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FY 1998 Annual Freedom Of Information Report
Table of Contents
I. Basic Information
II. How to File a FOIA
Request
III. Definitions of Terms and Acronyms Used
IV. Exemption 3 Statutes
A. List of Exemption 3 statutes relied on by Agency during current fiscal year
V. Initial FOIA Requests
A. Number of initial requests
B. Dispositions of initial requests
C. Number of times each FOIA Exemption used
D. Other reasons for nondisclosure (total)
VI. Appeals of Initial Denials of FOIA Requests
A. Number of appeals
B. Disposition of appeals
C. Number of times each FOIA Exemption used
D. Other reasons for nondisclosure (total)
VIa. Previous Year Appeals
A. Number of previous year appeals processed
B. Disposition of previous year appeals
C. Number of times each FOIA Exemption used
D. Other reasons for nondisclosure (total)
VIb. Final Confidentiality Determinations
A. Number of Final Confidential Determinations
B. Disposition of Final Determinations
C. Number of times each FOIA Exemption used
VII. Time Limits/Status of Pending Requests
A. Median processing time for requests processed this year
B. Number of requests pending
VIII. Comparisons with Previous Years
A. Number of requests received
B. Number of requests processed
C. Median number of days requests were pending
D. Other statistics significant to agency
IX. Cost/FOIA Staffing
A. Staffing Level
B. Total Costs (including staff and all resources)
X. Fees
A. Total amount of fees collected by agency for processing requests
B. Percentage of total cost
XI. Fee Schedule and Regulations
FY 1998 ANNUAL FREEDOM OF INFORMATION REPORT
I. Basic Information
Agency Contact:
Jeralene B. GreenAgency FOI Officer
U.S. Environmental Protection Agency
401 M St, S.W. (1105)
Washington, DC 20460
(202) 260-4048
Electronic Address for Report
http://www.epa.gov/epafoia1/foiarept.htm
How to obtain a paper copy of report
A paper copy can be obtained by contacting the Agency FOI Officer listed above.
II. How to File a FOIA Request
Before making a request under the FOIA, make sure the information you seek is not already available to the public in reading rooms or the Agency's Web site on the Internet. Copies of this public material can also be requested by writing to the Agency's headquarters office or to the appropriate Agency's regional office. If the information you seek is not already available to the public, submit a written request to the Agency FOI Officer in Washington, DC or the Regional FOI Officer in the appropriate regional office (addresses listed below). If you cannot determine where within the Agency to send your request, you may send it to the Agency FOI Officer in Washington, DC. To assist EPA in the processing of your request, include: (a) readable information such as your name, address, and phone number; (b) try to be as specific as possible in identifying the records sought in a way that will permit their identification and location; and (c) a statement of your willingness to pay fees up to the amount you wish to specify.
Generally, you have a right to a decision with regard to the release of the requested records within 20 working days of receipt of your request and EPA makes every effort to meet this timeframe. However, due to the complexity of certain requests, the Agency may take a substantially longer time to fully respond to a request.
If your request is initially denied in whole or in part, in accordance with exemptions provided by the FOIA, you will be advised of your right to appeal. Generally, you will have a right to a decision on the appeal within 20 working days of receipt.
All requests made under the FOIA are a matter of public record and may be placed in the Agency's public files.
The EPA brochure “How to Make a Freedom of Information Act Request” is available from the Agency FOI Offices listed below:
Agency Components Receiving FOIA Requests
Jeralene B. Green
Agency FOI Officer
Environmental Protection Agency
401 M St, S.W. (1105)
Washington, DC 20460
(202) 260-4048
FAX (202) 260-4499
Email: hq.foia@epa.gov
EPA, Region 1
One Congress Street
Boston, MA 02114
(617) 918-1103
FAX (617) 918-1124
Email: leahy.tricia@epa.gov
(States: CT, ME, MA, NH, RI, VT)
EPA, Region 2
290 Broadway 26TH Fl
New York, NY 10007
(212) 637-3668
FAX (212) 637-5046
Email: vasquez.wanda@epa.gov
(States: NJ, NY, PR, VI)
EPA, Region 3
1650 Arch Street
Philadelphia, PA 19103
(215) 814-5553
FAX (215) 814-5102
Email: vanholt.richard@epamail.epa.gov
(States: DE, DC, MD, PA, VA, WV)
EPA, Region 4
61 Forsyth Street
Atlanta, GA 30303
(404) 562-8034
FAX (404) 562-8054
Email: r4foia@epa.gov
(States: AL, FL, GA, KY, MS, NC, SC, TN)
EPA, Region 5
77 West Jackson Blvd MRI-9
Chicago, IL 60604-3507
(312) 886-0182
FAX (312) 886-1515
Email: r5foia@epa.gov
(States: IL, IN, MI, MN, OH, WI)
EPA, Region 6
1445 Ross Avenue
Dallas, TX 75202-2733
(214) 665-6597
FAX (214) 665-2146
Email: r6foia@epa.gov
(States: AR, LA, NM, OK, TX)
EPA, Region 7
726 Minnesota Avenue
Kansas City, KS 66101
(913) 551-7764
FAX (913) 551-7066
Email: r7foia@epa.gov
(States: IA, KS, MO, NE)
EPA, Region 8
999 18th St. Suite 500
Denver, CO 80202-2466
(303) 312-6940
FAX (303) 312-6961
Email: R8FOIAS@epa.gov
(States: CO, MT, ND, SD, UT, WY)
EPA, Region 9
75 Hawthorne St. (CGR-3-1)
San Francisco, CA 94105
(415) 744-1593
FAX (415) 744-1605
Email: r9.info@epa.gov
(States: AZ, CA, HI, NV, AS, GU)
EPA, Region 10
1200 6th Ave. EXA-124
Seattle, WA 98101
(206) 553-8665
FAX (206) 553-0149
Email: Region10-FOIA@epa.gov
(States: AK, ID, OR, WA)
Response Time Graphs/Ranges
| Days Taken to Close Requests |
Requests |
|---|---|
| 0 - 5 | 2,237 |
| 6 - 10 | 2,968 |
| 11 - 15 | 2,683 |
| 16 - 20 | 3,415 |
| 21 - 30 | 3,312 |
| Over 30 | 4,233 |
| Total Closed Requests | 18,848 |
Description of Why Some Requests are not Granted
- Exemption 1 - Matters of National Defense or Foreign Policy
- Exemption 2 - Internal Agency Rules
- Exemption 3 - Information Exempted by Other Statutes
- Exemption 4 - Trade Secrets, Commercial or Financial Information
- Exemption 5 - Privileged Inter- or Intra-Agency Memoranda
- Exemption 6 - Personal Privacy
- Exemption 7 - Records or Information Compiled for Law Enforcement Purposes
- Exemption 8 - Records of Financial Institutions
- Exemption 9 - Geological or Geophysical Information and Data Concerning Wells
III. Definitions of Terms and Acronyms Used
A. Agency specific acronyms or other terms
- 1.FIFRA
- Federal Insecticide, Fungicide, and Rodenticide Act
- 2. Action Office Assignments
- The EPA component office(s) where the FOI Office assigns a request for action and direct reply to the requester. Many requests are assigned to multiple components for separate responses/action.
B. Basic terms
- 1. FOIA Request
- Freedom of Information Act request. A FOIA request is a request for access to records concerning a third party, an organization, or a particular topic of interest.
- 2.Initial Request
- A request to a federal agency for access to records under the Freedom of Information Act.
- 3. 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.
- 4. Processed Request or Appeal
- A request or appeal for which an agency has taken a final action on the request or the appeal in all respects.
- 5. 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 trackare processed on a first-in/first-out basis. A requester who has an urgent need for records may request expedited processing.
- 6. 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.
- 7. Basic Request
- A FOIA request that an agency using multi-track processing places in its fastest (nonexpedited) track based on the volume and/or simplicity of records requested.
- 8. Unusual Circumstances
- An agency may take up to an additional ten working days to respond to a request. However, the agency must notify the requester that additional time is required and offer the requester the opportunity “to limit the scope of the request” and or “to arrange with the agency an alternative time frame for processing the request or a modified request.”
- 9. Exceptional Circumstances
- The Agency may delay responding to requests when able to demonstrate reasonable progress in reducing its FOIA backlog of pending requests, or, where a requester refuses to reasonably modify the scope of a request or arrange an alternative time frame for processing it.
- 10. Grant
- The Agency decision to disclose all records in full in response to a FOIA request.
- 11. Partial grant
- The 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's exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.
- 12. Denial
- The agency decision not to release any part of a record or records in response to a FOIA request because all the information in the requested records is determined by the agency to be exempt under one or more of the FOIA's exemptions, or for some procedural reason (such as because no record is located in response to a FOIA request).
- 13. 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 the FOIA request).
- 14. 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).
- 15. Median number
- The middle, not average, number. (NOTE: EPA calculated all median numbers based on working days rather than calendar days.)
IV. Exemption 3 Statutes
A. List of Exemption 3 statutes relied on by agency during current fiscal year
- 7 USC 136h
- 41 USC 253b(m)
- 41 USC Section 27
-
1. Description of type(s) of information withheld under each statute:
- FIFRA Records
- Contractor Proposals
- Source Information
-
2. Statement of whether a court has upheld the use of each statute. If so, then cite example:
There have been no court decisions relating to the above statutes.
V. Initial FOIA Requests
A. Number of initial requests
1. Number of requests pending from last year: 3,745
2. Number of requests received during current year: 21,220
3. Number of requests processed during current year: 18,848
4. Number of requests pending this year: 6,117
B. Dispositions of initial requests
Answers to this section are based upon action office assignments rather than individual FOIA requests.
1. Number of total grants: 16,718
2. Number of partial grants: 746
3. Number of denials: 127
C. Number of times each FOIA Exemption used
| Exemption 552(b) | Number of times invoked |
|---|---|
| (1) | 2 |
| (2) | 4 |
| (3) | 1 |
| (4) | 322 |
| (5) | 139 |
| (6) | 54 |
| (7) | 16 |
| (7)(A) | 116 |
| (7)(B) | 1 |
| (7)(C) | 5 |
| (7)(E) | 5 |
| (2)(7)(E) | 2 |
| (3)(4) | 15 |
| (3)(5) | 2 |
| (4)(5) | 22 |
| (4)(6) | 1 |
| (4)(7) | 1 |
| (4)(7)(A) | 2 |
| (4)(7)(B) | 1 |
| (4)(7)(C) | 1 |
| (4)(7)(E) | 1 |
| (5)(6) | 8 |
| (5)(7) | 11 |
| (5)(7)(A) | 47 |
| (5)(7)(B) | 1 |
| (5)(7)(C) | 5 |
| (5)(7)(D) | 2 |
| (5)(7)(E) | 7 |
| (6)(7) | 1 |
| (6)(7)(C) | 5 |
| (6)(7)(D) | 1 |
| (7)(A)(7)(B) | 1 |
| (7)(A)(7)(C) | 3 |
| (7)(A)(7)(D) | 1 |
| (7)(A)(7)(E) | 5 |
| (7)(B)(7)(C) | 1 |
| (7)(E)(7)(F) | 1 |
| (2)(5)(7)(C) | 1 |
| (3)(4)(7)(A) | 1 |
| (4)(5)(6) | 1 |
| (4)(5)(7) | 4 |
| (4)(5)(7)(A) | 4 |
| (4)(5)(7)(B) | 1 |
| (4)(5)(7)(C) | 2 |
| (4)(5)(7)(E) | 1 |
| (4)(7)(A)(7)(E) | 1 |
| (5)(6)(7)(A) | 4 |
| (5)(6)(7)(B) | 1 |
| (5)(6)(7)(C) | 3 |
| (5)(7)(A)(7)(D) | 2 |
| (5)(7)(A)(7)(E) | 5 |
| (5)(7)(A)(9) | 1 |
| (5)(7)(C)(7)(D) | 4 |
| (6)(7)(A)(7)(C) | 1 |
| (6)(7)(C)(7)(E) | 1 |
| (7)(C)(7)(D)(7)(E) | 2 |
| (4)(5)(6)(7) | 2 |
| (4)(5)(6)(7)(C) | 1 |
| (4)(5)(7)(A)(7)(C) | 1 |
| (4)(5)(7)(A)(7)(D) | 1 |
| (4)(5)(7)(A)(7)(E) | 2 |
| (4)(6)(7)(C)(7)(E) | 1 |
| (5)(6)(7)(A)(7)(C) | 1 |
| (5)(6)(7)(C)(7)(D) | 1 |
| (5)(7)(A)(7)(C)(7)(D) | 3 |
| (4)(5)(6)(7)(A)(7)(C) | 1 |
| (4)(5)(6)(7)(A)(7)(D) | 1 |
| (5)(7)(A)(7)(B)(7)(C)(7)(E) | 1 |
| (5)(7)(A)(7)(C)(7)(D)(7)(E) | 4 |
D. Other reasons for nondisclosure (total):19,235
| Reason for nondisclosure | Number of times used |
|---|---|
| CLOSED | 3,168 |
| CLOSED - DUPLICATE REQUEST | 412 |
| CLOSED - FEE RELATED REASON | 13 |
| CLOSED - NO RECORDS EXIST | 12,623 |
| CLOSED - NO RESPONSE FROM REQUESTOR | 548 |
| CLOSED - RECORDS NOT REASONABLY DESCRIBED | 42> |
| CLOSED - REFERRALS | 2 |
| CLOSED - REFERRED TO ANOTHER FED. AGENCY | 100 |
| CLOSED - REFERRED TO NTIS/GPO | 68 |
| CLOSED - REFERRED TO STATE AGENCY | 982 |
| CLOSED - WITHDRAWN BY REQUESTOR | 1,277 |
VI. Appeals of Initial Denials of FOIA Requests
A. Number of appeals
- Number of appeals received this year: 124
- Number of appeals processed this year: 38
B. Disposition of appeals
- Number completely upheld: 12
- Number partially reversed: 8
- Number completely reversed: 1
C. Number of times each FOIA Exemption used
| Exemption 552(b) | Number of times invoked |
|---|---|
| (4) | 1 |
| (5) | 4 |
| (6) | 5 |
| (7)(A) | 3 |
| (4)(5) | 1 |
| (5)(7)(A) | 2 |
| (6)(7)(C) | 1 |
| (7)(C)(7)(E) | 1 |
| (4)(5)(6) | 1 |
| (5)(6)(7)(A)(7)(E) | 1 |
D. Other reasons for nondisclosure (total): 17
| Reason for nondisclosure | Number of times used |
|---|---|
| Closed | 5 |
| Closed - Negotiated Reply | 2 |
| Closed - Records Sent by Program | 2 |
| Closed - Records Sent by OGC - No Determination Issued | 1 |
| Closed - Records Sent by Regions - No Determination Issued | 3 |
| Closed - Withdrawn by Requestor | 1 |
| No Records | 3 |
VIa. Previous Year Appeals
A. Number of previous year appeals processed: 50
B. Disposition of previous year appeals
- Number of partially reversed: 4
- Number completely upheld: 7
C. Number of times each FOIA Exemption used
| Exemption 552(b) | Number of times invoked |
|---|---|
| (4) | 2 |
| (5) | 1 |
| (6) | 1 |
| (6)(7)(C) | 1 |
| (7)(A)(7)(E) | 2 |
| (5)(6)(7)(C) | 3 |
| (4)(6)(7)(A)(7)(C) | 1 |
D. Other reasons for nondisclosure (total): 39
| Reason for nondisclosure | Number of times used |
|---|---|
| Closed | 9 |
| Closed - Negotiated Reply | 6 |
| Closed - Records Sent by Program | 3 |
| Closed - Records Sent by OGC - No Determination Issued | 1 |
| Closed - Records Sent by Regions - No Determination Issued | 6 |
| Closed - Withdrawn by Requestor | 12 |
| No Records | 2 |
VIb. Final Confidentiality Determinations
Under Agency regulations appearing in 40 CFR Part 2, Subpart B, each Agency program office that receives a request for business information claimed as confidential by the submitter must issue an initial denial of the request. The Agency General Counsel (or a Regional Counsel) automatically reviews the matter after receiving comments from the submitter and makes a final confidentiality determination. This final confidentiality determination is the equivalent of an appeal determination and is the final Agency action. (The person making the request need not appeal the initial denial to obtain the final confidentiality determination.) Listed below are the figures for Agency final confidentiality determinations issued under these regulations:
A. Number of Final Confidential Determinations
- Number of final confidentiality determinations made pursuant to 40 CFR Part 2, Subpart B: 13
B. Disposition of Final Determinations
- Number of completely upheld: 5
- Number partially reversed: 5
- Number completely reversed: 3
C. Number of times each FOIA Exemption used
| Exemption 552(b) | Number of times invoked |
|---|---|
| (4) | 10 |
VII. Time Limits/Status of Pending Requests
Answers to this section are based upon action office assignments rather than individual FOIA requests.
A. Median processing time for requests processed this year
1. Basic Requests
a. Number of assignments processed: 36,748
b. Median number of days to process: 16
2. Unusual Requests
a. Number of assignments processed: 69
b. Median number of days to process: 27
3. Exceptional Requests
a. Number of assignments processed: 6
b. Median number of days to process: 20
4. Expedited Requests
a. Number of assignments processed: 3
b. Median number of days to process: 7
B. Number of requests pending
1. Number of requests pending this year: 6,117
2. Median number of days pending: 195
VIII. Comparisons with Previous Years
A. Number of requests received:
- Calendar Year 1997 - 17,867
- Fiscal Year 1998 - 21,220
- Percentage Change - 19 %
B. Number of requests processed:
- Calendar Year 1997 - 14,118
- Fiscal Year 1998 - 18,848
- Percentage Change - 34 %
C. Median number of days requests were pending:>
- Calendar Year 1997 - 77
- Fiscal Year 1998 - 195
D. Other statistics significant to agency
E. EPA's FOIA request workload has steadily decreased since 1993 -- from 41,102 requests in 1993 to 21,220 in FY-1998. This decrease is due largely because the Agency is continuing to place many routinely requested records and databases on the Internet (Web site address at http://www.epa.gov). EPA operates decentrally and the majority of the Headquarters and Regional components have developed Internet homepages. Providing Internet access to records maintained throughout the Agency has significantly reduced routine FOIA request workloads and improved the Agency's Public Access and Customer Service efforts.
IX. Cost/FOIA Staffing
A. Staffing LevelThe numbers below represent full and part time FOI employees within Headquarters and Regional offices, including FOI, Legal and Program Office components. Other employees participate in FOIA processing on a collateral basis ranging from 5 - 15% of time spent.B. Total Costs (including staff and all resources)
- Number of Full-Time employees: 93
- Number of Part-Time employees: 909
- Total number of personnel: 1,002
EPA did not implement an "actual cost" tracking system for this information until FY 1999. Therefore, this cost represents a best estimate based on staff salaries, equipment, and supplies for the staffing level listed in A above.
1. Total cost: $4,500,000.00
A. Total amount of fees collected by agency for processing requests: $524,840.66
B. Percentage of total cost: 12%
XI. Regulations and Fee Schedule (EFFECTIVE FEBRUARY 4, 1988)
MANUAL SEARCH FOR RECORDS:
EPA EMPLOYEES: For each 1/2 hour or portion thereof:
- Personnel at GS-8 and below: $4
- Personnel at GS-9 and above: $10
CONTRACTOR EMPLOYEES:
Actual charges up to but not exceeding the rate charged had EPA employees conducted the search.
COMPUTER SEARCH FOR RECORDS:
EPA EMPLOYEES: For each 1/2 hour or portion thereof:
- Personnel at GS-8 or below:$4
- Personnel at GS-9 or above:$10
PLUS Contractors operators (actual charges up to but not exceeding the rate charges had EPA employees conducted the search).
PLUS Actual computer resources usage charges for this search
REVIEW OF RECORDS (EPA EMPLOYEES) :
For each 1/2 hour or portion thereof:
- Personnel at GS-8 and below:$4
- Personnel at GS-9 and above:$10
REPRODUCTION OF DOCUMENTS (paper copy of paper original):
15 cents per page
COMPUTER PRINTOUTS:
15 cents per page
OTHER METHODS OF DUPLICATIONS OR REPRODUCTIONS, INCLUDING, BUT NOT LIMITED TO DUPLICATION OF PHOTOGRAPHS, MICROFILM AND MAGNETIC TAPE AND SPECIAL HANDLING OR TRANSPORTATION OF RECORDS WILL BE CHARGED AT THE ACTUAL DIRECT COST TO EPA.
CERTIFICATION OR AUTHENTICATION OF RECORDS:
$25.00 per certification of authentication
FEES WILL BE ASSESSED ACCORDING TO THE FOUR CATEGORIES OF REQUEST
COMMERCIAL USE REQUEST: Requester charged for search, review, and duplication costs
EDUCATIONAL AND NON-COMMERCIAL SCIENTIFIC INSTITUTIONS: Requester charged for duplication cost excluding the first 100 pages (no fee will be charged for search time)
REPRESENTATIVES OF THE NEWS MEDIA: Requester charged for duplication costs excluding the first 100 pages (no fee will be charged for search time)
ALL OTHER REQUESTS: Requester charged for search and duplication time excluding the first two hours of search time and the first 100 pages of duplication
NO FEE WILL BE CHARGED IF THE TOTAL FEE UNDER ANY CATEGORY IS LESS THAN $25.00, OR IF THE COST OF COLLECTING THE FEES WOULD OTHERWISE EXCEED THE AMOUNT COLLECTED