HHS Fiscal Year 2018 Freedom of Information Annual Report

I. Basic Information Regarding Report

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

Michael S. Marquis
Director, Freedom of Information/Privacy Acts Division
Office of the Assistant Secretary for Public Affairs
United States Department of Health and Human Services
200 Independence Avenue, S.W., Suite 729H
Washington, D.C. 20201
(202) 690-7453

2. Electronic Address for this Report on the World Wide Web:

https://www.hhs.gov/foia/reports/annual-reports/index.html

3. Address for Paper Copies of this Report

Contact Michael Marquis or Michael Bell, FOIA Public Liaison, at the address or telephone number listed above, or at: http://www.hhs.gov/foia/contacts/index.html

II. Making a FOIA Request

1. HHS and Operating Division Freedom of Information Officers/FOIA Requester Service Centers:

Department of Health and Human Services (HHS):

Website: http://www.hhs.gov/foia
Freedom of Information Act Officer
Hubert H. Humphrey Building
200 Independence Avenue, S.W., Suite 729H
Washington, D.C. 20201
Phone: (202) 690-7453

Administration for Children and Families (ACF):

Website: https://www.acf.hhs.gov/freedom-of-information-act
Freedom of Information Act Officer
Mary E. Switzer Building
330 C Street, S.W., Room 4004
Washington, D.C. 20201
Phone: 202-401-9215

Administration for Community Living (ACL):

Website: http://www.acl.gov/Site_Utilities/FOIA/index.aspx
Freedom of Information Act Officer
Administration for Community Living
Washington, D.C. 20201
Phone: 202-357-3540

Agency for Healthcare Research and Quality (AHRQ):

Website: https://www.ahrq.gov/policy/foia/index.html
Freedom of Information Act Officer
Hubert H. Humphrey Building
200 Independence Avenue, S.W., Suite 729H
Washington, D.C. 20201
Phone: (202) 260-6933

Centers for Disease Control and Prevention (CDC):

Website: http://www.cdc.gov/od/foia/
Freedom of Information Act Officer
1600 Clifton Road, N.E., MS D-54
Atlanta, Georgia 30333
Phone: 770-488-6277

Centers for Medicare & Medicaid Services (CMS):

Website: http://www.cms.hhs.gov/foia/
Freedom of Information Act Officer
North Building, Room N2-20-06
7500 Security Boulevard
Baltimore, Maryland 21244
Phone: 410-786-5353

Food and Drug Administration (FDA):

Website: http://www.fda.gov/RegulatoryInformation/foi/
Freedom of Information Act Officer
Division of Freedom of Information
Office the Executive Secretariat, OC
5630 Fishers Lane, Room 1035
Rockville, Maryland 20857
Phone: 301-796-3900

Health Resources and Services Administration (HRSA):

Website: http://www.hrsa.gov/foia/
Freedom of Information Act Officer
5600 Fishers Lane, Room 13-N82
Rockville, Maryland 20857
Phone: 301-443-2865

Indian Health Service (IHS):

Website: http://www.ihs.gov/AdminMngrResources/FOIA/
Freedom of Information Act Officer
5600 Fishers Lane, Mailstop 09E70
Rockville, Maryland 20857
Phone: 301-443-1116

National Institutes of Health (NIH):

Website: http://www.nih.gov/icd/od/foia/
Freedom of Information Act Officer
Building 31, Room 5B35
31 Center Drive
Bethesda, Maryland 20892-2107
Phone: 301-496-5633

Office of the Assistant Secretary for Health (OASH), including the U.S. Public Health Service:

Website: http://www.hhs.gov/foia
Freedom of Information Act Officer
Hubert H. Humphrey Building
200 Independence Avenue, S.W., Suite 729H
Washington, D.C. 20201
Phone: (202) 260-6933

Office of Inspector General (OIG):

Website: http://oig.hhs.gov/foia/
Freedom of Information Act Officer
Cohen Building, Suite 1062
330 Independence Ave, S.W.
Washington, D.C. 20201
Phone: 202-619-2541

Substance Abuse and Mental Health Services Administration (SAMHSA):

Website: http://www.samhsa.gov/foia/
Freedom of Information Act Officer
5600 Fishers Lane, Room 18E73D
Rockville, Maryland 20857
Phone: 240-276-2000

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.

3. HHS FOIA Regulations:

https://www.ecfr.gov/cgi-bin/text-idx?SID=790457d918cfcfebe483689ef4ac40bf&mc=true&tpl=/ecfrbrowse/Title45/45cfr5_main_02.tpl

III. Agency Component Abbreviations

Component Abbreviation Component Name
OS Office of the Secretary
ACF Administration for Children and Families
ACL Administration for Community Living
CDC Centers for Disease Control and Prevention and Agency for Toxic Substances and Disease Registry
CMS Centers for Medicare & Medicaid Services
FDA Food and Drug Administration
HRSA Health Resources and Services Administration
IHS Indian Health Service
NIH National Institutes of Health
OASH Office of Assistant Secretary for Health
OIG Office of Inspector General
SAMHSA Substance Abuse and Mental Health Services Administration

IV. Exemption 3 Statutes

Statute Type of Information Withheld Case Citation Agency / Component Number of Times Relied upon by Agency / Component Total Number of Times Relied upon by Agency Overall
42 U.S.C. § 242m(d) Identifiable information for certain research and statistical activities N/A CDC 15 15
       
5 U.S.C. app. 4 § 107(a)(2) (Ethics in Government Act of 1978) Confidential financial
disclosure report pertaining
to certain government
employees		 Meyerhoff v. EPA, 958 F.2d
1498, 1500-02 (9th Cir. 1992);
Boyd v. Exec. Office for U.S.
Attorneys, 161 F. Supp. 3d 1, 7
(D.D.C. 2015); Seife v. NIH,
874 F. Supp. 2d 248, 254
(S.D.N.Y. 2012).		 CDC 1 3
    FDA 1
    NIH 1
42 U.S.C. § 262a(h) Bioterrorism-related information N/A CDC 12 14
    OIG 2
42 U.S.C. § 247d-6b(d) Information identifying the location at which materials in the stockpile under subsection (a) of this section N/A CDC 1 1
       
41 U.S.C. § 4702 (formerly at 41 U.S.C. § 253b(m)(1)) Contractor proposals that are in the possession or control of an executive agency and that have not been set forth or incorporated by reference into contracts Sinkfield v. HUD, No. 10-885,
2012 U.S. Dist. LEXIS 35233,
at *13-15 (S.D. Ohio Mar. 15,
2012); Margolin v. NASA, No.
09-CV-00421, 2011 WL
1303221, at *6 (D. Nev. Mar.
31, 2011); Hornbostel v. U.S.
Dep’t of the Interior, 305 F.
Supp. 2d 21, 30 (D.D.C. 2003),
summary affirmance granted,
No. 03-5257, 2004 WL
1900562 (D.C. Cir. Aug. 25,
2004).		 CDC 4 60
    CMS 48
    FDA 3
    HRSA 2
    OASH 3
6 U.S.C. § 133(a)(1) Protection of voluntarily shared critical infrastructure information State case, mentioned in a foot note 7 - Bowling v. Office of Open Records, 990 A.2d 813 (Commw. Ct. Pa. 2010) "Records designated as critical infrastructure information are exempt from disclosure under the Freedom of Information Act (FOIA) as well as [**8] state and local disclosure laws. See FOIA, 5 U.S.C. § 552(b)(3) (protection from disclosure of records by statute); 6 U.S.C. § 133(a)(1)(A) (protection of voluntary shared critical infrastructure information)." CDC 1 1
       
26 U.S.C. §§ 6103, 6105
(Internal Revenue Code)		 Certain tax return information, to include Taxpayer Identification Numbers of third parties, and certain tax convention information Church of Scientology v. IRS,
484 U.S. 9, 15 (1987)
(26 U.S.C. § 6103); Elec.
Privacy Info. Ctr. v. IRS, 910
F.3d 1232 (D.C. Cir. 2018);
Leonard v. U.S. Dep’t of
Treasury, 590 F. App’x. 141,
143-44 (3d Cir. 2014) (per
curiam); Pac. Fisheries, Inc. v.
IRS, 395 F. App’x. 438, 440
(9th Cir. 2010) (unpublished
disposition) (26 U.S.C.
§§ 6103, 6105); Tax Analysts v.
IRS, 217 F. Supp. 2d 23, 27-29
(D.D.C. 2002) (26 U.S.C. §
6105).		 CMS 22 22
       
42 U.S.C. § 1320c-9(a) Information related to Quality Improvement Organization records N/A CMS 2 2
       
21 U.S.C. § 331(j)
(Food, Drug, and Cosmetic
Act)		 Certain information
“concerning any method or
process which as a trade
secret is entitled to
protection”		 Anderson v. HHS, 907 F.2d
936, 950-51 (10th Cir. 1990).		 FDA 20 20
       
21 U.S.C. § 350d(a)4 Food Registration Documents N/A FDA 1 1
       
42 U.S.C. § 282(j)(6) Information submitted for publication on clinicaltrials.gov that is not otherwise publicly available Grassetti v. Weinberger, 408 F. Supp. 142 (N.D. Cal. 1976) - However, the court upheld the agencie's withholdings under 5 U.S.C. § 552(b) (4), (5), and (6) not (b)(3). FDA 10 10
       
42 U.S.C. § 11137(b)(1) National Practioner Data Bank information N/A HRSA 3 3
       
42 U.S.C. § 300aa12(d)(4)(A)
(National Childhood Vaccine Injury Act of 1986)		 “Except as provided in
subparagraph (B),
information submitted to a
special master or the court
in a proceeding on a
petition [for compensation
under the National Vaccine
Injury Compensation
Program] . . . without the
express written consent of
the person who submitted
the information”		 Long v. DOJ, 778 F. Supp. 2d 222, 234 (N.D.N.Y. 2011). HRSA 6 6
       
25 U.S.C. § 1675(g) Medical quality assurance records N/A IHS 1 1
       
7 U.S.C. § 8401 Registration and transfer documentation for listed biological agents and toxins, and information derived therefrom N/A NIH 1 1
       
5 U.S.C. § 574(j) Dispute resolution communications N/A NIH 3 3
       
42 USC § 1320c-9(a) Information related to Quality Improvement Organization records N/A OIG 1 1
       
5 U.S.C. app. 3 § 7(b) Names of employees who provide information or complaints to the Inspector General N/A OIG 47 47
       

V. A. FOIA Requests -- Received, Processed and Pending FOIA Requests

Agency / Component 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 753 1,573 1,016 1,310
ACF 165 533 290 408
ACL 1 75 74 2
CDC 163 1,186 1,219 130
CMS 1,830 17,926 17,791 1,965
FDA 2,670 10,256 9,925 3,001
HRSA 35 280 282 33
IHS 26 163 123 66
NIH 284 1,426 1,266 444
OASH 105 353 221 237
OIG 37 1,506 1,520 23
SAMHSA 28 168 149 47
AGENCY OVERALL 6,097 35,445 33,876 7,666

Due to data entry delays in reporting the correct ending / beginning pending case counts, the following changes are reported for the HHS components:

OS reported 747 at the end of FY 2017, 753 at the beginning of FY 2018
CDC reported 161 at the end of FY 2017, 163 at the beginning of FY 2018
CMS reported 1,925 at the end of FY 2017, 1,830 at the beginning of FY 2018
HRSA reported 40 at the end of FY 2017, 35 at the beginning of FY 2018
IHS reported 25 at the end of FY 2017, 26 at the beginning of FY 2018
NIH reported 290 at the end of FY 2017, 284 at the beginning of FY 2018
OIG reported 39 at the end of FY 2017, 37 at the beginning of FY 2018
SAMHSA reported 29 at the end of FY 2017, 28 at the beginning of FY 2018

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

Agency / Component 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  
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 TOTAL
OS 85 95 20 100 544 55 0 30 11 39 32 5 1,016
ACF 52 93 15 23 14 22 0 11 5 46 9 0 290
ACL 14 0 0 8 12 0 0 1 0 39 0 0 74
CDC 188 337 34 171 50 259 7 5 20 31 31 86 1,219
CMS 3,785 2,856 5,263 2,657 98 312 315 224 1,131 611 410 129 17,791
FDA 7,355 66 138 494 35 1,321 48 78 135 16 139 100 9,925
HRSA 72 107 11 48 10 8 7 8 3 8 0 0 282
IHS 31 25 13 19 1 28 0 1 0 3 1 1 123
NIH 792 173 20 115 17 113 19 5 4 6 2 0 1,266
OASH 101 38 16 27 11 9 0 4 1 8 6 0 221
OIG 549 213 248 210 75 121 0 8 0 83 13 0 1,520
SAMHSA 38 65 4 30 2 2 0 1 1 6 0 0 149
AGENCY OVERALL 13,062 4,068 5,782 3,902 869 2,250 396 376 1,311 896 643 321 33,876

V. B. (2) Disposition of FOIA Requests -- "Other" Reasons for "Full Denials Based on Reasons Other Than Exemptions"

Agency / Component Description of "Other" Reasons for Denials from Chart B(1) Number of Times "Other" Reason Was Relied Upon TOTAL
OS Unable to Locate or Contact Requester 5 5
   
CDC Unable to Locate or Contact Requester 86 86
   
CMS Unable to Locate or Contact Requester 123 129
Cases aggregated after data entered separately into tracking system 6
FDA Unable to contact requester 90 100
Request Opened in Error 10
   
   
   
IHS Directed Requester to Publicly Available Information 1 1
   
AGENCY OVERALL     321
   

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

Agency / 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 0 0 18 42 78 18 0 42 0 0 0 0 0
ACF 0 0 0 53 9 92 1 1 8 1 0 1 0 0
ACL 0 0 0 7 0 13 0 0 0 0 0 0 0 0
CDC 0 2 32 92 131 301 6 1 1 0 3 0 0 1
CMS 0 0 72 623 108 7,049 9 37 1,196 168 4 0 0 0
FDA 0 9 35 97 29 14 63 0 5 0 2 3 0 0
HRSA 0 1 11 93 15 60 1 0 0 0 1 2 0 0
IHS 0 0 1 13 10 20 0 0 0 0 0 0 0 0
NIH 0 1 5 96 31 126 6 0 6 0 1 0 0 0
OASH 0 1 3 19 10 39 2 0 9 0 0 0 0 0
OIG 0 1 50 167 101 373 240 0 293 1 11 51 0 0
SAMHSA 0 0 0 52 1 65 0 0 0 0 0 0 0 0
AGENCY OVERALL 0 15 209 1,330 487 8,230 346 39 1,560 170 22 57 0 1

VI. A. Administrative Appeals of Initial Determinations of FOIA Requests -- Received, Processed, and Pending Administrative Appeals

Agency / Component 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 248 158 107 299
CMS 123 68 63 128
AGENCY OVERALL 371 226 170 427

After reviewing its database, HHS adjusted the number of appeals pending as of the start of the Fiscal Year.

VI. B. Disposition of Administrative Appeals -- All Processed Appeals

Agency / Component 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 13 8 2 84 107
CMS 6 0 3 54 63
AGENCY OVERALL 19 8 5 138 170

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

Agency / 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 0 1 4 6 8 0 0 5 0 1 1 0 0
CMS 0 1 1 3 4 29 1 0 12 2 1 0 0 0
AGENCY OVERALL 0 1 2 7 10 37 1 0 17 2 2 1 0 0

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

Agency / Component 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 4 23 21 0 0 4 1 17 12 1 84
CMS 10 0 42 1 0 4 3 2 1 1 1
AGENCY OVERALL 14 23 63 1 0 8 4 19 13 2 85

VI. C. (3). Reasons for Denial on Appeal -- "Other" Reasons

Agency / Component Description of "Other" Reasons for Denial on Appeal from Chart C(2) Number of Times "Other" Reason Was Relied Upon TOTAL
OS Moot 84 84
   
CMS Unable to Locate or Contact Requester 1 1
   
AGENCY OVERALL     85

VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS

Agency / Component Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days
OS 120.89 245.08 1.00 978.00
CMS 559.00 529.00 1.00 1,340.00
AGENCY OVERALL 283.25 350.30 1.00 1,340.00

VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS

Agency / Component   10th Oldest Appeal 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Appeal
OS Date of Appeal 2014-06-06 2014-05-12 2014-04-02 2014-03-26 2014-03-18 2014-02-18 2013-08-19 2013-04-04 2012-04-17 2011-06-21
Number of Days Pending 1078 1102 1130 1135 1141 1161 1284 1379 1622 1828
CMS Date of Appeal 2014-03-10 2014-03-10 2014-02-11 2013-08-28 2013-07-19 2013-06-04 2012-12-12 2012-04-23 2012-04-12 2011-12-09
Number of Days Pending 1147 1147 1165 1277 1305 1337 1456 1618 1625 1695
AGENCY OVERALL Date of Appeal 2013-08-28 2013-08-19 2013-07-19 2013-06-04 2012-12-12 2012-04-23 2012-04-17 2012-04-12 2011-12-09 2011-06-21
Number of Days Pending 1277 1284 1305 1337 1456 1618 1622 1625 1695 1828

VII.A. FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

Agency / Component 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 8 29.53 <1 382 79 144.7 <1 1147 45 61.5 5 160
ACF 1.5 335.34 <1 959 22 132.77 <1 1068 3 3 3 3
ACL 10 14 0 50 N/A N/A N/A N/A N/A N/A N/A N/A
CDC 5.5 12.25 <1 242 14 54.88 1 1458 29.5 179.36 1 755
CMS 17 15 <1 75 7 29 <1 1305 758 598 1 1283
FDA 2 13.1 1 812 31 127.5 1 1828 914 914 861 967
HRSA 6 8 <1 36 39 51 21 302 N/A N/A N/A N/A
IHS 54 114 2 476 64 61 18 124 N/A N/A N/A N/A
NIH 18 32 1 349 43 89 1 574 N/A N/A N/A N/A
OASH 12.5 32.3 <1 273 126 146.95 <1 840 29 29 29 29
OIG 1 2 1 20 16 41 1 645 N/A N/A N/A N/A
SAMHSA 1 35 <1 220 13 38 <1 296 N/A N/A N/A N/A
AGENCY OVERALL 8.59 16.85 <1 959 26.53 84.94 <1 1828 607.8 567.7 <1 1283

VII.B. PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANTED

Agency / Component 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 31 57.56 3 316 124 197.85 <1 1147 13.5 48 5 160
ACF 917 562 2 952 40 151.88 <1 1068 3 3 3 3
ACL 10 14 <1 50 N/A N/A N/A N/A N/A N/A N/A N/A
CDC 12 17.89 1 242 35.5 89.49 1 1458 313.5 365.33 30 755
CMS 18 19 <1 75 20 47 <1 1305 126 321 1 1095
FDA 2 13 1 812 31 127.1 1 1828 914 914 861 967
HRSA 9 10 <1 36 36 50 21 302 N/A N/A N/A N/A
IHS 40 50 2 180 66 65 18 116 N/A N/A N/A N/A
NIH 20 33 1 349 57 104 1 574 N/A N/A N/A N/A
OASH 8 20.81 <1 244 127 144.85 12 437 29 29 29 29
OIG 1 2 1 20 22 53 1 645 N/A N/A N/A N/A
SAMHSA 110 110 1 220 14 41 <1 204 N/A N/A N/A N/A
AGENCY OVERALL 14.47 22.56 <1 952 39.87 101.78 <1 1828 49.35 90.72 <1 1095

VII.C. PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / 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 456 65 19 12 51 25 11 3 0 2 8 5 0 657
ACF 11 8 0 0 0 0 0 0 0 0 0 0 13 32
ACL 54 10 0 10 0 0 0 0 0 0 0 0 0 74
CDC 344 60 13 4 3 0 0 0 0 1 1 0 0 426
CMS 3,378 84 66 18 6 2 2 0 1 0 0 0 1 3,558
FDA 165 371 399 389 419 411 427 567 330 354 1,297 29 44 5,202
HRSA 146 13 0 0 0 0 0 0 0 0 0 0 0 159
IHS 23 14 13 8 4 3 9 3 2 3 2 7 7 98
NIH 574 254 64 44 28 10 8 5 8 8 14 5 0 1,022
OASH 50 12 3 2 2 2 0 0 0 1 4 0 0 76
OIG 1,022 0 0 0 0 0 0 0 0 0 0 0 0 1,022
SAMHSA 6 0 0 0 0 0 0 0 0 0 1 0 0 7
AGENCY OVERALL 6,229 891 577 487 513 453 457 578 341 369 1,327 46 65 12,333

VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / 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 82 39 18 18 15 15 16 11 10 5 32 29 22 312
ACF 121 41 18 8 6 5 8 2 3 3 4 6 32 257
ACL 0 0 0 0 0 0 0 0 0 0 0 0 0 0
CDC 437 134 53 30 16 15 7 8 6 5 13 7 24 755
CMS 9,783 1,220 519 301 245 148 104 87 64 43 143 51 130 12,838
FDA 82 194 209 256 315 281 305 272 274 265 1,034 274 685 4,446
HRSA 0 56 18 12 9 2 1 0 2 0 0 1 0 101
IHS 2 6 4 8 2 3 1 0 0 0 0 0 0 26
NIH 80 39 25 17 15 10 12 7 6 3 19 11 8 252
OASH 3 21 8 14 12 7 8 7 6 8 32 4 3 133
OIG 288 67 30 24 16 16 22 5 13 7 5 3 1 497
SAMHSA 83 17 13 5 7 2 3 4 5 0 2 0 0 141
AGENCY OVERALL 10,961 1,834 915 693 658 504 487 403 389 339 1,284 386 905 19,758

VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS

Agency / 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 3 0 0 1 0 1 0 1 0 0 0 0 0 6
ACF 1 0 0 0 0 0 0 0 0 0 0 0 0 1
ACL 0 0 0 0 0 0 0 0 0 0 0 0 0 0
CDC 2 6 1 0 0 1 0 0 1 0 0 0 3 14
CMS 3 4 4 1 2 1 2 0 0 1 2 2 30 52
FDA 0 0 0 0 0 0 0 0 0 0 0 0 2 2
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
OASH 0 1 0 0 0 0 0 0 0 0 0 0 0 1
OIG 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
AGENCY OVERALL 9 11 5 2 2 3 2 1 1 1 2 2 35 76

VII.D. PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS

Agency / Component 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 482 256.5 249 746 163 281 18 283 325
ACF 0 N/A N/A 406 69 200 2 53.5 53
ACL 2 30 34 0 N/A N/A 0 N/A N/A
CDC 19 6 10 72 17 52 0 N/A N/A
CMS 256 9 15 1653 105 185 56 268 345
FDA 73 29 97.8 2873 194 262.9 0 N/A N/A
HRSA 5 6 6 28 65 58 0 N/A N/A
IHS 64 140 172 2 180 180 0 N/A N/A
NIH 173 27 68 265 216 211 0 N/A N/A
OASH 153 126 130 78 72 114 0 N/A N/A
OIG 0 N/A N/A 23 16 90 0 N/A N/A
SAMHSA 2 334 334 44 80 156 0 N/A N/A
AGENCY OVERALL 1229 131.68 141.92 6190 153.58 231.25 76 265.91 332.58

VII.E. PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS

Agency / Component   10th Oldest Request 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Request
OS Date of Receipt 2013-11-25 2013-11-18 2013-11-04 2013-10-30 2013-10-29 2013-10-28 2013-10-28 2013-10-25 2013-10-18 2013-05-01
Number of Days Pending 1219 1222 1231 1234 1235 1236 1236 1237 1242 1360
ACF Date of Receipt 2014-07-28 2014-07-28 2014-07-08 2014-07-08 2014-06-18 2014-06-18 2014-06-05 2014-05-08 2014-05-05 2014-01-24
Number of Days Pending 1048 1048 1062 1062 1075 1075 1084 1103 1106 1176
ACL Date of Receipt N/A N/A N/A N/A N/A N/A N/A N/A 2018-08-16 2018-08-07
Number of Days Pending 0 0 0 0 0 0 0 0 30 37
CDC Date of Receipt 2018-04-18 2018-04-17 2018-04-16 2018-04-10 2018-02-22 2018-01-31 2018-01-31 2018-01-24 2017-08-22 2014-09-04
Number of Days Pending 114 115 116 120 153 168 168 173 277 1021
CMS Date of Receipt 2014-02-21 2013-12-27 2013-12-20 2013-11-26 2013-11-14 2013-11-01 2013-10-28 2013-09-26 2013-07-11 2013-06-25
Number of Days Pending 1151 1188 1193 1207 1221 1226 1231 1243 1294 1307
FDA Date of Receipt 2013-01-30 2013-01-13 2013-01-08 2012-12-12 2012-10-03 2012-10-01 2012-09-06 2012-08-22 2012-06-01 2012-03-20
Number of Days Pending 1420 1423 1426 1443 1491 1493 1510 1520 1577 1621
HRSA Date of Receipt 2018-06-05 2018-06-04 2018-05-31 2018-05-24 2018-05-21 2018-05-17 2018-05-17 2018-05-16 2018-05-14 2018-05-10
Number of Days Pending 81 82 84 88 91 91 93 94 96 98
IHS Date of Receipt 2017-10-27 2017-10-25 2017-10-13 2017-10-01 2017-02-21 2017-02-07 2016-12-15 2016-11-30 2016-11-04 2016-09-30
Number of Days Pending 339 341 353 365 407 416 451 462 478 501
NIH Date of Receipt 2016-07-19 2016-07-13 2016-07-06 2016-06-29 2016-06-23 2016-06-13 2016-05-18 2016-04-06 2016-01-21 2015-09-24
Number of Days Pending 552 556 561 565 569 574 594 624 675 754
OASH Date of Receipt 2017-05-23 2017-05-10 2017-04-13 2017-04-12 2017-04-12 2017-02-09 2017-02-09 2017-02-06 2017-01-23 2016-09-07
Number of Days Pending 340 349 368 369 369 412 412 415 425 517
OIG Date of Receipt 2018-05-29 2018-05-29 2018-04-24 2018-04-04 2018-03-22 2018-02-27 2018-01-30 2017-12-14 2017-11-28 2017-11-13
Number of Days Pending 88 88 110 127 135 153 173 206 218 229
SAMHSA Date of Receipt 2017-07-17 2017-07-11 2017-06-13 2017-05-18 2017-03-06 2016-12-13 2016-09-13 2016-08-30 2016-07-05 2016-06-24
Number of Days Pending 303 307 326 343 396 450 513 522 545 562
AGENCY OVERALL Date of Receipt 2013-01-30 2013-01-13 2013-01-08 2012-12-12 2012-10-03 2012-10-01 2012-09-06 2012-08-22 2012-06-01 2012-03-20
Number of Days Pending 1420 1423 1426 1443 1491 1493 1510 1520 1577 1621

VIII.A. REQUESTS FOR EXPEDITED PROCESSING

Agency / Component Number Granted Number Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate Number Adjudicated Within Ten Calendar Days
OS 8 35 11 35.67 20
ACF 3 10 1 8.92 10
ACL 0 0 N/A N/A 0
CDC 11 78 1 1.07 88
CMS 39 71 6 9 83
FDA 0 449 6 5 447
HRSA 0 5 0 0 5
IHS 0 0 N/A N/A N/A
NIH 0 23 0 0 0
OASH 1 0 1 1 1
OIG 0 0 N/A N/A N/A
SAMHSA 0 0 N/A N/A N/A
AGENCY OVERALL 62 671 5.37 6.8 654

VIII.B. Requests for Fee Waiver

Agency / Component Number Granted Number Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate
OS 0 0 N/A N/A
ACF 7 4 12 31.73
ACL 0 0 N/A N/A
CDC 8 115 1 0.3
CMS 26 40 3 7
FDA 0 0 N/A N/A
HRSA 1 3 0 0
IHS 0 0 N/A N/A
NIH 2 24 34 131
OASH 0 0 N/A N/A
OIG 0 5 2 2
SAMHSA 0 0 N/A N/A
AGENCY OVERALL 44 191 2.74 7.41

IX. FOIA Personnel and Costs

Agency / Component 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 10 0.3 10.3 $1,684,063.00 $504,322.00 $2,188,385.00
ACF 2.5 1.2 3.7 $393,728.00 $0.00 $393,728.00
ACL 0 0.3 0.3 $72,542.00 $0.00 $72,542.00
CDC 16 0 16 $2,386,747.41 $4,003.00 $2,390,750.41
CMS 31 62 93 $5,192,808.50 $86,402.00 $5,279,210.50
FDA 137 18 155 $35,000,000.00 $350,000.00 $35,350,000.00
HRSA 4 1 5 $560,896.00 $25,256.00 $586,152.00
IHS 2 0 2 $206,870.00 $0.00 $206,870.00
NIH 19.92 4.41 24.33 $2,824,507.25 $28,624.95 $2,853,132.20
OASH 3.5 2 5.5 $583,188.00 $441,808.24 $1,024,996.24
OIG 3 1 4 $290,420.00 $0.00 $290,420.00
SAMHSA 1 0 1 $96,213.00 $0.00 $96,213.00
AGENCY OVERALL 229.92 90.21 320.13 $49,291,983.16 $1,440,416.19 $50,732,399.35

X. Fees Collected for Processing Requests

Agency / Component Total Amount of Fees Collected Percentage of Total Costs
OS $0.00 0.00%
ACF $0.00 0.00%
ACL $0.00 0.00%
CDC $28,874.56 1.21%
CMS $371,865.71 7.16%
FDA $357,060.80 1.02%
HRSA $294.67 0.05%
IHS $0.00 0.00%
NIH $23,322.00 0.83%
OASH $133.50 0.02%
OIG $3,641.00 1.25%
SAMHSA $0.00 0.00%
AGENCY OVERALL $785,192.24 1.59%

XI.A. Number of Times Subsection (C) Used

Agency / Component Number of Times Subsection Used
OS 0
ACF 0
ACL 0
CDC 0
CMS 0
FDA 0
HRSA 0
IHS 0
NIH 0
OASH 0
OIG 0
SAMHSA 0
AGENCY OVERALL 0

XI.B. Number of Subsection (A)(2) Postings

Agency / Component Number of Records Posted by the FOIA Office Number of Records Posted by Program Offices
OS 1 18,695
ACF 0 0
ACL 0 0
CDC 0 0
CMS 8 145
FDA 450 16,000
HRSA 13 50
IHS 0 61
NIH 4 172
OASH 2 0
OIG 0 202
SAMHSA 0 0
AGENCY OVERALL 478 35,325

XII.A. Backlogs of FOIA Requests and Administrative Appeals

Agency / Component Number of Backlogged Requests as of End of Fiscal Year Number of Backlogged Appeals as of End of Fiscal Year
OS 1,184 295
ACF 383 N/A
ACL 2 N/A
CDC 24 N/A
CMS 1,353 126
FDA 2,666 N/A
HRSA 23 N/A
IHS 66 N/A
NIH 343 N/A
OASH 206 N/A
OIG 21 N/A
SAMHSA 35 N/A
AGENCY OVERALL 6,306 421

XII.B. CONSULTATIONS ON FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING CONSULTATIONS

Agency / Component Number of Consultations Received from Other Agencies that were Pending at the 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 the Agency During the Fiscal Year Number of Consultations Received from Other Agencies that were Pending at the Agency as of End
of the Fiscal Year
OS 23 48 11 60
ACF 2 4 2 4
ACL 0 0 0 0
CDC 4 12 16 0
CMS 0 0 0 0
FDA 0 16 16 0
HRSA 0 0 0 0
IHS 0 0 0 0
NIH 0 3 2 1
OASH 0 0 0 0
OIG 1 8 9 0
SAMHSA 0 0 0 0
AGENCY OVERALL 30 91 56 65

After reviewing its database, HHS adjusted the number of consults pending as of the start of the Fiscal Year.

XII.C. CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES AND PENDING AT THE AGENCY

Agency / Component   10th Oldest Consultation 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation
OS Date 2017-04-05 2017-03-27 2017-02-27 2017-01-12 2016-12-16 2016-09-12 2016-09-07 2016-05-05 2016-03-01 2015-10-06
Number of Days 375 382 402 432 449 515 518 604 651 749
ACF Date N/A N/A N/A N/A N/A N/A 2018-08-23 2018-06-11 2017-10-25 2017-09-22
Number of Days 0 0 0 0 0 0 25 77 233 255
ACL Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
CDC Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
CMS Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
FDA Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
HRSA Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
IHS Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
NIH Date N/A N/A N/A N/A N/A N/A N/A N/A N/A 2017-12-21
Number of Days 0 0 0 0 0 0 0 0 0 212
OASH Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
OIG Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
SAMHSA Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days 0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL Date 2017-04-05 2017-03-27 2017-02-27 2017-01-12 2016-12-16 2016-09-12 2016-09-07 2016-05-05 2016-03-01 2015-10-06
Number of Days 375 382 402 432 449 515 518 604 651 749

XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- REQUESTS RECEIVED AND PROCESSED

Agency / Component 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 1,293 1,573 770 1,016
ACF 165 533 332 290
ACL 28 75 30 74
CDC 163 1,186 1,295 1,219
CMS 18,016 17,926 18,142 17,791
FDA 11,062 10,256 10,881 9,925
HRSA 247 280 249 282
IHS 143 163 152 123
NIH 1,389 1,426 1,246 1,266
OASH 340 353 281 221
OIG 1,043 1,506 1,037 1,520
SAMHSA 133 168 134 149
AGENCY OVERALL 34,022 35,445 34,549 33,876

After reviewing its database, HHS adjusted the number of requests received and processed in FY17.

XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED REQUESTS

Agency / Component 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 629 1,184
ACF 150 383
ACL 0 2
CDC 78 24
CMS 1,081 1,353
FDA 2,279 2,666
HRSA 26 23
IHS 15 66
NIH 152 343
OASH 72 206
OIG 30 21
SAMHSA 22 35
AGENCY OVERALL 4,534 6,306

After reviewing its database, HHS adjusted the number of backlogged requests as of the end of FY17.

XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- APPEALS RECEIVED AND PROCESSED

Agency / Component 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 154 158 118 107
CMS 62 68 123 63
AGENCY OVERALL 216 226 241 170

XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS

Agency / Component Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report
OS 235 295
CMS 116 126
AGENCY OVERALL 351 421

 

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