Requests Pending	751	17	9	2226 (1)	113	6	221	17369	35	42	968	49
2. Number of Median Days of Pending Requests as of Septem-ber 30, 2004	189 (2)	65	188	11	60 (3)	8	130	261 (3)	9	32	166	65
				2709 (4)
				507

Simple requests
Based on sample
Multi-track median figures unavailable
Complex requests

IX. Costs/FOIA Staffing, and

X. Fees

	Staffing Levels			Costs (Estimated)			Fees
	Full-Time Staff	Staff With Part-Time or Occasional FOIA Duties (In Total Work-years)	Staff (In Work-Years)	FOIA Processing	Litigation-Related Activities	Total Costs	Total Fees Collected	% of Costs
OS	5	0.00	5.00	$ 443,800	$ 147,409	$ 591,209	$ 10,058	2
ACF	2	0.50	2.50	153,036	0	153,036	2,238	2
AOA	0	0.08	0.08	5,152	0	5,512	0	0
CMS	70	11.80	81.80	2,222,150	29,602	2,251,752	213,910	10
OAPHS	4	0.00	4.00	206,678	38,462	245,140	8,483	4
AHRQ	1	0.25	1.25	66,146	0	66,146	726	1
CDC	5	0.00	5.00	330,584	0	330,584	37,556	11
FDA	71	14.90	85.90	11,133,436	487,314	11,620,750	392,145	3
HRSA	2	0.50	2.50	112,400	1,300	113,700	4,140	4
IHS	2	13.00	15.00	492,534	0	492,534	4,069	1
NIH	18	24.55	42.55	2,894,460	35,842	2,930,302	43,614	2
SAMHSA	1	0.00	1.00	77,274	0	77,274	4,840	6
PHS Total	104	53.20	157.20	$15,313,512	$562,918	$15,876,430	$495,573	3
HHS Total	181	65.58	246.58	$18,137,650	$739,929	$18,877,579	$721,779	4

HHS Fiscal Year 2005 Freedom of Information Annual Report

HHS Fiscal Year 2005Freedom of Information Annual Report

HHS Fiscal Year 2005
Freedom of Information Annual Report