I. Basic Information Regarding Report

A. Person to be contacted with questions about the report:

Patricia M. Riep-Dice, Chief, Freedom of Information Act Division, C-12/5432,
U.S. Department of Transportation, 400 Seventh Street, SW, Washington, DC 20590
(202) 366-4542

B. Electronic address for report on the World Wide Web:

http://www.dot.gov/foia/reports/2001annualreport.html

C. Person to be contacted for a copy of the report in paper form:

Donna Clavelli, Freedom of Information Act Specialist, Freedom of Information Act Division, C-12/5432, U.S. Department of Transportation, 400 Seventh Street, SW, Washington, DC 20590 (202) 366-4542

II. How to Make a FOIA Request

A. Names, addresses, and telephone numbers of all individual agency components
and offices that receive FOIA requests.

Name/Title
Address
Telephone/Facsimile (If one number appears, it represents the office telephone number.)
Electronic Address for E-FOIA Request

Patricia M. Riep-Dice, Chief FOIA Division
Office of the Secretary
C-12/5432
400 Seventh Street, SW
Washington, DC 20590
(202) 366-5546/(202) 366-8536
http://www.dot.gov/foia/mailform.cfm

Jeffrey W. Davis, FOIA Officer/Privacy Act Officer
Office of Inspector General
JC-1/9210
400 Seventh Street, SW
Washington, DC 20590
(202) 366-8751/(202) 366-1975
http://www.oig.dot.gov/FOIA

Commandant (G-CIM-2)
United States Coast Guard
2100 Second Street, SW
Washington, DC 20593
(202) 267-1086

Tracy Paquin
Bernette Smith
National FOIA Staff, ARC-40
Federal Aviation Administration
800 Independence Avenue, SW
Washington, DC 20591
(202) 267-9165

Ms. Jean Mahoney, FOIA Coordinator
FAA Alaskan Region, AAL-7
222 West 7th Avenue, #14
Anchorage, AL 99513-7587
(907) 271-5269/(907) 271-2800

Ms. Veronica Bailey, FOIA Coordinator
FAA Central Region, ACE-3B
901 Locust
Kansas City, MO 64106-2641
(816) 329-2425/(816) 329-2431

Ms. Trina Hankerson
FAA Eastern Region, AEO-60
1 Aviation Plaza
Jamaica, NY 11434-4809
(718) 553-3361/(718) 995-5663

Ms. Carmen Rivera, FOIA Coordinator
FAA Great Lakes Region, AGL-4
2300 E. Devon Avenue
Des Plaines, IL 60018
(847) 294-7324/(847) 294-7184

Ms. Carol Goodsell, FOIA Coordinator
FAA New England Region, ANE-40
12 New England Executive Park
Burlington, MA 01803
(781) 238-7393/(781) 238-7380

Ms. Mitzi Warren, FOIA Coordinator
FAA Northwest Mountain Region, ANM-4MW
1601 Lind Avenue SW
Renton, WA 98055-4056
(425) 227-2025/(425) 227-1005

Ms. Linda Chatman, FOIA Coordinator
FAA Southern Region, ASO-65D
Post Office Box 20636
Atlanta, GA 30320
(404) 305-5906/(404) 305-5854

Ms. Nancy Reilly, FOIA Coordinator
FAA Southwest Region, ASW-41
2601 Meacham Boulevard
Ft. Worth, TX 76193-0041
(817) 222-5450/(817) 222-5952

Ms. Carlette Young, FOIA Coordinator
FAA Western-Pacific Region, AWP-4
15000 Aviation Boulevard
Hawthorne, CA 90250
(310) 725-3809/(310) 725-6813

Ms. Beth Henson, FOIA Coordinator
FAA Office of Aviation Medicine
Civil Aero Medical Institute, AAM-3
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-1002/(405) 954-1010

Ms. Maureen Carroll, FOIA Coordinator
FAA Technical Center
Appraisal and Planning Staff, ACT-4
Atlantic City International Airport
Atlantic City, NJ 08405
(609) 485-4854/(609) 485-4011

Mr. Doug Burdette, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Flight Standards Service
Aviation Data Systems Branch, AFS-600
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-6501/(405) 954-4655

Ms. Carrie LaFollette, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Civil Aviation Registry, AFS-700
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-4331/(405) 954-5759

Ms. Margaret Fee, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Aviation System Standards
Program Support Branch, AVN-21
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-8926/(405) 954-3470

Ms. Joey Muth, FOIA Coordinator
FAA Mike Monroney Aeronautical Center, AMC-2
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-5054/(405) 954-3360

Jim Kabel, FOIA Officer
Catrina Pavlik, FOIA Team Leader
Barbara L. Cox, Information Specialist
Federal Highway Administration
HAIM-11
400 Seventh Street, SW
Washington, DC 20590
(202) 366-0534/(202) 366-6672

Sandi Robinson, FOIA Officer
Federal Railroad Administration
1120 Vermont Avenue, NW
Washington, DC 20005
(202) 493-6039

Heidi Coleman, Assistant Chief Counsel for General Law
National Highway Traffic Safety Administration
NCC-30/5219
400 Seventh Street, SW
Washington, DC 20590
(202) 366-1834

Velvet Snow, FOIA Officer
Federal Transit Administration
TPA-1/9400
400 Seventh Street, SW
Washington, DC 20590
(202) 366-0782

Francis Mardula, FOIA Officer
Maritime Administration
MAR-221/7221
400 Seventh Street, SW
Washington, DC 20590
(202) 366-5181

Gail Mayhew, FOIA Coordinator
Research and Special Programs Administration
DCC-10/8407
400 Seventh Street, SW
Washington, DC 20590
(202) 366-4353

Mary C. Fregoe, FOIA Officer
St. Lawrence Seaway Development Corporation
Post Office Box 520
Massena, NY 13662-0520
(315) 764-3210

Robert Monniere, FOIA Officer
Bureau of Transportation Statistics
K-1, Room 3430
400 Seventh Street, SW
Washington, DC 20590
(202) 366-5498

Kathy Ray, FOIA Officer
Federal Motor Carrier Safety Administration
MC-MBM, Room 8207
400 Seventh Street, SW
Washington, DC 20590
(202) 366-2960

B. Brief description of the agency's response-time ranges.

The majority of the requests are answered within 20 to 30 works days. If not, it usually means that the request is either voluminous or complex in nature. The FAA and the USCG administer a decentralized FOIA program. FOIA coordinators and responding program offices acknowledge receipt of FOIA requests promptly. Response time for a request varies according to the clarity and complexity of the request, the volume of documents requested, the number of record holders assigned to respond to the request, and the unit's respective FOIA backlogs. Response time is facilitated when requesters are specific about the records they seek, and include the organization(s) where the records may be located. Requesters are contacted by telephone or in writing to clarify any uncertainties in a FOIA request, and to resolve any fee issues with the request, so that they may provide a response as soon as possible.

C. Brief description of why some requests are not granted.

Some requests were not granted based on Exemptions in 552 (b), 5 U.S.C. §§ 552(b)(1)-(9). Some were not granted because they were seeking answers to questions posed as a FOIA request as opposed to seeking specific records. Some requests were not granted because the DOT did not possess the responsive records; records were not reasonably described enough to make a search possible; the information is already publicly available; the request should more properly be answered under another Act, such as the Privacy Act, etc., and outstanding fees for previous requests have not been paid.

III. Definitions of Terms and Acronyms Used in the Report

A. Agency-specific acronyms or other terms.

DOT -- Department of Transportation
OST -- Office of the Secretary
OIG -- Office of Inspector General
FAA -- Federal Aviation Administration
USCG -- United States Coast Guard
NHTSA -- National Highway Traffic Safety Administration
FHWA -- Federal Highway Administration
FRA -- Federal Railroad Administration
FTA -- Federal Transit Administration
SLSDC -- Saint Lawrence Seaway Development Corporation
MARAD -- Maritime Administration
RSPA -- Research and Special Programs Administration
BTS -- Bureau of Transportation Statistics
FMCSA - Federal Motor Carrier Safety Administration
FMVSS -- Federal Motor Vehicle Safety Standard
IR -- Information Request
PE -- Preliminary Evaluation
EA -- Engineering Analysis
RQ -- Recall Query
SQ -- Service Query
OA -- Office Activity
DP -- Defect Petition
CI -- Compliance Investigation
NCI -- Non-compliance Investigation
Remanded Appeal -- An appeal request, particularly a "no records" appeal, sent back to the original action office or forwarded to another office when the requester provides additional information either clarifying the documents sought or providing additional search parameters. The action office considers the request as if it were a new request, responding directly to the requester. Remanded appeal responses may again be appealed; appeal rights are provided if the remanded appeal response is a denial, partial denial or "no records" determination.

B. Basic terms expressed in common terminology.

1. FOIA/PA Request -- Freedom of Information Act/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.

2. Initial Request -- a request to a federal agency for access to records under the FOIA.

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 FOIA, 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 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).

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 the request over other requests that were made earlier.

7. 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 records requested.

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

9. Grant -- an agency decision to disclose all records in full in response to a FOIA request.

10. 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 entirety, but to withhold others in whole or in part.

11. Denial -- an 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 exemptions, or for some procedural reason (such as no record is located in response to a FOIA request).

12. Time Limits -- the time period pursuant to the FOIA for an agency to respond to a FOIA request (ordinarily 20 working days from proper receipt of a "perfected" FOIA request).

13. Perfected Request -- a FOIA request for records which adequately describes the records sought, which has been received by the FOIA office of the agency or agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees.

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. For example, of 3, 7, and 14, the median number is 7.

16. 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.

IV. Exemption 3 Statute

List of Exemption 3 statutes relied on by agency during current fiscal year.

1. Brief description of type(s) of information withheld under each statute

Highway Safety Act of 1966, Pub. L. 89-564, 80 Stat. 731 (1966). The Highway Safety Act of 1966 prohibits the disclosure of personal identifiers contained in reports of crash investigations.

National Driver Register Act of 1982, 49 USC §§ 30301 et seq. 49 U.S.C.§ 31443(b) (formerly Section 212(b), Motor Carrier Safety Act of 1984). The National Driver Register Act of 1982 prohibits disclosure of information to parties not specifically authorized by the Act to receive such information.

18 USC 371 with Rule 6(e) of the Federal Rules of Criminal Procedure - Grand jury material.

41 U.S.C. 253b(m): Prohibits release of contract proposal not incorporated in contract.

46 U.S.C. 7319: Prohibits release of all information contained in files maintained on each merchant mariner document issued.

2. Statement of whether a court has upheld the use of each statute.

18 USC 3771 with Rule 6(e) of the Federal Rules of Criminal Procedure. Church of
Scientology Int'l. v. United States Department of Justice, 30F.3d 244,235 (1st Cir. 1994).("[D]ocuments identified as grand jury exhibits, and whose contents are testimonial in nature or otherwise directly associated with grand jury process, such as affidavits and disposition transcripts, ordinarily may be withheld simply on the basis of their status as exhibits.")

49 U.S.C. 31443(b)- Reporters Committee for Freedom of the Press v. U.S. DOJ, 816 F. 2d 730, 734 (D.C. Cir.) modified on other grounds, 831 F.2d 1124 (D.C. Cir. 1987), rev'd on other grounds, 489 U.S. 749 (1989).

V. Initial FOIA/PA Access Requests

A. Numbers of Initial Requests:

1. Number of requests pending as of end of preceding fiscal year: 3,785
2. Number of requests received during current fiscal year: 19,529
3. Number of requests processed during current fiscal year: 19,547
4. Number of requests pending as of end of current fiscal year: 3,767

B. Disposition of initial requests.

1. Number of total grants: 10,536
2. Number of partial grants: 2,493
3. Number of denials: 756

a. Number of times each FOIA exemption used (counting each exemption once per request).

(1) Exemption 1 --0
(2) Exemption 2--110
(3) Exemption 3--108
(4) Exemption 4--285
(5) Exemption 5--476
(6) Exemption 6--1471
(7) Exemption 7(A)--186
(8) Exemption 7(B)--19
(9) Exemption 7(C)--666
(10) Exemption 7(D)--99
(11) Exemption 7(E)--14
(12) Exemption 7(F)--13

4. Other reasons for nondisclosure (total): 5762

a. No records--3220
b. Referrals-- 928
c. Request withdrawn --771
d. Fee-related reason--258
e. Records not reasonably described --35
f. Not a proper FOIA request for some other reason--229
g. Not an agency record--100
h. Duplicate request --101
i. Available from other source--80
j. Other (Specify)--
Non-possession--37
Would require the creation of records--2
Neither confirm or deny-1

VI. Appeals of Initial Denials of FOIA/PA Requests

A. Number of appeals.

1. Number of appeals received during fiscal year: 200
2. Number of appeals processed during fiscal year: 212

B. Disposition of appeals.

1. Number completely upheld: 105
2. Number partially reversed: 34
3. Number completely reversed: 16

a. Number of times each FOIA exemption used:

(1) Exemption 2---0
(2) Exemption 3---4
(3) Exemption 4---4
(4) Exemption 5---24
(5) Exemption 6---31
(6) Exemption 7(A)---26
(7) Exemption 7(B)---9
(8) Exemption 7(C)---10
(9) Exemption 7(D)---10
(10) Exemption 7(E)---3

4. Other reasons for nondisclosure (total): 57

a. No records--13
b. Request withdrawn--7
c. Not a proper FOIA request for some other reason--22
d. Duplicate request --1
e. Other (specify)
Processed as original FOIA requests--2
Referral--2
Remanded appeals--9
No answer to initial request-1

VII. Compliance with Time Limits/Status of Pending Requests

A. Median processing time for requests processed during the year.

1. Simple requests (if multiple tracks used).

a. Number of requests processed: 9340
b. Median number of days to process: 8

2. Complex requests (specify for any and all tracks used).

a. Number of requests processed: 7347
b. Median number of days to process: 23

3. Requests accorded expedited processing.

a. Number of requests processed: 147
b. Median number of days to process: 8

4. Requests not using multi-track processing.

a. Number of requests processed: 2713
b. Median number of days to process: 30

B. Status of pending requests.

1. Number of requests pending as of end of current fiscal year: 3767

2. Median number of days that such requests were pending as of that date: 99

VIII. Comparisons with Previous Year

A. Comparison of numbers of requests received:
FY 2000 - 19,677 FY 2001 - 19,529

B. Comparison of numbers of requests processed:
FY 2000 - 18,844 FY 2001 - 19,547

C. Comparison of median number of days requests were pending at the end of fiscal year:
FY 2000 - 30 FY 2001 - 60

D. Other narrative statements describing agency efforts to improve timeliness of
FOIA performance and to make records available to the public (e.g., backlog-reduction efforts; specification of average number of hours per processed request; training activities and public availability of new categories of records).

To improve timeliness of FOIA performance, the DOT is making an effort to contact requesters by telephone to help understand and possibly narrow the scope of some of the voluminous/complex requests. We are also working to eliminate our backlog by first seeing if the requesters are still in need of the requested material in older cases. The OIG is establishing a task force to help process their remaining backlog cases.

We have updated our website, and now several of the Operating Administrations include electronic requests via their website as part of our method for receiving FOIA requests. The capability to transmit information electronically has also expedited FOIA requests and helped reduce backlogs.

The OIG continues to provide public audit reports, Congressional testimonies, correspondences and other public products on their website.

The USCG has implemented a FOIA Imaging System (FIS). While the system was initially limited to the central FOIA office, it has been expanded to include two other offices. We are currently providing individual training to persons in the offices to ensure maximum use of the system. FIS is an image enabled workflow system that scans FOIA requests and responses, and automates the workflow management process associated with these functions. The central FOIA office remands appeals to the original processor for reconsideration when it determines that the original processor failed to follow procedures. This improves the quality and timeliness of responses, while preserving requesters' appeal rights.

The USCG made more records available to the public via Internet or other electronic media. Examples include Port State Information Exchange (PSIX), Marine Board Reports, licensing and documentation forms, policy documents, and the Oil Spill Compendium. We also distribute data via the National Technical Information Service on CD-ROM, including the Merchant Vessels of the U.S. data file and the Marine Casualty and Pollution database. We are in the process of developing a new information system, Marine Information for Safety and Law Enforcement, that will also facilitate distribution of data to the public by centralizing most Marine Safety and environmental protection records in a single information system.

OST and NHTSA have hired new employees during FY 2001 who will assist the Department in carrying out its responsibilities under the FOIA.

In February, 2002, we will be holding a two-day Departmental wide FOIA Conference to enable those involved in the processing of FOIA requests to receive up-to-date information and provide them with the opportunity to ask questions directly to a representative of the Office of Information and Privacy, Department of Justice.

IX. Costs/FOIA Staffing

A. Staffing levels.

1. Number of full-time FOIA personnel: 44
2. No.of personnel with part-time/occasional FOIA duties (in total work
Years): 73.70
3. Total number of personnel (in total work years): 117.70

B. Total costs (including staff and all resources).

1. FOIA processing (including appeals): $ 8,968,024.
2. Litigation-related activities (estimated): $ 72,203.
3. Total costs: $ 9,040,247.
4. Comparison with previous year(s) (including percentage of change):
Cost increased from FY 2000 to FY 2001 by $1,097,565 (11%).

X. Fee

A. Total amount of fees collected by agency for processing requests: $366,592.

B. Percentage of total costs: 4%

XI. FOIA Regulations (Including Fee Schedule)

Attached is a copy of the Department of Transportation FOIA Regulations, 49
CFR Part 7, Public Availability of Information