Freedom of Information Annual Report — FY 2013

  1. AGENCY: 鶹Ƶ

    REPORT PREPARED BY: Susan R. Cornell, J.D.

    TITLE: Freedom of Information Officer, 鶹Ƶ

    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:

    ADDRESS FOR ADDRESS FOR PAPER COPIES OF THIS REPORT:
    Building 31 Room 5B35; 9000 Rockville Pike, Bethesda, MD 20892

  2. HOW TO MAKE A FOIA REQUEST:

    1. 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
      NCATS 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NCI 31 Center Drive
      Bethesda, MD 20892      		 10A48 301-496-2999
      NHGRI 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NINR 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NCRR 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NEI 31
      9000 Rockville Pike
      Bethesda, MD 20892      		 6A19 301-496-4334
      NHLBI 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NIA 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NIAAA 31
      9000 Rockville Pike
      Bethesda, MD 20892      		 6A19 301-496-4334
      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      		 6054 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      		 6054 301-496-9737
      NIEHS Mail Drop k3-16
      Box 12233
      Research Triangle Pk., NC
      27709      		 919-541-3411
      NIGMS 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NIMH 6001 Executive Blvd. Rockville, MD 20852 8209 301-443-6130
      NINDS 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NLM 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NCCAM 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 301-496-9737
      NCMHD 6705 Rockledge Drive
      Bethesda, MD 20892      		 6054 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 625J 301-435-0855
      CSR 6701 Rockledge Dr. Bethesda, MD 20817 3030 301-435-1856
      FIC 6705 Rockledge Dr. Betheseda, MD 20892 6054 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 31
      9000 Rockville Pike
      Bethesda, MD 20892      		 2B37 301-402-3570
      ORF 31
      9000 Rockville Pike
      Bethesda, MD 20892      		 4B30 301-402-1661
      OTT 6011 Executive Blvd. Rockville, MD 20852 325 301-435-5377
    2. 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, primarily Exemption 4 because the requested record contains proprietary information, Exemption 5 because the requested record contains information that would reveal internal agency deliberations, or Exemption 6 because the requested record contains personal information such as home address and phone number or medical information.
  3. ACRONYMS, DEFINITIONS, AND EXEMPTIONS:

    1. Agency-specific acronyms or other terms:

      Acronym Institute/Center
      NCATS 鶹Ƶ Center for Advancing Translational Sciences
      NCI 鶹Ƶ Cancer Institute
      NHGR 鶹Ƶ Human Genome Research Institute
      NINR 鶹Ƶ Institute of Nursing Research
      NCRR 鶹Ƶ Center for Research Resources
      NEI 鶹Ƶ Eye Institute
      NHLBI 鶹Ƶ Heart, Lung, and Blood Institute
      NIA 鶹Ƶ Institute on Aging
      NIAAA 鶹Ƶ Institute on Alcohol Abuse and Alcoholism
      NIAID 鶹Ƶ Institute of Allergy and Infectious Diseases
      NIAMS 鶹Ƶ Institute on Arthritis and Musculoskeletal and Skin Diseases
      NIBIB 鶹Ƶ Institute of Biomedical Imaging and Bioengineering
      NICHD 鶹Ƶ Institute of Child Health and Human Development
      NIDA 鶹Ƶ Institute on Drug Abuse
      NIDCD 鶹Ƶ Institute on Deafness and Other Communication Disorders
      NIDDK 鶹Ƶ Institute of Diabetes and Digestive and Kidney Diseases
      NIDCR 鶹Ƶ Institute of Dental and Craniofacial Research
      NIEHS 鶹Ƶ Institute of Environmental Health Sciences
      NIGMS 鶹Ƶ Institute of General Medical Sciences
      NIMH 鶹Ƶ Institute of Mental Health
      NINDS 鶹Ƶ Institute of Neurological Disorders and Stroke
      NLM 鶹Ƶ Library of Medicine
      CC Warren Grant Magnuson Clinical Center
      CIT Center for Information Technology
      NCCAM 鶹Ƶ Center for Complementary and Alternative Medicine
      NCMHD 鶹Ƶ 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
    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. Include the following 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
      5. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
      6. Exemption 6: information involving matters of personal privacy
      7. 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
      8. Exemption 8: information relating to the supervision of financial institutions
      9. Exemption 9: geological information on wells

  4. EXEMPTION 3 STATUTES

    Statute Type of Information Withheld Case Citation Total # of Times Relied upon by Agency
    5 U.S.C. §574(j) Administrative Dispute Resolutions Act Confidential communications with agency Ombudsman (3rd party neutral)
    22 U.S.C. §288a Int’l Organizations Immunities Act of 1945 Records originating with the World Bank 1
    35 U.S.C. §202(c)(5) Bayh-Dole Act Invention Utilization Reports 1
    42 U.S.C. §262a(h)(1) Bioterrorism Response Act Information regarding select agents 1
  5. FOIA Requests

    1. 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 of the End of the Fiscal Year
      96 1210 1236 70

    1. (1) Disposition of FOIA Requests:

      FOIA Requests #
      # of Full Grants 772
      # of Partial Grants/Partial Denials 102
      # of Full Denials Based on Exemptions 11
      # of Full Denials – No Records 113
      # of Full Denials – Records Referred to Another Component or Agency 15
      # of Full Denials – Request Withdrawn 175
      # of Full Denials – Fee Related Reason 6
      # of Full Denials – Records not Reasonably Described 17
      # of Full Denials – Improper FOIA Request for Other Reason 6
      # of Full Denials – Not Agency Record 13
      # of Full Denials – Duplicate Request 6
      # of Full Denials – Other (see below) 0
      Total Requests Processed 1236
    1. (2) Disposition of FOIA Requests – Other N/A

    1. (3) Disposition of FOIA Requests - Number of times exemptions applied

      Exemption 1 0
      Exemption 2 0
      Exemption 3 4
      Exemption 4 18
      Exemption 5 26
      Exemption 6 45
      Exemption 7(A) 9
      Exemption 7(B) 0
      Exemption 7(C) 4
      Exemption 7(D) 0
      Exemption 7(E) 0
      Exemption 7(F) 0
      Exemption 8 0
      Exemption 9 0
  6. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS

    See Department of Health and Human Services Annual Report

  7. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS

    1. Processed Requests – Response Time for All Processed Perfected Requests

      Request Type Median # Days Avg # Days Lowest # Days Highest # Days
      Simple Requests 12 15 1 93
      Complex Requests 43 70 1 742
      Expedited Processing 0 0 0 0

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

      Request Type Median # Days Avg # Days Lowest # Days Highest # Days
      Simple Requests 15 17 1 93
      Complex Requests 51 74 1 742
      Expedited Processing 0 0 0 0
    3. Processed Requests – Response Time in Day Increments

      1. Simple Requests

        Days # of Requests Processed
        < 1 day 35
        1-20 days 761
        21-40 days 198
        41-60 days 38
        61-80 days 8
        81-100 days 6
        101-120 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 1046

      2. Complex Requests

        Days # of Requests Processed
        < 1 day 2
        1-20 days 47
        21-40 days 44
        41-60 days 24
        61-80 days 24
        81-100 days 18
        101-120 7
        121-140 days 3
        141-160 days 3
        161-180 days 5
        181-200 days 3
        201-300 days 4
        301-400 days 3
        401+ 3
        Total 190

      3. Requests Granted 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

    4. Pending Requests – All Pending Perfected Requests

      Request Type # Pend. Median # Days Avg # Days
      Simple Requests 45 11 14
      Complex Requests 25 31 72
      Expedited Processing 0 0 0

    5. Pending Requests – Ten Oldest Pending Perfected Requests

      Requests Date
      10th Oldest Request
      Date rec'd / # days pending      		 7-17-13
      53
      9th 6-13-13
      76
      8th 6-10-13
      79
      7th 6-10-13
      79
      6th 6-10-13
      79
      5th 6-6-13
      81
      4th 4-30-13
      99
      3rd 4-18-13
      115
      2nd 12-31-12
      190
      Oldest Request
      Date Rec'd / # of days pending      		 3-22-11
      636
  8. REQUESTS FOR EXPEDITED PROVESSING AND REQUESTS FOR FEE WAIVER

    1. Requests for Expedited Processing

      # Granted # Denied Median # Days to Adjudicate Avg. # Days to Adjudicate # Adjudicated w/i 10 calendar days
      0 3 4 4 3

    2. Requests for Fee Waiver

      # Granted # Denied Median # Days to Adjudicate Avg. # Days to Adjudicate
      0 6 3 4.67
  9. FOIA PERSONNEL AND COSTS

    1. Personnel

      Personnel #
      Full-time FOIA Employees 17
      Equivalent Full-time FOIA Employees 14.31
      Total Full-time FOIA staff 31.31

    2. Costs

      Costs Type Cost
      Processing Costs $3,336,857.90
      Litigation-related Costs $26,340.00
      Total Costs $3,363,197.90
  10. FEES COLLECTED FOR PROCESSING REQUESTS
    1. Total Amount of fees collected: $ 21,935.44
    2. Percentage of total cost: 0.65 %
  11. FOIA REGULATIONS
    .
  12. BACKLOGS, CONSULTATIONS, AND COMPARISONS

    1. 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
      26 See Department of Health and Human Services Annual Report

    2. 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 # of Consultations Rec’d from Other Agencies that were Pending at the End of the FY
      0 7 7 0

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

      10thng Oldest Consultation and Number of Days Pending 9th 8th 7th 6th 5th 4th 3th 2th Oldest Consultation and Number of Days Pending
      Date Number of Days NA NA NA NA NA NA NA NA NA

    4. Comparison of NUmbers of Requets from Previous and Annual report - Requests Received, Processed, and Backlogged

      Number of Requests Processed Number of Requests Processed
      # Rec’d in FY 2012 (from Annual Rpt) 1147
      # Rec’d in FY 2013 (from Annual Rpt) 1210
      # Processed during FY 2012 (from Annual Rpt) 1130
      # Processed during FY 2013(from Annual Rpt) 1236
      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
      33 26

    5. 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

This page last reviewed on March 14, 2016