HHS Fiscal Year 2011 Freedom of Information Annual Report

Contents

  1. BASIC INFORMATION REGARDING REPORT [XML]
  2. HOW TO MAKE A FOIA REQUEST
  3. ACRONYMS, DEFINITIONS, AND EXEMPTIONS
  4. Exemption 3 Statutes
  5. FOIA Requests
  6. Administrative Appeals of Initial Determinations of FOIA Requests
  7. FOIA Requests: Response Time for Processed and Pending Requests
  8. Requests for Expedited Processing and Requests for Fee Waiver
  9. FOIA Personnel and Costs
  10. Fees Collected for Processing Requests
  11. FOIA Regulations
  12. Backlogs, Consultations, and Comparisons

FREEDOM OF INFORMATION ANNUAL REPORT — FY 2011

I. BASIC INFORMATION REGARDING REPORT

1. Name, title, address, and telephone number of person(s) to be contacted with questions about the Report.

Robert Eckert
Director, Freedom of Information/Privacy Acts Division
Office of the Assistant Secretary for Public Affairs
United Sates Department of Health and Human Services
330 C Street, S.W., Room 2221
Washington D.C. 20201
(202) 690-7453

2. ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB

3. ADDRESS FOR PAPER COPIES OF THIS REPORT

Contact Robert Eckert at the address or telephone number listed above.

**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:

II. HOW TO MAKE A FOIA REQUEST

Requests may be submitted electronically:

  • Submit a FOIA Request

    1. HHS and OPDIV Freedom of Information Officers/FOIA Requester Service Centers

    Health and Human Services (HHS)
    Freedom of Information Officer
    Mary E. Switzer Building, Room 2206
    330 C Street, S.W.
    Washington, D.C. 20201
    Phone: 202-690-7453

    Administration for Children and Families (ACF)
    Freedom of Information Officer
    901 D Street, S.W.
    7th Floor West Aerospace Building
    Washington, D.C. 20447
    Phone: 202-401-9215

    Agency for Healthcare Research and Quality (AHRQ)
    Freedom of Information Officer
    540 Gaither Road
    The Eisenberg Building, Room 3129
    Rockville, Maryland 20850
    Phone: 301-427-1866

    Administration on Aging (AOA)
    Freedom of Information Officer
    Washington, D.C. 20201
    Phone: 202-357-3540

    Centers for Disease Control and Prevention (CDC) and/or
    Agency for Toxic Substances and Disease Registry (ATSDR)
    Freedom of Information Officer
    1600 Clifton Road, N.E., MS D-54
    Atlanta, Georgia 30333
    Phone: (770) 488-6399

    Centers for Medicare & Medicaid Services (CMS)
    Freedom of Information Officer
    North Building, Room N2-20-06
    7500 Security Boulevard
    Baltimore, Maryland 21244
    Phone: 410-786-5353

    Food and Drug Administration (FDA)
    Freedom of Information Officer
    12420 Parklawn Drive, Room 1050
    Rockville, MD 20850
    Phone: 301-827-6567

    Health Resources and Services Administration (HRSA)
    Freedom of Information Officer
    Parklawn Building, Room 14-15
    5600 Fishers Lane Rockville, Maryland 20857
    Phone: 301-443-3376

    Indian Health Service (IHS)
    Freedom of Information Officer
    12300 Twinbrook Parkway, Suite 450
    Twinbrook II, Metro Plaza Building
    Rockville, Maryland 20857
    Phone: 301-443-1116

    National Institutes of Health (NIH)
    Freedom of Information Officer
    Building 31, Room 5B35 9000 Rockville Pike
    Bethesda, Maryland 20892
    Phone: 301-496-5633

    Office of Inspector General (OIG)
    Freedom of Information Officer
    Cohen Building, Suite 1062
    330 Independence Ave, S.W.
    Washington, D.C. 20201
    Phone: 202-619-2541

    Office of the Assistant Secretary for Health (OASH)
    Freedom of Information Officer
    7700 Wisconsin Avenue, Suite 920
    Bethesda, MD 20814
    Phone: 301-492-4800

    Program Support Center (PSC)
    Freedom of Information Officer
    7700 Wisconsin Avenue, Suite 920
    Bethesda, MD 20814
    Phone: 301-492-4800

    Substance Abuse and Mental Health Services Administration (SAMHSA)
    Freedom of Information Officer
    1 Choke Cherry Road, Room 8-1042
    Rockville, Maryland 20857
    Phone: 240-276-2137

    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.

    III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS:

    1. 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 Service
    • NIH - National Institutes of Health
    • OIG - Office of the Inspector General
    • OASH - Office of the Assistant Secretary for Health
    • PRO - Professional Review Organization
    • PSC - Program Support Center
    • SAMHSA - Substance Abuse and Mental Health Services Administration

    2. Basic Terms (from FOIA UPDATE, Summer 1997):

    1. 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.
    2. 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.
    3. 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.
    4. 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.
    5. 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.
    6. 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.
    7. 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.)
    8. Full Grant - an agency decision to disclose all records in full in response to a FOIA request.
    9. 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.
    10. Median Number - the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
    11. 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.
      1. 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.
      2. 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.
      3. 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.
    12. 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.
    13. Pending Request or Pending Administrative Appeal - a request or administrative appeal for which an agency has not taken final action in all respects.
    14. 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.
    15. Processed Request or Processed Administrative Appeal - a request or administrative appeal for which an agency has taken final action in all respects.
    16. Range in Number of Days - the lowest and highest number of days to process requests or administrative appeals.
    17. 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).

    3. Concise descriptions of the nine FOIA exemptions:

    1. Exemption 1: classified national defense and foreign relations information
    2. Exemption 2: internal agency rules and practices
    3. Exemption 3: information that is prohibited from disclosure by another federal law
    4. Exemption 4: trade secrets and other confidential business information e. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
    5. Exemption 6: information involving matters of personal privacy
    6. Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production of those records
      1. could reasonably be expected to interfere with enforcement proceedings,
      2. would deprive a person of a right to a fair trial or an impartial adjudication,
      3. could reasonably be expected to constitute an unwarranted invasion of personal privacy,
      4. could reasonably be expected to disclose the identity of a confidential source,
      5. would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or
      6. could reasonably be expected to endanger the life or physical safety of any individual
    7. Exemption 8: information relating to the supervision of financial institutions
    8. Exemption 9: geological information on wells

    IV: Exemption 3 Statutes

    Statute Information Withheld Case Citation Component Times Relied upon by Component
    5 U.S.C. app. § 107(a) (Ethics in Government Act of 1978) Financial disclosure information pertaining to certain government employees Meyerhof v. EPA, 948 F.2d 1498, 1500-02 (9th Cir. 1992 NIH – 1 FDA – 2 3
    21 U.S.C. § 331(j) (Food Drug and Cosmetic Act) Trade secrets Anderson v. HHS, 907 F.2d 936, 950-51 (10th Cir. 1998). FDA – 24 24
    21 U.S.C. § 350d(a)(b) Food Registration Documents None FDA – 5 5
    41 U.S.C. § 423(a)(1) Procurement Integrity Act) Contractor bid or proposal information; source selection information Legal & Safety Employer Research, Inc. v. U.S. Dep't of the Army, No. Civ. S001748, 2001 WL 34098652, at *3-4 (E.D. Cal. May 4, 2001) (dictum) CDC – 4 4
    41 U.S.C. § 253b(m) Technical proposal not incorporated into a final contract Hornbostel v. U.S. Dep't of the Interior, 305 F. Supp. 2d 21, 30 (D.D.C. 2003), summary affirmance granted, No. 03-0527, 2004 WL 1900562 (D.C. Cir, Aug. 25, 2004). OS – 5
    DC – 8 CMS – 30 FDA – 6 OASH – 6    		 55
    42 U.S.C. § 242m(d) Identifiable information for certain research and statistical activities None CDC – 6 6
    42 U.S.C. § 262a(h) Select agent information. None OS – 1 CDC – 5 6
    42 U.S.C. § 300aa-12(d)(4)(A) (National Childhood Vaccine Injury Act of 1986) Medical records presented to a special master or the court in National Vaccine Injury Compensation Program Long V DOJ, No. 06-CV-1086, 2011 WL 113925, at *10 (N.D.N.Y. Mar. 25, 2011) HRSA – 1 1
    42 U.S.C § 11137(b) Adverse reports of health practitioners’' conduct. None HRSA – 2 2

    V: FOIA Requests

    A. Received, Processed and Pending FOIA Requests

    Component Requests Pending Start of Fiscal Year Requests Received in Fiscal Year Requests Processed in Fiscal Year Requests Pending End of Fiscal Year
    OS 560 1,396 1,592 364
    ACF 317 296 416 197
    AHRQ 7 77 81 3
    AOA 0 16 16 0
    CDC 323 1,128 1,088 363
    CMS 5,233 52,116 53,328 4,021
    FDA 4,691 9,301 10,602 3,390
    HRSA 31 332 330 33
    IHS 35 100 104 31
    NIH 85 1,198 1,204 79
    OIG 18 729 737 10
    OASH 158 576 529 205
    SAMHSA 154 166 152 168
    HHS Total 11,612 67,431 70,179 8,864

    B. (1) Disposition of FOIA Requests- All Processed Requests

    Com-
    ponent    		 Number
    of
    Full
    Grants    		 Number
    of
    Partial
    Grants/
    Partial
    Denials    		 Number
    of
    Full
    Denials
    Based
    on Exemp-
    tions    		 Number of Full Denials Based on Reasons Other than Exemp-
    tions    		 Total
    No Records All
    Records
    Refer-
    red
    to
    another Compo-
    nent
    or Agency    		 Request With-
    drawn    		 Fee-
    Rel-
    ated Reason    		 Records
    not
    Reason-
    ably
    Descri-
    bed    		 Impro-
    per
    FOIA
    Request
    for
    Other
    Reason    		 Not Agency Record Dupli-
    cate Request    		 Other Explain in chart below
    OS 99 146 28 56 798 17 1 5 77 46 9 310 1,592
    ACF 100 158 13 37 24 59 1 5 0 3 16 0 416
    AHRQ 15 33 0 23 0 3 0 0 0 2 0 5 81
    AOA 0 1 0 15 0 0 0 0 0 0 0 0 16
    CDC 213 247 28 275 55 146 33 20 26 4 24 14 1,088
    CMS 33,856 789 6,400 7,011 109 750 1,410 464 1,176 59 245 1,029 53,238
    FDA 7,473 170 77 707 8 1,386 213 1 93 2 201 271 10,602
    HRSA 262 33 3 12 17 1 0 0 0 2 0 0 330
    IHS 19 4 4 12 10 12 0 10 0 8 0 25 104
    NIH 775 102 11 139 12 113 20 16 6 9 1 0 1,204
    OIG 166 180 33 101 16 42 2 5 61 99 12 20 737
    OASH 131 138 19 90 71 30 0 20 9 0 0 21 529
    SAMHSA 64 82 0 2 1 1 0 0 0 0 2 0 152
    HHS Total 43,173 2,083 6,.616 8,480 1,121 2,563 1,680 576 1,448 234 510 1,695 70,179

    B. (2) Disposition of FOIA Requests – Other Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B (1)

    Component Description of “Other” Reasons for Denials from Chart
    B (1) & Number of Times Those Reasons Were Relied upon    		 TOTAL
    OS

    Administrative Closure - Based on Response and Non Response to Continued Interest calls and Correspondence

    		 310
    ACF

    N/A

    		 0
    AHRQ

    Referrals to other areas, State and private organizations

    		 5
    AOA

    N/A

    		 0
    CDC

    No response to still interested letters.

    		 14
    CMS

    Administrative Closures based on response/non-response due to continued interest calls and correspondence

    		 1,029
    FDA

    Available on internet

    		 271
    HRSA

    N/A

    		 0
    IHS

    No response to still interested letters.

    		 25
    NIH

    N/A

    		 0
    OIG

    No response to still interested letters.

    		 18
    OIG

    Administrative Closures.

    		 2
    OASH

    No response to still interested letter

    		 21
    SAMHSA

    N/A

    		 0

    Agency Overall

    		   1,695

    B. (3) Disposition of FOIA Requests - Number of Times Exemptions Applied

    Component 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 5 6 36 88 126 24 0 64 0 1 3 0 0
    ACF 0 0 0 63 16 110 0 0 0 0 0 0 0 0
    AHRQ 0 0 0 32 1 25 0 0 0 0 0 0 0 0
    AOA 0 0 0 0 0 1 0 0 0 0 0 0 0 0
    CDC 0 25 20 120 54 172 2 0 0 0 0 0 0 0
    CMS 0 54 30 152 62 4,929 2 2 175 6 26 1 0 0
    FDA 0 5 37 114 34 34 118 0 13 6 8 4 0 0
    HRSA 0 0 3 38 6 41 0 0 0 0 0 0 0 0
    IHS 0 0 0 6 3 6 0 0 0 0 0 0 0 0
    NIH 0 4 1 27 24 45 5 0 6 2 1 1 0 0
    OIG 0 1 0 63 63 164 29 0 124 1 27 0 0 0
    OASH 0 1 6 61 24 123 1 0 33 0 2 0 0 0
    SAMHSA 0 0 0 60 0 82 0 0 0 0 0 0 0 0
    HHS Total 0 95 103 772 375 5,858 181 2 415 15 65 9 0 0

    VI: Administrative Appeals of Initial Determinations of FOIA Requests

    A. Received, Processed, and Pending Administrative Appeals

    Component Appeals Pending Start of Fiscal Year Appeals Received in Fiscal Year Appeals Processed in Fiscal Year Appeals Pending End of Fiscal Year
    OS 211 191 199 203
    CMS 31 125 120 36
    HHS Total 242 316 319 239

    B. Disposition of Administrative Appeals – All Processed Appeals

    Component Affirmed on Appeal Partially Affirmed & Partially Reversed/Remanded on Appeal Completely Reversed/Remanded on Appeal Appeals Closed for Other Reasons TOTAL
    OS 109 14 13 63 199
    CMS 1 0 7 112 120
    HHS Total 110 14 20 175 319

    C. (1) Reasons for Denial on Appeal – Number of Times Exemptions Applied

      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 3 5 24 19 34 5 0 7 0 0 0 0 0
    CMS 0 0 0 0 1 0 0 0 0 0 0 0 0 0
    HHS Total 0 3 5 24 20 34 5 0 7 0 0 0 0 0

    C. (2) Reasons for Denial on Appeal – Reasons Other Than Exemptions

    Com-ponent No Records Records Referred at Initial Request Level Request With- drawn Fee-Related Reason Records not Reason- ably Described Improper Request for Other Reasons Not Agency Record Dup- licate Request or Appeal Request in Liti- gation Appeal Based Solely on Denial of Request for Expe- dited Pro- cessing Other *Explain in chart below
    OS 14 0 1 4 0 0 0 0 0 3 63
    CMS 1 0 89 0 0 3 3 1 1 0 14
    HHS Total 15 0 90 4 0 3 3 1 1 3 77

    C. (3) Reasons for Denial on Appeal – Other:

    Component Description of “Other” Reasons for Denial on Appeal Number of Times The Reasons Were Relied Upon TOTAL
    OS

    Appeal moot

    49

    63
    OS

    Appeal untimely

    2

    63
    OS

    Appeal upheld

    6

    63
    OS

    Dismissed, appellant lacks standing

    1

    63
    OS

    No response from appellant

    2

    63
    OS

    Remand

    3

    63
    CMS

    Administrative closure based on response/non-response due to continued interest calls and correspondence

    14

    14
    HHS TOTAL    

    77

    C. (4) Response time for administrative appeals (See chart)

    Component Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days
    OS 76 263 1 1,533
    CMS 145 189 2 1,892
    HHS Overall 76 200 1 1,892

    C. (5) Ten Oldest Pending Appeals (See Chart)

    Component 10th 9th 8th 7th 6th 5th 4th 3rd 2nd 1st
    OS Date of Receipt 8/31/
    2004    		 8/24/
    2004    		 7/29/
    2004    		 6/22/
    2004    		 6/22/
    2004    		 6/3/
    2004    		 6/1/
    2004    		 4/16/
    2004    		 2/24/
    2004    		 2/11/
    2004
    OS Days Pending 2,586 2,593 2,619 2,656 2,656 2,675 2,677 2,723 2,775 2,788
    CMS Date of Receipt 1/26/
    2011    		 1/24/
    2011    		 1/20/
    2011    		 12/23/
    2010    		 12/14/
    2010    		 12/10/
    2010    		 11/9/
    2010    		 11/4/
    2010    		 10/20/
    2010    		 10/4/
    2010
    CMS Days Pending 174 176 178 195 202 204 225 228 239 250
    HHS Overall Date of Receipt 8/31/
    2004    		 8/24/
    2004    		 7/29/
    2004    		 6/22/
    2004    		 6/22/
    2004    		 6/3/
    2004    		 6/1/
    2004    		 4/10/
    2004    		 2/24/
    2004    		 2/11/
    2004
    HHS Overall Days Pending 2,586 2,593 2,619 2,656 2,656 2,675 2,677 2,723 2,775 2,788

    VII. FOIA Requests: Response Time for Processed and Pending Requests

    A. Processed Requests – Response Time for All Perfected Requests1

    Component Simple: Med- ian Days Simple: Aver-age Days Simple: Low- est Days Simple: High- est Days Com- plex: Med- ian Days Com- plex: Aver- age Days Com- plex: Low- est Days Com- plex: High- est Days Expe- dited Pro- cess- ing: Med- ian Days Expe- dited Pro- cess- ing: Aver- age Days Expe- dited Pro-cess-ing: Low- est Days Expe- dited Pro-cess- ing: High- est Days
    OS2 0 0 0 0 600 185 1 1,619 0 0 0 0
    ACF 0 0 1 0 0 0 0 0 0 0 0 0
    AHRQ 9 13 1 79 35 47 1 207 0 0 0 0
    AOA 2 5 1 11 0 0 0 0 0 0 0 0
    CDC 26 44 <1 292 32 73 <1 1,000 0 0 0 0
    CMS 8 19 1 535 16 218 1 1,702 100 188 3 556
    FDA 9 49 1 1,305 162 248 1 1,760 53 64 31 109
    HRSA3 0 0 0 0 15 17 1 344 0 0 0 0
    IHS 15 13 3 25 85 96 62 160 0 0 0 0
    NIH4 14 24 1 459 0 0 0 0 0 0 0 0
    OIG 1 3 1 23 14 24 1 170 0 0 0 0
    OASH 13 26 1 349 174 263 6 925 0 0 0 0
    SAMHSA 17 34 1 78 34 58 4 135 0 0 0 0
    HHS Overall 15 35 <1 1,305 174 112 <1 1,760 60 70 3 556

    Footnotes:

    1.Some numbers based on estimates.

    2.OS - Uses single-track log.

    3.HRSA - Uses single-track log.

    4.NIH - Uses single-track log.

    B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

    Component Simple: Med- ian Days Simple: Aver-age Days Simple: Low- est Days Simple: High- est Days Com- plex: Med- ian Days Com- plex: Aver- age Days Com- plex: Low- est Days Com- plex: High- est Days Expe- dited Pro- cess- ing: Med- ian Days Expe- dited Pro- cess- ing: Aver- age Days Expe- dited Pro-cess-ing: Low- est Days Expe- dited Pro-cess- ing: High- est Days
    OS6 0 0 0 0 38 162 1 1,309 0 0 0 0
    ACF 730 120 1 1,465 515 37 15 1,029 30 22 1 60
    AHRQ 10 19 7 79 41 52 1 207 0 0 0 0
    AOA 0 4 4 4 0 0 0 0 0 0 0 0
    CDC 40 50.5 <1 155 52 88 <1 1,000 0 0 0 0
    CMS 10 20 1 519 125 237 2 1,596 54 107 3 460
    FDA 9 48.6 1 1,305 164 250 1 1,760 53 64.3 31 109
    HRSA7 0 0 0 0 15 17 1 344 0 0 0 0
    IHS 25 24 15 30 80 75 30 140 0 0 0 0
    NIH8 14 24 1 459 0 0 0 0 0 0 0 0
    OIG 2 5 1 23 23 31 1 170 0 0 0 0
    OASH 25 33 1 174 171 276 41 925 0 0 0 0
    SAMHSA 6 10 1 45 130 208 58 338 0 0 0 0
    HHS Overall 275 98 <1 1,465 171 198 <1 1,760 50 63 1 460

    Footnotes:

    5.Some numbers based on estimates.

    6.OS - Uses single-track log.

    7.HRSA - Uses single-track log.

    8.NIH - Uses single-track log.

    C. Processed Requests – Response Time in Day Increments

    1. Simple Requests

    Component 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
    OS9 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    ACF 6 5 11 18 17 11 28 10 19 20 78 9 154 386
    AHRQ 33 1 2 1 0 0 0 0 0 0 0 0 0 37
    AOA 16 0 0 0 0 0 0 0 0 0 0 0 0 16
    CDC 17 8 8 0 2 0 1 3 0 0 1 0 0 40
    CMS 38,244 5,083 1,933 1,113 796 412 260 156 152 84 266 90 52 48,641
    FDA 2,423 717 438 392 492 441 244 116 91 81 253 99 220 6,007
    HRSA10 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    IHS 14 8 9 11 4 3 3 2 4 0 0 0 0 58
    NIH11 788 251 65 30 19 9 11 7 9 5 7 2 1 1,204
    OIG 466 2 0 0 0 0 0 0 0 0 0 0 0 468
    OASH 235 74 29 28 11 3 4 0 3 0 1 1 0 389
    SAMHSA 1 32 17 0 0 0 0 0 0 0 0 0 0 50
    HHS Overall 42,243 6,181 2,512 1,593 1,341 879 551 294 278 190 606 201 427 57,296

    Footnotes:

    9.OS - Uses single-track log.

    10. HRSA - Uses single-track log.

    11. NIH - Uses single-track log.

    2. Complex Requests

    Component 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 966 80 53 37 19 11 7 8 6 7 22 31 323 1,570
    ACF 0 0 12 5 3 7 0 0 0 0 0 0 0 27
    AHRQ 13 11 7 8 2 1 0 1 0 0 1 0 0 44
    AOA 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    CDC 387 215 113 67 49 46 36 33 19 9 18 19 37 1,048
    CMS 2,478 187 102 72 72 47 46 42 48 55 177 242 1,095 4,663
    FDA 577 309 248 212 251 230 154 101 106 116 295 379 1,538 4,516
    HRSA 268 41 15 3 1 1 0 0 0 0 0 1 0 330
    IHS 5 2 5 5 1 5 1 5 1 5 3 3 2 43
    NIH 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    OIG 150 74 21 9 7 1 4 2 1 0 0 0 0 269
    OASH 3 4 5 6 5 16 9 11 15 10 16 8 32 140
    SAMHSA 28 10 12 1 0 0 0 0 0 0 0 0 1 52
    HHS Total 4,875 933 593 425 410 365 257 203 196 202 532 683 3,028 12,702

    3. Requests Granted Expedited Processing

    Component 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 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    ACF 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    AHRQ 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    AOA 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    CDC 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    CMS 4 3 1 4 0 0 1 0 0 0 3 5 3 24
    FDA 0 0 0 0 1 0 1 0 0 0 1 0 0 3
    HRSA 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    IHS 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    NIH 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    OIG 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    OASH 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    SAMHSA 0 0 0 0 0 0 0 0 0 0 0 0 0 0
    HHS Total 4 3 1 4 1 0 2 0 0 0 4 5 3 27

    D. Pending Requests – All Pending Perfected Request12

    Component Simple: Number Pending Simple: Median Days Simple: Average Days Com- plex: Number Pending Com- plex: Median Days Com- plex: Average Days Expe- dited Process- ing: Num- ber Pending Expe- dited Process- ing: Median Days Expe- dited Process- ing: Average Days
    OS13

    0

    0

    0

    364

    250

    366

    0

    0

    0
    ACF

    249

    524

    284

    0

    0

    0

    2

    98

    98
    AHRQ

    2

    4

    4

    4

    32

    30

    0

    0

    0
    AOA

    0

    0

    0

    0

    0

    0

    0

    0

    0
    CDC

    6

    279

    335

    347

    110

    166

    1

    608

    608
    CMS

    1,783

    10

    19

    2,229

    123

    150

    9

    108

    152
    FDA

    252

    179

    217

    3,145

    32

    109

    2

    191

    227
    HRSA14

    0

    0

    0

    34

    11

    12

    0

    0

    0
    HIS

    25

    36

    56

    41

    245

    380

    0

    0

    0
    NIH15

    79

    16

    53

    0

    0

    0

    0

    0

    0
    OIG

    2

    1

    8

    8

    14

    41

    0

    0

    0
    OASH

    30

    13

    116

    219

    174

    202

    0

    0

    0
    SAMHSA

    25

    17

    34

    80

    34

    58

    0

    0

    0
    HHS Total

    2,453

    275

    215

    6,471

    123

    198

    14

    166

    225

    Footnotes:

    12. Some numbers based on estimates.

    13. OS - Uses single-track log.

    14. HRSA - Uses single-track log.

    15. NIH - Uses single-track log.

    E. Pending Requests – Ten Oldest Pending Perfected Requests

    Component 10th 9th 8th 7th 6th 5th 4th 3rd 2nd 1st  
    OS:
    Date of Receipt    		 4/19/
    2007    		 3/6/
    2007    		 2/9/
    2007    		 1/24/
    2007    		 9/28/
    2006    		 11/14/
    2005    		 7/18/
    2005    		 4/25/
    2005    		 3/28/
    2005    		 4/19/
    2007
    OS:
    Days Pending    		 1,625 1,669 1,694 1,710 1,828 2,146 2,265 2349 2,377 2,429
    ACF:
    Date of Receipt    		 8/27/
    2008    		 8/12/
    2008    		 6/12/
    2008    		 6/12/
    2008    		 5/16/
    2008    		 5/9/
    2008    		 5/2/
    2008    		 4/9/
    2008    		 3/13/
    2008    		 1/4/
    2008
    ACF:
    Days Pending    		 829 853 928 928 969 981 989 995 1,025 1,049
    AHRQ:
    Date of Receipt    		 N/A N/A N/A N/A 9/26/
    2011    		 9/26/
    2011    		 8/30/
    2011    		 8/18/
    2011    		 8/12/
    2011    		 8/9/
    2011
    AHRQ:
    Days Pending    		 0 0 0 0 4 4 22 30 34 37
    AOA:
    Date of Receipt    		 N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    AOA:
    Days Pending

    0

    0

    0

    0

    0

    0

    0

    0

    0

    0
    CDC:
    Date of Receipt    		 10/15/
    2008    		 10/8/
    2008    		 9/23/
    2008    		 9/17/
    2008    		 7/25/
    2008    		 4/28/
    2008    		 4/21/
    2008    		 3/3/
    2008    		 12/31/
    2007    		 7/3/
    2007
    CDC:
    Days Pending    		 743 747 758 762 799 861 866 901 943 1,066
    CMS:
    Date of Receipt    		 1/25/
    2010    		 1/25/
    2010    		 1/20/
    2010    		 1/19/
    2010    		 1/19/
    2010    		 1/15/
    2010    		 1/14/
    2010    		 1/12/
    2010    		 1/6/
    2010    		 1/5/
    2010
    CMS:
    Days Pending    		 422 422 425 426 426 427 428 430 434 435
    FDA:
    Date of Receipt    		 3/5/
    2008    		 1/3/
    2008    		 11/30/
    2007    		 9/7/
    2007    		 5/8/
    2007    		 4/18/
    2007    		 3/20/
    2007    		 2/27/
    2007    		 2/7/
    2007    		 3/16/
    2006
    FDA:
    Days Pending    		 899 941 963 1,020 1,105 1,119 1,140 1,155 1,168 1,392
    HRSA:
    Date of Receipt    		 9/15/
    2011    		 9/14/
    2011    		 9/14/
    2011    		 9/13/
    2011    		 9/13/
    2011    		 9/12/
    2011    		 9/12/
    2011    		 9/12/
    2011    		 8/16/
    2011    		 6/1/
    2010
    HRSA:
    Days Pending    		 11 12 12 13 13 14 14 14 32 344
    IHS:
    Date of Receipt    		 7/28/
    2011    		 6/16/
    2011    		 6/11/
    2011    		 1/24/
    2011    		 1/24/
    2011    		 11/5/
    2010    		 9/16/
    2010    		 8/2/
    2010    		 8/2/
    2010    		 12/7/
    2009
    IHS:
    Days Pending    		 46 73 81 170 170 229 273 303 303 473
    NIH:
    Date of Receipt    		 5/6/
    2011    		 4/8/
    2011    		 3/22/
    2011    		 2/2/
    2011    		 1/18/
    2011    		 12/13/
    2010    		 10/13/2010 6/7/
    2010    		 4/7/
    2010    		 5/6/
    2011
    NIH:
    Days Pending    		 103 123 136 169 178 203 244 333 375 1,031
    OIG:
    Date of Receipt    		 9/20/
    2011    		 9/19/
    2011    		 9/19/
    2011    		 9/19/
    2011    		 9/9/
    2011    		 9/9/
    2011    		 8/23/
    2011    		 7/8/
    2011    		 6/2/
    2011    		 9/20/
    2011
    OIG:
    Days Pending    		 6 9 9 9 11 11 28 60 86 128
    OASH:
    Date of Receipt    		 11/24/
    2009    		 11/18/2009 11/16/2009 11/12/2009 9/15/
    2009    		 6/16/
    2009    		 1/5/
    2009    		 11/21/2008 10/28/2008 11/24/
    2009
    OASH:
    Days Pending    		 483 487 489 491 533 598 714 745 763 782
    SAMHSA:
    Date of Receipt    		 10/26/
    2010    		 10/12/
    2010    		 9/18/
    2010    		 7/23/
    2010    		 7/14/
    2010    		 5/12/
    2010    		 5/8/
    2010    		 4/11/
    2010    		 3/10/
    2010    		 10/26/
    2010
    SAMHSA:
    Days Pending<    		 231 241 275 313 319 359 360 380 400 412
    Agency Overall:
    Date of Receipt    		 2/9/
    2007    		 2/7/
    2007    		 1/24/
    2007    		 9/28/
    2006    		 3/16/
    2006    		 11/14/2005 7/18/
    2005    		 4/25/
    2005    		 3/28/
    2005    		 2/9/
    2007
    Agency Overall:
    Days Pending    		 1,694 1,696 1,706 1,828 1,948 2,146 2,265 2,349 2,377 2,429

    VIII: Requests for Expedited Processing and Requests for Fee Waiver

    A. Requests for Expedited Processing

    Component Granted Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate Number Adjudicated Within Ten Calendar Days
    OS 0 8 5 2 8
    ACF 2 0 45 45 0
    AHRQ 0 0 0 0 0
    AOA 0 0 0 0 0
    CDC 0 15 8 10 15
    CMS 19 0 1 4 17
    FDA 3 92 13 21 38
    HRSA 0 5 8 8 8
    IHS 0 0 0 0 0
    NIH 0 0 0 0 0
    OIG 0 0 0 0 0
    OASH 0 0 0 0 0
    SAMHSA 0 0 0 0 0
    HHS Total 24 163 13 22 78

    B. Requests for Fee Waiver

    Component Granted Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate
    OS 0 0 0 0
    ACF 0 1 45 45
    AHRQ 6 0 11 58
    AOA 0 0 0 0
    CDC 3 15 41 45
    CMS 7 0 1 1
    FDA 254 11 11 20
    HRSA 1 4 7 7
    IHS 0 0 0 0
    NIH 1 3 26 25
    OIG 0 1 1 1
    OASH 0 0 0 0
    SAMHSA 0 0 0 0
    HHS Total 272 35 26 25

    IX: FOIA Personnel and Costs

    Component  “Full-Time FOIA Employees”  “Equivalent Full-Time FOIA Employees” Total Full-Time FOIA Staff Processing Costs Litigation-Related Costs Total Costs
    OS 12 0 12 $874,842.00 $28,598.00 $903,440.00
    ACF 4 1 5 $443,333.00 $0.00 $443,333.00
    AHRQ 1 0 1 $54,903.00 $0.00 $54,903.00
    AOA 0 0.04 .004 $2,576.00 $0.00 $2,576.00
    CDC 12 0 0 $1,148,880.00 $0.00 $114,8880.00
    CMS 19 61 80 $4,821,716.00 $57,470.00 $4,879,186.00
    FDA 85 42 127 $33,003,128.00 $130,226.00 $33,133,354.00
    HRSA 3 1.5 4.5 $487,951.00 $0.00 $487,951.00
    IHS 1 2 3 $369,945.00 $0.00 $369,945.00
    NIH 15 13 28 $3,138,120.00 $20,981.00 $3,159,101.00
    OIG 3 2 5 $100,688.00 $0.00 $100,688.00
    OASH 5 2 7 $1,203,071.00 $2,500.00 $120,5571.00
    SAMHSA 1 0 1 $99,191.00 $0.00 $99,191.00
    HHS Total 161 123.83 284.83 $45,748,344.22 $239,775.00 $45,988,119.22

    X: Fees Collected for Processing Requests

    Component Total Amount of Fees Collected Percentage of Total Costs
    OS $0.00 0.00%
    ACF16 $0.00 0.00%
    AHRQ $175.00 0.32%
    AOA $0.00 0.00%
    CDC $24,232.77 2.11%
    CMS $606,801.39 12.58%
    FDA $452,246.57 1.37%
    HRSA $4,029.00 0.83%
    IHS $0.00 0.00%
    NIH $47,108.00 1.50%
    OIG $15,317.00 15.21%
    OASH $1,469.00 0.12%
    SAMHSA $1,026.00 1.03%
    HHS Total $1,152,404.73 2.52%

    Footnotes:

    16. The ACF has temporarily suspended fee collections

    XI. FOIA Regulations

  • Title 45, Volume 1, Parts 1 to 199

    XII: Backlogs, Consultations, and Comparisons

    A. Backlogs of FOIA Requests and Administrative Appeals

    Component Backlogged Requests as of End of Fiscal Year Backlogged Appeals as of End of Fiscal Year
    OS 309 68
    ACF 160 0
    AHRQ 0 0
    AOA 0 0
    CDC 287 0
    CMS 2,008 36
    FDA 3,421 0
    HRSA 2 0
    IHS 34 0
    NIH 25 0
    OIG 4 0
    OASH 165 0
    SAMHSA 114 0

    HHS Total

    		 6,529 104

    B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations

    Component Consultations Received from Other Agencies that Were Pending at Your Agency as of Start of the Fiscal Year Consultations Received from Other Agencies During the Fiscal Year Consultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal Year Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year
    OS 0 0 0 0
    ACF 0 0 0 0
    AHRQ 0 0 0 0
    AOA 0 0 0 0
    CDC 0 0 0 0
    CMS 0 0 0 0
    FDA 0 12 12 0
    HRSA 0 0 0 0
    IHS 0 0 0 0
    NIH 0 4 4 0
    OIG 0 0 0 0
    OASH 0 4 4 0
    SAMHSA 0 0 0 0
    HHS Total 0 20 20 0

    C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency

    Component 10th 9th 9th 7th 6th 5th 4th 3rd 2nd 1st
    OS N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    ACF 0 0 0 0 0 0 0 0 0 0
    AHRQ N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    AOA 0 0 0 0 0 0 0 0 0 0
    CDC N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    CMS 0 0 0 0 0 0 0 0 0 0
    FDA N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    HRSA 0 0 0 0 0 0 0 0 0 0
    IHS N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    NIH 0 0 0 0 0 0 0 0 0 0
    OIG N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    OASH 0 0 0 0 0 0 0 0 0 0
    SAMHSA N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
    HHS Total 0 0 0 0 0 0 0 0 0 0

    D. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged

    (1) Requests Received and Processed During Fiscal Year

    Component Requests Received from Last Year’s Annual Report Requests Received from Current Annual Report Requests Processed from Last Year’s Annual Report Requests Processed from Current Annual Report
    OS 2,144 1,396 2,306 1,592
    ACF 1,133 296 1,538 416
    AHRQ 57 77 61 81
    AOA 27 16 27 16
    CDC 1,207 1,128 1,372 1,088
    CMS 46,586 52,116 51,665 53,328
    FDA 9,690 9,301 9,879 10,602
    HRSA 369 332 369 330
    IHS 98 100 94 104
    NIH 1,253 1,198 1,282 1,204
    OIG 563 729 569 737
    OASH 496 576 555 529
    SAMHSA 216 166 143 152
    HHS Total 63,839 67,431 69860 70,179

    (2) Requests Backlogged as of End of Fiscal Year

    Component Backlogged Requests from Previous Annual Report Backlogged Requests from Current Annual Report
    OS 525 309
    ACF 299 160
    AHRQ 1 0
    AOA 0 0
    CDC 245 287
    CMS 3,486 2,008
    FDA 4,691 3,421
    HRSA 2 2
    IHS 35 34
    NIH 37 25
    OIG 11 4
    OASH 129 165
    SAMHSA 91 114
    HHS Total 9,552 6,529

    E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

    (1) Appeals Received and Processed During Fiscal Year

    Component Number of Appeals Received from Last Year’s Annual Report Number of Appeals Received from Current Annual Report Number of Appeals Processed from Last Year’s Annual Report Number of Appeals Processed from Current Annual Report
    OS 168 191 244 199
    CMS 26 125 145 120
    HHS Total 194 316 369 319

    (2) Administrative Appeals Backlogged as of End of the Fiscal Year

    Component Backlogged Administrative Appeals from Previous Annual Report Backlogged Administrative Appeals from Current Annual Report
    OS 198 68
    CMS 31 36
    HHS Total 229 104
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