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Freedom of Information Annual Report — FY 2013
Get a Printable Copy of the FOIA Annual Report — FY 2013
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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.htmADDRESS FOR 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 NCATS 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NCI 31 Center Drive
Bethesda, MD 2089210A48 301-496-2999 NHGRI 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NINR 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NCRR 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NEI 31
9000 Rockville Pike
Bethesda, MD 208926A19 301-496-4334 NHLBI 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NIA 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NIAAA 31
9000 Rockville Pike
Bethesda, MD 208926A19 301-496-4334 NIAID 6610 Rockledge Drive
Bethesda, MD 208172600 301-451-5109 NIAMS 6701 Democracy Blvd. Bethesda, MD 20892 854 301-594-3504 NIBIB 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NICHD 31
9000 Rockville Pike
Bethesda, MD 208922A32 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 208926054 301-496-9737 NIEHS Mail Drop k3-16
Box 12233
Research Triangle Pk., NC
27709919-541-3411 NIGMS 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NIMH 6001 Executive Blvd. Rockville, MD 20852 8209 301-443-6130 NINDS 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NLM 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NCCAM 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 NCMHD 6705 Rockledge Drive
Bethesda, MD 208926054 301-496-9737 CC 10 Cloister Court
Bethesda, MD 2089261 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 208922B37 301-402-3570 ORF 31
9000 Rockville Pike
Bethesda, MD 208924B30 301-402-1661 OTT 6011 Executive Blvd. Rockville, MD 20852 325 301-435-5377 - 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.
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- ACRONYMS, DEFINITIONS, AND EXEMPTIONS:
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Agency-specific acronyms or other terms:
Acronym Institute/Center NCATS National Center for Advancing Translational Sciences NCI National Cancer Institute NHGR 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).
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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
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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 - FOIA Requests
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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
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(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
- (2) Disposition of FOIA Requests – Other N/A
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(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
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- 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
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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 -
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 - Processed Requests – Response Time in Day Increments
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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 -
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 -
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
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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 -
Pending Requests – Ten Oldest Pending Perfected Requests
Requests Date 10th Oldest Request
Date rec'd / # days pending7-17-13
539th 6-13-13
768th 6-10-13
797th 6-10-13
796th 6-10-13
795th 6-6-13
814th 4-30-13
993rd 4-18-13
1152nd 12-31-12
190Oldest Request
Date Rec'd / # of days pending3-22-11
636
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- REQUESTS FOR EXPEDITED PROVESSING AND REQUESTS FOR FEE WAIVER
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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 -
Requests for Fee Waiver
# Granted # Denied Median # Days to Adjudicate Avg. # Days to Adjudicate 0 6 3 4.67
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- FOIA PERSONNEL AND COSTS
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Personnel
Personnel # Full-time FOIA Employees 17 Equivalent Full-time FOIA Employees 14.31 Total Full-time FOIA staff 31.31 -
Costs
Costs Type Cost Processing Costs $3,336,857.90 Litigation-related Costs $26,340.00 Total Costs $3,363,197.90
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- FEES COLLECTED FOR PROCESSING REQUESTS
- Total Amount of fees collected: $ 21,935.44
- Percentage of total cost: 0.65 %
- FOIA REGULATIONS
http://www.hhs.gov/foia/45cfr5.html. - BACKLOGS, CONSULTATIONS, AND COMPARISONS
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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 -
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 -
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 -
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 ReportNumber of Backlogged Requests as of
End of the Fiscal Year from Current
Annual Report33 26 -
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
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This page last reviewed on March 14, 2016