Regulatory Information
Freedom of Information Annual Report 2010
1. HHS and OPDIV Freedom of Information Officers/FOIA Requester Service Centers
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.
1. Agency-specific acronyms or other terms:
2. Basic terms (from FOIA UPDATE, Summer 1997):
a. Administrative Appeal – a request to a federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.
b. Average Number – the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the group. For example, of 3, 7, and 14, the average number is 8.
c. Backlog – the number of requests or administrative appeals that are pending at an agency at the end of the fiscal year that are beyond the statutory time period for a response.
d. Component – for agencies that process requests on a decentralized basis, a “component” is an entity, also sometimes referred to as an Office, Division, Bureau, Center, or Directorate, within the agency that processes FOIA requests. The FOIA now requires that agencies include in their annual report data for both the agency overall and for each principal component of the agency.
e. Consultation – the procedure whereby the agency responding to a FOIA request first forwards a record to another agency for its review because that agency has an interest in the document. Once the agency in receipt of the consultation finishes its review of the record, it responds back to the agency that forwarded it. That Agency, in turn, will then respond to the FOIA requester.
f. Exemption 3 Statute – a federal statute that exempts information from disclosure and which the agency relies on to withhold information under subsection (b)(3) of the FOIA.
g. FOIA Request – a FOIA request is generally a request to a federal agency for access to records concerning another person (i.e., a “third-party” request), or concerning an organization, or a particular topic of interest. FOIA requests also include requests made by requesters seeking records concerning themselves (i.e., “first-party” requests) when those requesters are not subject to the Privacy Act, such as non-U.S. citizens. Moreover, because all first-party requesters should be afforded the benefit of both the access provisions of the FOIA as well as those of the Privacy Act, FOIA requests also include any first-party requests where an agency determines that it must search beyond its Privacy Act “systems of records” or where a Privacy Act exemption applies, and the agency looks to FOIA to afford the greatest possible access. All requests which require the agency to utilize the FOIA in responding to the requester are included in this Report. Additionally, a FOIA request includes records referred to the agency for processing and direct response to the requester. It does not, however, include records for which the agency has received a consultation from another agency. (Consultations are reported separately in Section XII of this Report.)
h. Full Grant - an agency decision to disclose all records in full in response to a FOIA request.
i. Full Denial - an agency decision not to release any records in response to a FOIA request because the records are exempt in their entireties under one or more of the FOIA exemptions, or because of a procedural reason, such as when no records could be located.
j. Median Number - Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
k. Multi-Track Processing – a system in which simple requests requiring relatively minimal review are placed in one processing track and more voluminous and complex requests are placed in one or more other tracks. Requests granted expedited processing are placed in yet another track. Requests in each track are processed on a first in/first out basis.
3. Concise descriptions of the nine FOIA exemptions:
- Exemption 1: classified national defense and foreign relations information
- Exemption 2: internal agency rules and practices
- Exemption 3: information that is prohibited from disclosure by another federal law
- Exemption 4: trade secrets and other confidential business information
- Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
- Exemption 6: information involving matters of personal privacy
- Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production of those records
- Exemption 8: information relating to the supervision of financial institutions
- Exemption 9: geological information on wells
Statute | Type of Information Withheld | Case Citation | Number of Times Relied upon per Component | Total Number of Times Relied upon by Agency |
Public Health Security and Bioterrorism Preparedness and Response Act, 2002 (P.L. 107-188) 21U.S.C. § 350d(a)(b) | Food Registration Document | 1 | ||
Food and Drug Cosmetic Act, as amended (21 U.S.C. § 331(j)) | Trade Secret | 35 | ||
18 U.S.C. 208 | Financial disclosure forms/personal financial interest | 4 | ||
41 U.S.C. 253b(m) | Technical proposal not incorporated into a final contract | Hornbostel v. U.S. Dep't. of Interior, 305 F.Supp.2d 21 (D.D.C. 2003) Center for Pub. Integrity v. Department of Energy, 191 F.Supp.2d 187 (D.D.C. 2002). | 15 |
- Received, Processed, and Pending FOIA Requests
Number of Requests Pending as of Start of Fiscal Year | Number of Requests Received in Fiscal Year | Number of Requests Processed in Fiscal Year | Number of Requests Pending as of End of Fiscal Year | |
OS | ||||
ACF | ||||
AOA | ||||
CMS | ||||
OIG | ||||
OPHS/PSC | ||||
AHRQ | ||||
CDC | ||||
FDA | 4880 | 9690 | 9879 | 4691 |
HRSA | ||||
IHS | ||||
NIH | ||||
SAMHSA | ||||
HHS Total |
Number of Full Grants | Number of Partial Grants/ Partial Denials | Number of Full Denials Based on Exemptions | Number of Full Denials Based on Reasons Other than Exemptions | Total | |||||||||
No Records | All Records Referred to another Component or Agency | Request Withdrawn | Fee-Related Reason | Records not Reasonably Described | Improper FOIA Request for Other Reason | Not Agency Record | Duplicate Request | Other “Explain in chart below” | |||||
OS | |||||||||||||
ACF | |||||||||||||
AOA | |||||||||||||
CMS | |||||||||||||
OIG | |||||||||||||
OPHS/PSC | |||||||||||||
AHRQ | |||||||||||||
CDC | |||||||||||||
FDA | 7,281 | 130 | 98 | 655 | 19 | 828 | 241 | 7 | 69 | 5 | 189 | 357 | 9,879 |
HRSA | |||||||||||||
IHS | |||||||||||||
NIH | |||||||||||||
SAMHSA | |||||||||||||
HHS Total |
Component | Description of “Other” Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied upon | TOTAL |
OS | ||
ACF | ||
AOA | ||
CMS | ||
OIG | ||
OPHS/PSC | ||
AHRQ | ||
CDC | ||
FDA | Available on the Internet | 357 |
HRSA | ||
IHS | ||
NIH | ||
SAMHSA | ||
HHS Total |
Ex. 1 | Ex.2 | Ex.3 | Ex.4 | Ex.5 | Ex.6 | Ex. 7(A) | Ex. 7(B) | Ex. 7(C) | Ex. 7(D) | Ex. 7(E) | Ex. 7(F) | Ex. 8 | Ex. 9 | |
OS | 0 | 0 | 0 | |||||||||||
ACF | 0 | 0 | 0 | |||||||||||
AOA | 0 | 0 | 0 | |||||||||||
CMS | 0 | 0 | 0 | |||||||||||
OIG | 0 | 0 | 0 | |||||||||||
OPHS/PSC | 0 | 0 | 0 | |||||||||||
AHRQ | 0 | 0 | 0 | |||||||||||
CDC | 0 | 0 | 0 | |||||||||||
FDA | 0 | 5 | 36 | 104 | 24 | 47 | 103 | 0 | 9 | 3 | 3 | 1 | 0 | 0 |
HRSA | 0 | 0 | 0 | |||||||||||
IHS | 0 | 0 | 0 | |||||||||||
NIH | 0 | 0 | 0 | |||||||||||
SAMHSA | 0 | 0 | 0 | |||||||||||
HHS Total | 0 | 0 | 0 |
Number of Appeals Pending as of Start of Fiscal Year | Number of Appeals Received in Fiscal Year | Number of Appeals Processed in Fiscal Year | Number of Appeals Pending as of End of Fiscal Year | |
OS | ||||
CMS | ||||
HHS Total |
Number Affirmed on Appeal | Number Partially Affirmed & Partially Reversed/Remanded on Appeal | Number Completely Reversed/Remanded on Appeal | Number of Appeals Closed for Other Reasons | TOTAL | |
OS | |||||
CMS | |||||
HHS Total |
Ex. 1 | Ex. 2 | Ex. 3 | Ex. 4 | Ex. 5 | Ex. 6 | Ex. 7(A) | Ex. 7(B) | Ex. 7(C) | Ex. 7(D) | Ex. 7(E) | Ex. 7(F) | Ex. 8 | Ex. 9 | |
OS | ||||||||||||||
CMS | ||||||||||||||
HHS Total |
No Records | Records Referred at Initial Request Level | Request Withdrawn | Fee-Related Reason | Records Not Reasonably Described | Improper Request For Other Reasons | Not Agency Record | Duplicate Request Or Appeal | Request In Litigation | Appeal Based Solely on Denial of Request For Expedited Processing | Other Explain in Chart Below | |
OS | |||||||||||
CMS | |||||||||||
HHS Total |
Description of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied upon | TOTAL | |
OS | ||
CMS | ||
HHS Total |
Median Number of Days | Average Number of Days | Lowest Number of Days | Highest Number of Days | |
OS | ||||
CMS | ||||
HHS Overall |
10th Oldest Appeal | 9th | 8th | 7th | 6th | 5th | 4th | 3rd | 2nd | Oldest Appeal | ||
OS | Date of Receipt of Ten Oldest Appeals | ||||||||||
Number of Days Pending | |||||||||||
CMS | Date of Receipt of Ten Oldest Appeals | ||||||||||
Number of Days Pending | |||||||||||
HHS Overall | Date of Receipt of Ten Oldest Appeals | ||||||||||
Number of Days Pending |
A. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted[1]
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[2] | ||||||||||||
ACF | ||||||||||||
AOA | ||||||||||||
CMS | ||||||||||||
OIG | ||||||||||||
OPHS/PSC | ||||||||||||
AHRQ | ||||||||||||
CDC | ||||||||||||
FDA | 8 | 53.1 | 1 | 1401 | 122 | 248.6 | 1 | 1446 | 40 | 40 | 15 | 65 |
HRSA[3] | ||||||||||||
IHS | ||||||||||||
NIH[4] | ||||||||||||
SAMHSA | ||||||||||||
HHS Overall |
B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted[5]
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[6] | ||||||||||||
ACF | ||||||||||||
AOA | ||||||||||||
CMS | ||||||||||||
OIG | ||||||||||||
OPHS/PSC | ||||||||||||
AHRQ | ||||||||||||
CDC | ||||||||||||
FDA | 8 | 53.3 | 1 | 1401 | 124 | 250.2 | 1 | 1446 | 40 | 40 | 15 | 65 |
HRSA[7] | ||||||||||||
IHS | ||||||||||||
NIH[8] | ||||||||||||
SAMHSA | ||||||||||||
HHS Overall |
C. Processed Requests – Response Time in Day Increments
1–20 Days | 21-40 Days | 41–60 Days | 61–80 Days | 81-100 Days | 101-120 Days | 121-140 Days | 141-160 Days | 161-180 Days | 181-200 Days | 201-300 Days | 301-400 Days | 401+ Days | TOTAL | |
OS | ||||||||||||||
ACF | ||||||||||||||
AOA | ||||||||||||||
CMS | ||||||||||||||
OIG | ||||||||||||||
OPHS/PSC | ||||||||||||||
AHRQ | ||||||||||||||
CDC | ||||||||||||||
FDA | 805 | 404 | 225 | 168 | 124 | 72 | 73 | 61 | 38 | 57 | 191 | 209 | 1208 | 3635 |
HRSA | ||||||||||||||
IHS | ||||||||||||||
NIH | ||||||||||||||
SAMHSA | ||||||||||||||
HHS Total |
1–20 Days | 21-40 Days | 41–60 Days | 61–80 Days | 81-100 Days | 101-120 Days | 121-140 Days | 141-160 Days | 161-180 Days | 181-200 Days | 201-300 Days | 301-400 Days | 401+ Days | TOTAL | |
OS | ||||||||||||||
ACF | ||||||||||||||
AOA | ||||||||||||||
CMS | ||||||||||||||
OIG | ||||||||||||||
OPHS/PSC | ||||||||||||||
AHRQ | ||||||||||||||
CDC | ||||||||||||||
FDA | 1 | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2 |
HRSA | ||||||||||||||
IHS | ||||||||||||||
NIH | ||||||||||||||
SAMHSA | ||||||||||||||
HHS Total |
4. Pending Requests – All Pending Perfected Requests[12]
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[13] | |||||||||
ACF | |||||||||
AOA | |||||||||
CMS | |||||||||
OIG | |||||||||
OPHS/PSC | |||||||||
AHRQ | |||||||||
CDC | |||||||||
FDA | 623 | 273 | 108.3 | 4,034 | 240 | 254.9 | 0 | 0 | 0 |
HRSA[14] | |||||||||
IHS | |||||||||
NIH[15] | |||||||||
SAMHSA | |||||||||
HHS Total |
5. Pending Requests – Ten Oldest Pending Perfected Requests
10th Oldest Request and Number of Days Pending | 9th | 8th | 7th | 6th | 5th | 4th | 3rd | 2nd | Oldest Request and Number of Days Pending | |
OS | ||||||||||
ACF | ||||||||||
AOA | ||||||||||
CMS | ||||||||||
OIG | ||||||||||
OPHS/PSC | ||||||||||
AHRQ | ||||||||||
CDC | ||||||||||
FDA | 929 1/22/07 | 1093 5/23/06 | 1107 5/3/06 | 1107 5/3/06 | 1141 3/16/06 | *1156 2/23/06 | 1181 1/18/06 | 1207 12/7/05 | 1512 9/17/04 | 1612 4/27/04 |
HRSA | ||||||||||
IHS | ||||||||||
NIH | ||||||||||
SAMHSA | ||||||||||
HHS Total |
1. Requests for Expedited Processing
Number Granted | Number Denied | Median Number of Days to Adjudicate | Average Number of Days to Adjudicate | Number Adjudicated Within Ten Calendar Days | |
OS | |||||
ACF | |||||
AOA | |||||
CMS | |||||
OIG | |||||
OPHS/PSC | |||||
AHRQ | |||||
CDC | |||||
FDA | 2 | 105 | 17 | 40.6 | 29 |
HRSA | |||||
IHS | |||||
NIH | |||||
SAMHSA | |||||
HHS Total |
2. Requests for Fee Waiver
Number Granted | Number Denied | Median Number of Days to Adjudicate | Average Number of Days to Adjudicate | |
OS | ||||
ACF | ||||
AOA | ||||
CMS | ||||
OIG | ||||
OPHS/PSC | ||||
AHRQ | ||||
CDC | ||||
FDA | 287 | 28 | 12 | 25.3 |
HRSA | ||||
IHS | ||||
NIH | ||||
SAMHSA | ||||
HHS Total |
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 | ||||||
ACF | ||||||
AOA | ||||||
CMS | ||||||
OIG | ||||||
OPHS/PSC | ||||||
AHRQ | ||||||
CDC | ||||||
FDA | 89.75 | 22.63 | 112.38 | 24459583.93 | 468656.00 | $24,928,239.93 |
HRSA | ||||||
IHS | ||||||
NIH | ||||||
SAMHSA | ||||||
HHS Total |
Total Amount of Fees Collected | Percentage of Total Costs | |
OS | ||
ACF[16] | ||
AOA | ||
CMS | ||
OIG | ||
OPHS/PSC | ||
AHRQ | ||
CDC | ||
FDA | 289,402.60 | 1.1% |
HRSA | ||
IHS | ||
NIH | ||
SAMHSA | ||
HHS Total |
A. Backlogs of FOIA Requests and Administrative Appeals
Number of Backlogged Requests as of End of Fiscal Year | Number of Backlogged Appeals as of End of Fiscal Year | |
OS | ||
ACF | ||
AOA | ||
CMS | ||
OIG | ||
OPHS/PSC | ||
AHRQ | ||
CDC | ||
FDA | 4691 | 0 |
HRSA | ||
IHS | ||
NIH | ||
SAMHSA | ||
HHS Total |
B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations
Number of Consultations Received from Other Agencies that Were Pending at Your 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 Your Agency During the Fiscal Year | Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year | |
OS | ||||
ACF | ||||
AOA | ||||
CMS | ||||
OIG | ||||
OPHS/PSC | ||||
AHRQ | ||||
CDC | ||||
FDA | 0 | 13 | 13 | 0 |
HRSA | ||||
IHS | ||||
NIH | ||||
SAMHSA | ||||
HHS Total |
C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency
10th Oldest Request and Number of Days Pending | 9th | 8th | 7th | 6th | 5th | 4th | 3rd | 2nd | Oldest Request and Number of Days Pending | |
OS | ||||||||||
ACF | ||||||||||
OAO | ||||||||||
CMS | ||||||||||
OIG | ||||||||||
OPHS/PSC | ||||||||||
AHRQ | ||||||||||
CDC | ||||||||||
FDA | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
HRSA | ||||||||||
IHS | ||||||||||
NIH | ||||||||||
SAMHSA | ||||||||||
HHS Total |
D. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged
Number of Requests Received | Number of Requests Processed | |||
Number Received During Fiscal Year from Last Year’s Annual Report | Number Received During Fiscal Year from Current Annual Report | Number Processed During Fiscal Year from Last Year’s Annual Report | Number Processed During Fiscal Year from Current Annual Report | |
OS | ||||
ACF | ||||
AOA | ||||
CMS | ||||
OIG | ||||
OPHS/PSC | ||||
AHRQ | ||||
CDC | ||||
FDA | *4880 | 9690 | *12127 | 9879 |
HRSA | ||||
IHS | ||||
NIH | ||||
SAMHSA | ||||
HHS Total |
Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report | Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report | |
OS | ||
ACF | ||
AOA | ||
CMS | ||
OIG | ||
OPHS/PSC | ||
AHRQ | ||
CDC | ||
FDA | *4880 | 4691 |
HRSA | ||
IHS | ||
NIH | ||
SAMHSA | ||
HHS Total |
E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged
Number of Appeals Received | Number of Appeals Processed | |||
Number Received During Fiscal Year from Last Year’s Annual Report | Number Received During Fiscal Year from Current Annual Report | Number Processed During Fiscal Year from Last Year’s Annual Report | Number Processed During Fiscal Year from Current Annual Report | |
OS | ||||
CMS | ||||
HHS Total |
Number of Backlogged Administrative Appeals as of End of the Fiscal Year from Previous Annual Report | Number of Backlogged Administrative Appeals as of End of the Fiscal Year from Current Annual Report | |
OS | ||
CMS | ||
HHS Total |