Freedom of Information Act Office
Freedom of Information Annual Report FY 2008
Get a Printable Copy of the FOIA Annual Report — FY 2008 (PDF - 299KB)
- AGENCY: National Institutes of Health
REPORT PREPARED BY: Susan R. Cornell, J.D.
TITLE: Freedom of Information Officer, National Institutes of Health
ADDRESS: Building 31 Room 5B35; 9000 Rockville Pike, Bethesda, MD 20892
PHONE NUMBER: 301-496-5633
ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB:
http://www.nih.gov/icd/od/foia/annualreports/index.htm
ADDRESS FOR PAPER COPIES OF THIS REPORT:
Building 31 Room 5B35; 9000 Rockville Pike, Bethesda, MD 20892 - HOW TO MAKE A FOIA REQUEST: http://www.nih.gov/icd/od/foia/index.htm#requests
- Names, addresses and telephone numbers of all individual agency
components and offices that process FOIA requests:
NIH FREEDOM OF INFORMATION COORDINATORS
IC | BLDG | ROOM | PHONE |
---|---|---|---|
NCI | 31 9000 Rockville Pike Bethesda, MD 20892 |
10A34 | 301-496-2999 |
NHGRI | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NINR | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NCRR | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NEI | 31 9000 Rockville Pike Bethesda, MD 20892 |
6A19 | 301-496-4334 |
NHLBI | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NIA | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NIAAA | 5635 Fishers Lane Bethesda, MD 20892 |
3111 | 301-443-8771 |
NIAID | 6610 Rockledge Drive Bethesda, MD 20817 |
2600 | 301-451-5109 |
NIAMS | 6701 Democracy Blvd. Bethesda, MD 20892 |
854 | 301-594-3504 |
NIBIB | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NICHD | 31 9000 Rockville Pike Bethesda, MD 20892 |
2A32 | 301-496-5135 |
NIDA | 6001 Executive Blvd. Rockville, MD 20852 |
5230 | 301-443-6036 |
NIDCD | 6120 Executive Blvd. Rockville, MD 20852 |
516 | 301-496-3033 |
NIDDK | 6707 Democracy Blvd. Bethesda, MD 20817 |
652 | 301-496-2978 |
NIDCR | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NIEHS | Mail Drop NH-10 Box 12233 Research Triangle Pk., NC 27709 |
919-541-3411 | |
NIGMS | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NIMH | 6001 Executive Blvd. Rockville, MD 20852 |
8209 | 301-443-6130 |
NINDS | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NLM | 38A 9000 Rockville Pike Bethesda, MD 20892 |
2N07 | 301-402-9705 |
NCCAM | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
NCMHD | 6705 Rockledge Drive Bethesda, MD 20892 |
6070 | 301-496-9737 |
CC | 10 Cloister Court Bethesda, MD 20892 |
61 | 301-451-8330 |
CIT | 10401 Fernwood Rd. Bethesda, MD 20817 | 3NE52D | 301-594-9518 |
OFM | 2115 East Jefferson St. Rockville, MD 20892 |
3C-302A | 301-496-9498 |
OALM | 6011 Executive Blvd. Rockville, MD 20852 |
625M | 301-435-0855 |
CSR | 6701 Rockledge Dr. Bethesda, MD 20817 |
3030 | 301-435-1856 |
FIC | 6705 Rockledge Dr. Betheseda, MD 20892 |
6070 | 301-496-9737 |
OBA | 6705 Rockledge Dr. Rockville, MD 20817 |
757 | 301-435-8267 |
OER | 6705 Rockledge Dr. Bethesda, MD 20892 |
4184 | 301-402-1058 |
ORS/ORF | 31 9000 Rockville Pike Bethesda, MD 20892 |
2B37 | 301-402-3570 |
OTT | 6011 Executive Blvd. Rockville, MD 20852 |
325 | 301-435-5239 |
- Brief description of why some requests are not granted: Requests are not granted if the information requested falls within one of the statute's enumerated exemptions, the information requested falls under the jurisdiction of another DHHS component (such requests are forwarded); or if no documents exist which are responsive to the request.
- ACRONYMS, DEFINITIONS, AND EXEMPTIONS:
- Agency-specific acronyms or other terms:
NCI | National Cancer Institute |
NHGRI | National Human Genome Research Institute |
NINR | National Institute of Nursing Research |
NCRR | National Center for Research Resources |
NEI | National Eye Institute |
NHLBI | National Heart, Lung, and Blood Institute |
NIA | National Institute on Aging |
NIAAA | National Institute on Alcohol Abuse and Alcoholism |
NIAID | National Institute of Allergy and Infectious Diseases |
NIAMS | National Institute on Arthritis and Musculoskeletal and Skin Diseases |
NIBIB | National Institute of Biomedical Imaging and Bioengineering |
NICHD | National Institute of Child Health and Human Development |
NIDA | National Institute on Drug Abuse |
NIDCD | National Institute on Deafness and Other Communication Disorders |
NIDDK | National Institute of Diabetes and Digestive and Kidney Diseases |
NIDCR | National Institute of Dental and Craniofacial Research |
NIEHS | National Institute of Environmental Health Sciences |
NIGMS | National Institute of General Medical Sciences |
NIMH | National Institute of Mental Health |
NINDS | National Institute of Neurological Disorders and Stroke |
NLM | National Library of Medicine |
CC | Warren Grant Magnuson Clinical Center |
CIT | Center for Information Technology |
NCCAM | National Center for Complementary and Alternative Medicine |
NCMHD | National Center on Minority Health and Health Disparities |
OFM | Office of Financial Management |
OALM | Office of Acquisition and Logistics Management |
CSR | Center for Scientific Review |
FIC | Fogarty International Center |
OBA | Office of Biotechnology Activities |
OER | Office of Extramural Research |
OMA | Office of Management Assessment |
ORF | Office of Research Facilities |
ORS | Office of Research Services |
OTT | Office of Technology Transfer |
- Basic terms (from FOIA UPDATE, Summer 1997):
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.)
- Full Grant - an agency decision to disclose all records in full in response to a FOIA request.
- 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.
- Median Number - the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
- 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.
- Expedited Processing – an agency will process a FOIA request on an expedited basis when a requester satisfies the requirements for expedited processing as set forth in the statute and in agency regulations.
- Simple Request – a FOIA request that an agency using multi-track processing places in its fastest (non-expedited) track based on the low volume and/or simplicity of the records requested.
- Complex Request – a FOIA request that an agency using multi-track processing places in a slower track based on the high volume and/or complexity of the records requested.
- Partial Grant/Partial Denial – in response to a FOIA request, an agency decision to disclose portions of the records and to withhold other portions that are exempt under the FOIA, or to otherwise deny a portion of the request for a procedural reason.
- Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
- Perfected Request – a request for records which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.
- Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
- Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.
- Time Limits – the time period in the statute for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request).
- Include the following 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 (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, (E) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or (F) could reasonably be expected to endanger the life or physical safety of any individual
- Exemption 8: information relating to the supervision of financial institutions
- Exemption 9: geological information on wells
- ACRONYMS, DEFINITIONS, AND EXEMPTIONS: EXEMPTION 3 STATUTES
Statute | Type of Information Withheld | Case Citation | Total # of Times Relied upon by Agency |
35 U.S.C. § 122 | Information contained in a pending or otherwise non-issued patent application | Irons and Sears v. Dann, 606 F. 2d 1215 (D.C. Cir 1979; Leeds v. Quigg, 720 F. Supp. 193 (D.D.C.1989) | 1 |
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) | 1 |
5 U.S.C. App 4 § 107(a)(2) | OGE Form 450 (Confidential Financial Disclosure Report) | Meyerhoff v. U.S. Envtl. Prot. Agency, 958 F.2d 1498 (9th Cir. 1992) | 1 |
- FOIA Requests
- Numbers of initial requests (Col.1 + Col. 2 – Col. 3 = Col. 4):
# Requests Pending as of Start of Fiscal Year | # of Requests Rec'd During the Fiscal Year | # of Requests Processed During the Fiscal Year | # of Requests Pending as f the End of the Fiscal Year |
---|---|---|---|
1701 | 1146 | 1164 | 152 |
- (1) Disposition of FOIA Requests:
# of Full Grants | 738 |
# of Partial Grants/Partial Denials | 57 |
# of Full Denials Based on Exemptions including Glomar | 17 |
# of Full Denials – No Records | 129 |
# of Full Denials – Records Referred to Another Component or Agency | 24 |
# of Full Denials – Request Withdrawn | 141 |
# of Full Denials – Fee Related Reason | 37 |
# of Full Denials – Records not Reasonably Described | 11 |
# of Full Denials – Improper FOIA Request for Other Reason | 0 |
# of Full Denials – Not Agency Record | 8 |
# of Full Denials – Duplicate Request | 2 |
# of Full Denials – Other (see below) | 0 |
Total Requests Processed | 1164 |
- (2) Disposition of FOIA Requests – Other N/A
- (3) Disposition of FOIA Requests - Number of times exemptions applied
Exemption 1 | 0 |
Exemption 2 | 1 |
Exemption 3 | 3 |
Exemption 4 | 16 |
Exemption 5 | 24 |
Exemption 6 | 38 |
Exemption 7(A) | 1 |
Exemption 7(B) | 0 |
Exemption 7(C) | 5 |
Exemption 7(D) | 0 |
Exemption 7(E) | 0 |
Exemption 7(F) | 0 |
Exemption 8 | 0 |
Exemption 9 | 0 |
- ADMINISTRATIVE APPEALS OF INITIAL
DETERMINATIONS OF
FOIA REQUESTS
See Department of Health and Human Services Annual Report
- FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS
- Processed Requests – Response Time for All Processed Perfected Requests
Perfected Requests | Expedited Processing | ||||||
Median # days | Avg # days | Lowest # days | Highest # days | Median # days | Avg # days | Lowest # days | Highest # days |
20 | 40 | 1 | 721 | 0 | 0 | 0 | 0 |
- Processed Requests – Response Time for Perfected Requests in Which Information Was Granted
Perfected Requests | Expedited Processing | ||||||
Median # days | Avg # days | Lowest # days | Highest # days | Median # days | Avg # days | Lowest # days | Highest # days |
20 | 40 | 1 | 721 | 0 | 0 | 0 | 0 |
- Processed Requests – Response Time in Day Increments
All Requests | # of Requests Processed |
1-20 days | 583 |
21-40 days | 267 |
41-60 days | 94 |
61-80 days | 63 |
81-100 days | 43 |
101-120 | 26 |
121-140 days | 22 |
141-160 days | 10 |
161-180 days | 10 |
181-200 days | 14 |
201-300 days | 18 |
301-400 days | 8 |
401+ | 6 |
Total | 1164 |
Expedited Processing
All Requests | # of Requests Processed |
1-20 days | 0 |
21-40 days | 0 |
41-60 days | 0 |
61-80 days | 0 |
81-120 days | 0 |
121-140 days | 0 |
141-160 days | 0 |
161-180 days | 0 |
181-200 days | 0 |
201-300 days | 0 |
301-400 days | 0 |
401+ | 0 |
Total | 0 |
- Pending Requests – All Pending Perfected Requests
Perfected Requests | Expedited Processing | ||||
# Pending | Median # days | Avg # days | # Pending | Median # days | Avg # days |
152 | 36 | 93 | 0 | 0 | 0 |
- Pending Requests – Ten Oldest Pending Perfected Requests
10th Oldest Request Date rec'd / # days pending |
12/20/06 / 448 |
9'th | 12/20/06 / 448 |
8th | 12/20/06 / 448 |
7'th | 11/27/06 / 465 |
6'th | 09/14/06 / 514 |
5'th | 6/20/06 / 574 |
4'th | 06/15/06 / 577 |
3'rd | 04/04/06 / 628 |
2'nd | 04/02/06 / 629 |
Oldest Request Date Rec'd / # of days pending |
08/26/05 / 777 |
- REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER
- Requests for Expedited Processing
# Granted | # Denied | Median # Days to Adjudicate | Avg. # Days to Adjudicate | # Adjudicated w/i 10 calendar days |
0 | 1 | 2 | 2 | 1 |
- Requests for Fee Waiver
# Granted | # Denied | Median # Days to Adjudicate | Avg. # Days to Adjudicate |
0 | 3 | 41 | 35 |
- FOIA PERSONNEL AND COSTS
- Personnel
Personnel | |
Full-time FOIA Employees | 13 |
Equivalent Full-time FOIA Employees | 17.79 |
Total Full-time FOIA staff | 30.79 |
- Costs
Costs | |
Processing Costs | 3,745,304 |
Litigation-related Costs | 29,633 |
Total Costs | 3,774,937 |
- FEES COLLECTED FOR PROCESSING REQUESTS
- Total Amount of fees collected: $ 80,666
- Percentage of total cost: 2.1 %
- FOIA REGULATIONS
http://www.hhs.gov/foia/45cfr5.html.
- BACKLOGS, CONSULTATIONS, AND COMPARISONS
- Backlogs of FOIA Requests and Administrative Appeals
# of Backlogged Requests as of End of the FY | # of Backlogged Appeals as of the End of the FY |
101 | See Department of Health and Human Services Annual Report |
- Consultations on FOIA Requests – Received, Processed, and Pending Consultations (See Chart)
# of Consultations Rec'd from Other Agencies that were Pending at the Start of the FY | # of Consultations Rec'd from Other Agencies During the FY | # of Consultations Rec'd from Other Agencies that Were Processed During the FY | # of Consultations Rec'd from Other Agencies that were Pending at the End of the FY |
0 | 3 | 3 | 0 |
- Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency: None Pending
- Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged
Number of Requests Received | Number of Requests Processed | ||
# Rec'd in FY 2007 (from Annual Rpt) |
# Rec'd in FY 2008 (from Annual Rpt) |
# Processed during FY 2007 (from Annual Rpt) |
# Processed during FY 2008 (from Annual Rpt) |
11802 | 1146 | 1252 | 1164 |
- Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged
See Department of Health and Human Services Annual Report
1 In its FY 2007 Annual Report, NIH reported 576 requests pending as of the end of that fiscal year. That figure included 1'st party requests, which have now been subtracted pursuant to current Department of Justice guidance.
2 The number of 1'st Party requests has been subtracted from the FY 2007 figures per current Department of Justice guidance.
Get a Printable Copy of the FOIA Annual Report — FY 2008 (PDF - 299KB)
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