Content created by Freedom of Information Act (FOIA) Division
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 Brandon Gaylord, FOIA Public Liaison, at the address or telephone number listed above, or at: https://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: https://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: https://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: https://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: https://www.cms.gov/Research-Statistics-Data-and-Systems/Computer-Data-and-Systems/Privacy/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: https://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: https://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: https://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: https://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: https://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: https://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: https://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:
4. Agency Component Abbreviations:
| Component Abbreviation | Component Name |
|---|---|
| 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 |
| OS | Office of the Secretary |
| SAMHSA | Substance Abuse and Mental Health Services Administration |
Section III: Acronyms, Definitions, and Exemptions
1. Following are definitions of terms used in this report:
a. 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.
b. Average Number – the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the For example, of 3, 7, and 14, the average number is 8.
c. 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.
d. 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 FOIA Report data for both the agency overall and for each principal component of the agency.
e. Consultation – the procedure whereby the agency responding to a FOIA request first forwards a record to another agency or component within the same agency for its review because that other agency has an interest in the doc Once the agency in receipt of the consultation finishes its review of the record, it responds back to the agency or component within the same agency that forwarded it. That agency, in turn, will then respond to the FOIA requester.
f. 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.
g. 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.)
h. Full Grant – an agency decision to disclose all records in full in response to a FOIA request.
i. 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.
j. Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
k. 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.
i. 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.
ii. 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.
iii. 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.
l. 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.
m. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
n. 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.
o. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
p. Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.
q. 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).
2. Following are concise descriptions of the nine FOIA exemptions:
a. Exemption 1: classified national defense and foreign relations information
b. Exemption 2: information that is related solely to the internal personnel rules and practices of an agency
c. Exemption 3: information that is prohibited from disclosure by another federal law
d. Exemption 4: trade secrets and other confidential business information
e. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
f. Exemption 6: information involving matters of personal privacy
g. 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
h. Exemption 8: information relating to the supervision of financial institutions
i. Exemption 9: geological information on wells
3. Agency Component Abbreviations
| Component Abbreviation | Component Name |
|---|---|
| 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 |
| OS | Office of the Secretary |
| 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 | 10 | 10 |
| 42 U.S.C. § 262a(h) | Bioterrorism-related information | N/A | CDC | 3 | 3 |
| 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 | 3 | 42 |
| CMS | 28 | ||||
| FDA | 3 | ||||
| HRSA | 1 | ||||
| OASH | 7 | ||||
| 42 U.S.C. § 1320c-9(a) | Information related to Quality Improvement Organization records.* | N/A | CMS | 2 | 2 |
| 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 | 183 | 183 |
| 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 | 1 | 1 |
| 21 U.S.C. § 350d(a)4 | Food Registration Documents | N/A | FDA | 3 | 3 |
| 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 agency's withholdings under 5 U.S.C. § 552(b) (4), (5), and (6) not (b)(3). | FDA | 1 | 1 |
| 42 U.S.C. § 11137(b)(1) | National Practioner Data Bank information | N/A | HRSA | 7 | 7 |
| 42 U.S.C. § 300aa12(d)(4)(A) | “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 | 2 | 2 |
| 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). | NIH | 1 | 1 |
| 35 U.S.C. § 205 | Information pertaining to invention in which the Federal Government owns or may own a right, title, or interest (including a nonexclusive license) | N/A | NIH | 2 | 2 |
| 7 U.S.C. § 8401 | Registration and transfer documentation for listed biological agents and toxins, and information derived therefrom | N/A | NIH | 2 | 2 |
| 15 U.S.C. § 3710a(c) (Federal Technology Transfer Act) | “[T]rade secrets or commercial or financial information that is privileged or confidential, under the meaning of section 552(b)(4) of Title 5, which is obtained in the conduct of research or as a result of activities under this chapter,” which pertains to cooperative research and development agreements for the purpose of technological and industrial innovation | Pub. Citizen Health Research Group v. NIH, 209 F. Supp. 2d 37, 43, 51 (D.D.C. 2002); DeLorme Pub. Co., Inc. v. NOAA, 917 F. Supp. 867, 871-72 (D. Me. 1996), appeal dismissed per stipulation, No. 96-1601 (1st Cir. July 8, 1996). | NIH | 1 | 1 |
| 35 U.S.C. § 209(f) | Plans of a licensee for development or marketing of a federally owned invention. | N/A | NIH | 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 | 36 | 36 |
| Fed. R. Crim. P. 6(e), enacted by Act of July 30, 1977, Pub. L. No. 95-78, 91 Stat. 319 | Certain records that would reveal some secret aspect pertaining to grand jury proceedings | Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 2007); Sorin v. DOJ, No. 18-99, 2018 WL 6431027 (2d Cir. Dec. 6, 2018) (per curium); Widi v. McNeil, No. 12-CV-00188, 2016 WL 4394724, at *23 (D. Me. Aug 16, 2016); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O’Connor v. U.S. Dep’t of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008). | OIG | 2 | 2 |
* Certain information related to Quality Improvement Organizations are discussed in 42 CFR §480.139, which states the provisions of the Social Security Act §1160(a)(42 U.S.C. §1320C-9), which precludes QIOs as a Federal Agency, therefore, not subject to the FOIA.
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 |
|---|---|---|---|---|
| ACF | 408 | 431 | 139 | 700 |
| ACL | 4 | 125 | 123 | 6 |
| CDC | 130 | 1270 | 1263 | 137 |
| CMS | 2013 | 16694 | 16759 | 1948 |
| FDA | 3026 | 11578 | 10966 | 3638 |
| HRSA | 33 | 278 | 261 | 50 |
| IHS | 69 | 162 | 81 | 150 |
| NIH | 406 | 1533 | 1686 | 253 |
| OASH | 237 | 361 | 142 | 456 |
| OIG | 23 | 1354 | 1346 | 31 |
| OS | 1317 | 1372 | 843 | 1846 |
| SAMHSA | 46 | 200 | 208 | 38 |
| AGENCY OVERALL | 7712 | 35358 | 33817 | 9253 |
After reviewing its database, HHS updated the number of requests pending at the start of the Fiscal Year for the following components: ACL, CMS, FDA, IHS, NIH, SAMSHA.
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 | ||||
| ACF | 71 | 27 | 6 | 4 | 15 | 5 | 0 | 1 | 3 | 2 | 5 | 0 | 139 |
| ACL | 1 | 23 | 1 | 77 | 0 | 1 | 0 | 3 | 16 | 0 | 1 | 0 | 123 |
| CDC | 263 | 354 | 18 | 232 | 37 | 278 | 12 | 4 | 11 | 14 | 40 | 0 | 1263 |
| CMS | 3608 | 2931 | 5124 | 1851 | 108 | 679 | 391 | 94 | 1022 | 568 | 358 | 25 | 16759 |
| FDA | 7240 | 67 | 166 | 474 | 48 | 1910 | 326 | 330 | 169 | 41 | 186 | 9 | 10966 |
| HRSA | 66 | 93 | 9 | 37 | 6 | 12 | 5 | 6 | 12 | 14 | 1 | 0 | 261 |
| IHS | 30 | 12 | 6 | 12 | 4 | 12 | 0 | 0 | 0 | 4 | 1 | 0 | 81 |
| NIH | 862 | 419 | 15 | 162 | 18 | 166 | 12 | 9 | 10 | 5 | 8 | 0 | 1686 |
| OASH | 67 | 19 | 6 | 27 | 7 | 6 | 0 | 3 | 1 | 5 | 1 | 0 | 142 |
| OIG | 88 | 172 | 409 | 361 | 69 | 146 | 0 | 0 | 0 | 83 | 18 | 0 | 1346 |
| OS | 38 | 43 | 13 | 38 | 501 | 114 | 0 | 25 | 6 | 31 | 34 | 0 | 843 |
| SAMHSA | 75 | 78 | 0 | 39 | 2 | 7 | 0 | 2 | 2 | 3 | 0 | 0 | 208 |
| AGENCY OVERALL | 12409 | 4238 | 5773 | 3314 | 815 | 3336 | 746 | 477 | 1252 | 770 | 653 | 34 | 33817 |
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 |
|---|---|---|---|
| ACF | N/A | 0 | 0 |
| ACL | N/A | 0 | 0 |
| CDC | N/A | 0 | 0 |
| CMS | Unable to locate or contact requester | 25 | 25 |
| FDA | Unable to locate or contact requester | 9 | 9 |
| HRSA | N/A | 0 | 0 |
| IHS | N/A | 0 | 0 |
| NIH | N/A | 0 | 0 |
| OASH | N/A | 0 | 0 |
| OIG | N/A | 0 | 0 |
| OS | N/A | 0 | 0 |
| SAMHSA | N/A | 0 | 0 |
| AGENCY OVERALL | 34 |
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| ACF | 0 | 0 | 0 | 3 | 3 | 26 | 0 | 0 | 2 | 0 | 0 | 1 | 0 | 0 |
| ACL | 0 | 0 | 0 | 4 | 5 | 23 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| CDC | 0 | 2 | 15 | 78 | 117 | 313 | 3 | 1 | 1 | 0 | 0 | 0 | 0 | 3 |
| CMS | 0 | 1 | 213 | 436 | 101 | 6730 | 2 | 28 | 1165 | 71 | 4 | 0 | 0 | 0 |
| FDA | 0 | 6 | 8 | 97 | 17 | 33 | 84 | 1 | 14 | 4 | 7 | 1 | 0 | 0 |
| HRSA | 0 | 0 | 10 | 78 | 24 | 66 | 1 | 0 | 0 | 0 | 0 | 6 | 0 | 0 |
| IHS | 0 | 0 | 0 | 3 | 6 | 14 | 5 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| NIH | 0 | 0 | 8 | 241 | 61 | 361 | 18 | 0 | 4 | 1 | 3 | 0 | 0 | 0 |
| OASH | 0 | 0 | 7 | 9 | 2 | 16 | 0 | 0 | 7 | 0 | 0 | 0 | 0 | 0 |
| OIG | 0 | 2 | 36 | 268 | 88 | 503 | 401 | 0 | 454 | 2 | 12 | 52 | 0 | 0 |
| OS | 0 | 2 | 0 | 12 | 21 | 38 | 9 | 0 | 28 | 0 | 0 | 1 | 0 | 0 |
| SAMHSA | 0 | 0 | 0 | 67 | 0 | 76 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| AGENCY OVERALL | 0 | 13 | 297 | 1296 | 445 | 8199 | 523 | 30 | 1675 | 78 | 26 | 61 | 0 | 3 |
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 | 299 | 173 | 88 | 384 |
| CMS | 128 | 69 | 42 | 155 |
| AGENCY OVERALL | 427 | 242 | 130 | 539 |
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 | 7 | 3 | 13 | 65 | 88 |
| CMS | 13 | 2 | 0 | 27 | 42 |
| AGENCY OVERALL | 20 | 5 | 13 | 92 | 130 |
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 | 0 | 2 | 1 | 4 | 1 | 0 | 1 | 0 | 0 | 0 | 0 | 0 |
| CMS | 0 | 0 | 0 | 3 | 2 | 14 | 1 | 0 | 4 | 0 | 1 | 0 | 0 | 0 |
| AGENCY OVERALL | 0 | 0 | 0 | 5 | 3 | 18 | 2 | 0 | 5 | 0 | 1 | 0 | 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 | 0 | 23 | 19 | 0 | 0 | 6 | 0 | 5 | 12 | 0 | 0 |
| CMS | 9 | 2 | 13 | 0 | 1 | 1 | 0 | 0 | 0 | 0 | 1 |
| AGENCY OVERALL | 9 | 25 | 32 | 0 | 1 | 7 | 0 | 5 | 12 | 0 | 1 |
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 | N/A | 0 | 0 |
| CMS | Unable to locate or contact the requester | 1 | 1 |
| AGENCY OVERALL | 1 |
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 | 175 | 307.73 | <1 | 1053 |
| CMS | 495 | 600 | 8 | 1681 |
| AGENCY OVERALL | 242.85 | 365.54 | <1 | 1681 |
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 | 2014-06-16 | 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 | 1328 | 1352 | 1380 | 1385 | 1391 | 1411 | 1534 | 1629 | 1871 | 2077 | |
| CMS | Date of Appeal | 2014-09-10 | 2014-07-21 | 2014-06-30 | 2014-03-10 | 2014-03-10 | 2014-03-10 | 2014-02-11 | 2012-04-23 | 2012-04-12 | 2011-12-09 |
| Number of Days Pending | 1319 | 1356 | 1371 | 1451 | 1451 | 1451 | 1470 | 1941 | 1948 | 2037 | |
| AGENCY OVERALL | Date of Appeal | 2014-03-10 | 2014-03-10 | 2014-02-11 | 2013-08-19 | 2013-04-04 | 2012-04-17 | 2012-04-23 | 2012-04-12 | 2011-12-09 | 2011-06-21 |
| Number of Days Pending | 1451 | 1451 | 1470 | 1534 | 1629 | 1871 | 1941 | 1948 | 2037 | 2077 |
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 | 3 | 52.37 | <1 | 1434 | 50 | 162.26 | <1 | 1557 | 453 | 315 | 39 | 453 |
| ACF | 87 | 94.21 | <1 | 281 | 69 | 155.23 | <1 | 1087 | N/A | N/A | N/A | N/A |
| ACL | 2 | 14 | <1 | 107 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| CDC | 10 | 122.6 | <1 | 79 | 14 | 26.23 | <1 | 1000 | 35 | 35 | 35 | 35 |
| CMS | 17 | 16 | <1 | 184 | 9 | 43 | <1 | 1370 | 244 | 410 | 20 | 1424 |
| FDA | 3 | 12 | 1 | 905 | 33 | 135 | 1 | 1880 | 12 | 12 | 10 | 14 |
| HRSA | 6 | 7 | <1 | 20 | 44 | 55 | 21 | 167 | N/A | N/A | N/A | N/A |
| IHS | 172 | 192 | 8 | 656 | 67.5 | 83.67 | 1 | 240 | N/A | N/A | N/A | N/A |
| NIH | 16 | 29 | 1 | 883 | 145 | 198 | 1 | 902 | N/A | N/A | N/A | N/A |
| OASH | 8 | 19.84 | <1 | 182 | 65 | 108.16 | <1 | 616 | N/A | N/A | N/A | N/A |
| OIG | 1 | 3 | 1 | 19 | 27 | 44 | 1 | 395 | N/A | N/A | N/A | N/A |
| SAMHSA | 10 | 10 | 10 | 10 | 17 | 51 | <1 | 601 | N/A | N/A | N/A | N/A |
| AGENCY OVERALL | 8.47 | 18.54 | <1 | 1434 | 39.43 | 101.96 | <1 | 1880 | 85.51 | 57.88 | 10 | 1424 |
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 | 87.5 | 167 | 4 | 1194 | 162 | 223.98 | <1 | 951 | N/A | N/A | N/A | N/A |
| ACF | 90 | 96.38 | <1 | 281 | 115 | 151.75 | <1 | 1074 | N/A | N/A | N/A | N/A |
| ACL | 31 | 38.6 | <1 | 107 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| CDC | 14 | 15.79 | <1 | 79 | 28 | 42.74 | <1 | 1000 | 35 | 35 | 35 | 35 |
| CMS | 17 | 18 | <1 | 184 | 20 | 60 | <1 | 1370 | 244 | 351 | 33 | 1169 |
| FDA | 3 | 12 | 1 | 905 | 33 | 136 | 1 | 1880 | 12 | 12 | 10 | 14 |
| HRSA | 6 | 7 | <1 | 20 | 45 | 56 | 21 | 167 | N/A | N/A | N/A | N/A |
| IHS | 172 | 192 | 8 | 656 | 67.5 | 83.67 | 1 | 240 | N/A | N/A | N/A | N/A |
| NIH | 18 | 33 | 1 | 883 | 162 | 207 | 1 | 902 | N/A | N/A | N/A | N/A |
| OASH | 8 | 22 | <1 | 182 | 96 | 133.06 | 4 | 616 | N/A | N/A | N/A | N/A |
| OIG | 4 | 5 | 1 | 19 | 34 | 66 | 1 | 395 | N/A | N/A | N/A | N/A |
| SAMHSA | 10 | 10 | 10 | 10 | 17 | 44 | <1 | 32 | N/A | N/A | N/A | N/A |
| AGENCY OVERALL | 9.64 | 16.68 | <1 | 1194 | 33.77 | 103.29 | <1 | 1880 | 79.93 | 62.16 | 10 | 1169 |
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 | 440 | 27 | 22 | 13 | 2 | 6 | 3 | 9 | 2 | 5 | 10 | 5 | 19 | 563 |
| ACF | 10 | 8 | 6 | 2 | 2 | 8 | 4 | 1 | 4 | 7 | 5 | 0 | 0 | 57 |
| ACL | 69 | 10 | 1 | 5 | 2 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 88 |
| CDC | 331 | 67 | 8 | 3 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 409 |
| CMS | 2796 | 104 | 63 | 12 | 2 | 2 | 0 | 2 | 0 | 2 | 0 | 0 | 0 | 2983 |
| FDA | 586 | 578 | 488 | 567 | 468 | 494 | 436 | 561 | 718 | 419 | 755 | 25 | 19 | 6114 |
| HRSA | 149 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 149 |
| IHS | 3 | 3 | 0 | 0 | 1 | 0 | 0 | 0 | 1 | 0 | 2 | 3 | 1 | 14 |
| NIH | 825 | 311 | 91 | 37 | 26 | 17 | 7 | 16 | 6 | 4 | 15 | 7 | 4 | 1366 |
| OASH | 15 | 2 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 1 | 0 | 0 | 0 | 19 |
| OIG | 757 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 757 |
| SAMHSA | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1 |
| AGENCY OVERALL | 5982 | 1110 | 680 | 639 | 503 | 528 | 450 | 589 | 731 | 438 | 787 | 40 | 43 | 12520 |
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 | 61 | 48 | 33 | 6 | 9 | 10 | 9 | 5 | 5 | 4 | 10 | 13 | 34 | 247 |
| ACF | 19 | 10 | 8 | 5 | 3 | 2 | 4 | 6 | 3 | 1 | 8 | 0 | 8 | 77 |
| ACL | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| CDC | 511 | 187 | 65 | 21 | 13 | 11 | 8 | 4 | 3 | 3 | 4 | 4 | 1 | 835 |
| CMS | 9005 | 1096 | 568 | 392 | 257 | 202 | 202 | 107 | 87 | 71 | 239 | 157 | 274 | 12657 |
| FDA | 84 | 221 | 170 | 179 | 270 | 269 | 251 | 332 | 490 | 310 | 833 | 249 | 671 | 4329 |
| HRSA | 0 | 39 | 28 | 7 | 8 | 4 | 3 | 3 | 2 | 0 | 0 | 0 | 0 | 94 |
| IHS | 8 | 10 | 10 | 9 | 4 | 3 | 3 | 8 | 2 | 1 | 5 | 0 | 0 | 63 |
| NIH | 35 | 44 | 21 | 14 | 10 | 7 | 7 | 11 | 10 | 9 | 34 | 24 | 57 | 283 |
| OASH | 24 | 23 | 10 | 6 | 9 | 10 | 5 | 3 | 2 | 2 | 12 | 7 | 3 | 116 |
| OIG | 151 | 282 | 42 | 76 | 6 | 4 | 3 | 6 | 2 | 11 | 6 | 0 | 0 | 589 |
| SAMHSA | 112 | 25 | 16 | 9 | 8 | 8 | 5 | 5 | 3 | 2 | 3 | 3 | 4 | 203 |
| AGENCY OVERALL | 10010 | 1985 | 971 | 724 | 597 | 530 | 500 | 490 | 609 | 414 | 1154 | 457 | 1052 | 19493 |
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 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 2 | 3 |
| ACF | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| ACL | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| CDC | 0 | 0 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 1 |
| CMS | 1 | 3 | 1 | 1 | 0 | 3 | 1 | 2 | 0 | 0 | 6 | 1 | 14 | 33 |
| FDA | 0 | 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 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 | 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 |
| SAMHSA | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| AGENCY OVERALL | 1 | 6 | 2 | 1 | 0 | 3 | 1 | 2 | 0 | 0 | 6 | 1 | 16 | 39 |
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 | 509 | 502 | 456 | 1320 | 254 | 342 | 17 | 530 | 532 |
| ACF | 11 | 84 | 124 | 670 | 270 | 299 | 2 | 304.5 | 304 |
| ACL | 6 | 51.5 | 70 | 0 | N/A | N/A | 0 | N/A | N/A |
| CDC | 19 | 4 | 8 | 89 | 13 | 31 | 0 | N/A | N/A |
| CMS | 244 | 7 | 19 | 1661 | 66 | 151 | 43 | 424 | 398 |
| FDA | 250 | 24 | 53 | 3320 | 214 | 284 | 0 | N/A | N/A |
| HRSA | 26 | 10 | 18 | 24 | 28 | 31 | 0 | N/A | N/A |
| IHS | 51 | 359 | 406 | 98 | 108 | 107 | 0 | N/A | N/A |
| NIH | 107 | 20 | 19 | 146 | 20 | 22 | 0 | N/A | N/A |
| OASH | 139 | 368 | 359 | 313 | 140 | 163 | 0 | N/A | N/A |
| OIG | 1 | 8 | 8 | 30 | 27 | 73 | 0 | N/A | N/A |
| SAMHSA | 2 | 586 | 586 | 36 | 214 | 264 | 0 | N/A | N/A |
| AGENCY OVERALL | 1365 | 247.31 | 238.98 | 7707 | 168.79 | 232.73 | 62 | 275.88 | 271.97 |
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 | 2013-12-03 | 2013-12-02 | 2013-11-26 | 2013-11-25 | 2013-11-18 | 2013-10-30 | 2013-10-29 | 2013-10-28 | 2013-10-25 | 2013-10-18 |
| Number of Days Pending | 1462 | 1463 | 1466 | 1467 | 1472 | 1484 | 1485 | 1486 | 1487 | 1492 | |
| ACF | Date of Receipt | 2014-08-05 | 2014-07-29 | 2014-07-28 | 2014-07-28 | 2014-07-08 | 2015-06-18 | 2014-06-05 | 2014-05-08 | 2014-05-05 | 2014-01-24 |
| Number of Days Pending | 1293 | 1298 | 1299 | 1299 | 1313 | 1326 | 1335 | 1354 | 1357 | 1427 | |
| ACL | Date of Receipt | N/A | N/A | N/A | N/A | 2019-09-27 | 2019-08-07 | 2019-08-05 | 2019-06-28 | 2019-05-08 | 2019-01-18 |
| Number of Days Pending | 0 | 0 | 0 | 0 | 1 | 37 | 39 | 64 | 100 | 176 | |
| CDC | Date of Receipt | 2019-07-23 | 2019-07-02 | 2019-06-26 | 2019-06-06 | 2019-05-30 | 2019-04-15 | 2019-02-20 | 2018-10-17 | 2018-01-31 | 2018-01-31 |
| Number of Days Pending | 48 | 62 | 66 | 80 | 85 | 115 | 155 | 237 | 414 | 417 | |
| CMS | Date of Receipt | 2014-07-30 | 2014-06-05 | 2014-05-27 | 2014-03-31 | 2014-03-20 | 2013-12-27 | 2013-12-20 | 2013-11-26 | 2013-07-11 | 2013-06-25 |
| Number of Days Pending | 1349 | 1388 | 1395 | 1436 | 1443 | 1502 | 1507 | 1525 | 1623 | 1635 | |
| FDA | Date of Receipt | 2013-10-23 | 2013-10-21 | 2013-09-27 | 2013-08-30 | 2013-08-26 | 2013-07-25 | 2013-07-11 | 2013-06-25 | 2013-01-08 | 2012-08-22 |
| Number of Days Pending | 1465 | 1467 | 1471 | 1490 | 1494 | 1516 | 1522 | 1537 | 1654 | 1748 | |
| HRSA | Date of Receipt | 2019-08-12 | 2019-06-18 | 2019-08-05 | 2019-08-05 | 2019-08-05 | 2019-08-02 | 2019-07-17 | 2019-07-03 | 2019-04-17 | 2018-12-06 |
| Number of Days Pending | 34 | 35 | 39 | 39 | 39 | 40 | 52 | 61 | 115 | 204 | |
| IHS | Date of Receipt | 2017-11-27 | 2017-11-14 | 2017-10-25 | 2017-10-11 | 2017-10-13 | 2017-02-07 | 2016-12-15 | 2016-11-30 | 2016-11-04 | 2016-09-30 |
| Number of Days Pending | 478 | 488 | 498 | 512 | 512 | 690 | 728 | 739 | 757 | 782 | |
| NIH | Date of Receipt | 2017-04-21 | 2017-03-23 | 2017-03-22 | 2017-01-05 | 2016-10-13 | 2016-09-28 | 2016-09-12 | 2016-08-11 | 2016-07-06 | 2016-05-18 |
| Number of Days Pending | 622 | 642 | 643 | 694 | 751 | 762 | 773 | 794 | 820 | 853 | |
| OASH | Date of Receipt | 2017-07-17 | 2017-07-14 | 2017-06-14 | 2017-05-23 | 2017-05-10 | 2017-04-12 | 2017-02-09 | 2017-02-09 | 2017-02-06 | 2016-09-07 |
| Number of Days Pending | 554 | 555 | 576 | 591 | 600 | 620 | 663 | 663 | 666 | 768 | |
| OIG | Date of Receipt | 2019-02-14 | 2019-02-14 | 2018-10-24 | 2019-01-22 | 2019-01-22 | 2018-12-06 | 2018-11-15 | 2018-11-16 | 2018-05-29 | 2018-05-29 |
| Number of Days Pending | 162 | 162 | 170 | 179 | 179 | 212 | 225 | 226 | 349 | 349 | |
| SAMHSA | Date of Receipt | 2017-10-26 | 2017-09-19 | 2017-08-03 | 2017-06-13 | 2017-05-18 | 2017-03-06 | 2016-12-13 | 2016-09-13 | 2016-06-24 | 2016-07-05 |
| Number of Days Pending | 483 | 509 | 541 | 577 | 594 | 647 | 701 | 764 | 796 | 813 | |
| AGENCY OVERALL | Date of Receipt | 2013-12-27 | 2013-12-20 | 2013-07-25 | 2013-07-11 | 2013-11-26 | 2013-06-25 | 2013-07-11 | 2013-06-25 | 2013-01-08 | 2012-08-22 |
| Number of Days Pending | 1502 | 1507 | 1516 | 1522 | 1525 | 1537 | 1623 | 1635 | 1654 | 1748 |
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 | 3 | 6 | 29 | 103.89 | 1 |
| ACF | 0 | 0 | N/A | N/A | N/A |
| ACL | 0 | 0 | N/A | N/A | N/A |
| CDC | 1 | 108 | <1 | 4.04 | 107 |
| CMS | 25 | 56 | 8 | 15 | 47 |
| FDA | 2 | 463 | 6 | 5 | 462 |
| HRSA | 0 | 5 | <1 | <1 | 5 |
| IHS | 0 | 2 | <1 | <1 | 2 |
| NIH | 0 | 10 | 2 | 3 | 9 |
| OASH | 0 | 0 | N/A | N/A | N/A |
| OIG | 0 | 11 | 2 | 2 | 11 |
| SAMHSA | 0 | 0 | N/A | N/A | N/A |
| AGENCY OVERALL | 31 | 661 | 5.57 | 7.2 | 644 |
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 | 1 | 0 | 72 | 72 |
| ACL | 0 | 0 | N/A | N/A |
| CDC | 9 | 80 | <1 | 2.79 |
| CMS | 24 | 28 | 5 | 13 |
| FDA | 0 | 217 | 3 | 4 |
| HRSA | 1 | 2 | <1 | <1 |
| IHS | 0 | 8 | <1 | <1 |
| NIH | 1 | 14 | 17 | 17 |
| OASH | 0 | 0 | N/A | N/A |
| OIG | 0 | 37 | 2 | 2 |
| SAMHSA | 0 | 0 | N/A | N/A |
| AGENCY OVERALL | 36 | 386 | 3.35 | 4.11 |
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 | 4.00 | 14.00 | $1,548,463.09 | $820,130.99 | $2,368,594.08 |
| ACF | 2 | 8.00 | 10.00 | $389,000.00 | 0.00 | $389,000.00 |
| ACL | 0 | 0.50 | 0.50 | $109,689.00 | 0.00 | $109,689.00 |
| CDC | 17 | 0.00 | 17.00 | $2,467,991.00 | 0.00 | $2,467,991.00 |
| CMS | 31 | 62.00 | 93.00 | $4,964,013.36 | $135,933.35 | $5,099,946.71 |
| FDA | 137 | 18.00 | 155.00 | $5,000,000.00 | $400,000.00 | $5,400,000.00 |
| HRSA | 5 | 0.00 | 5.00 | $650,210.00 | $26,023.00 | $676,233.00 |
| IHS | 2 | 0.00 | 2.00 | $231,397.00 | 0.00 | $231,397.00 |
| NIH | 33 | 4.25 | 37.25 | $4,897,100.00 | $5,985.00 | $4,903,085.00 |
| OASH | 3 | 1.00 | 4.00 | $445,268.00 | 0.00 | $445,268.00 |
| OIG | 3 | 1.00 | 4.00 | $395,000.00 | $4,000.00 | $399,000.00 |
| SAMHSA | 1 | 1.00 | 2.00 | $110,000.00 | 0.00 | $110,000.00 |
| AGENCY OVERALL | 244 | 99.75 | 343.75 | $21,208,131.45 | $1,392,072.34 | $22,600,203.79 |
X. Fees Collected for Processing Requests
| Agency / Component | Total Amount of Fees Collected | Percentage of Total Costs |
|---|---|---|
| OS | 0.00 | 0.0000 |
| ACF | 0.00 | 0.0000 |
| ACL | 0.00 | 0.0000 |
| CDC | 30,784.98 | 0.0125 |
| CMS | 164,005.45 | 0.0330 |
| FDA | 363,196.50 | 0.0726 |
| HRSA | 4,753.00 | 0.0073 |
| IHS | 0.00 | 0.0000 |
| NIH | 23,748.26 | 0.0048 |
| OASH | 0.00 | 0.0000 |
| OIG | 4,005.30 | 0.0101 |
| SAMHSA | 0.00 | 0.0000 |
| AGENCY OVERALL | 590,493.49 | 0.0278 |
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 |
|---|---|---|
| ACF | 0 | 0 |
| ACL | 0 | 0 |
| CDC | 0 | 0 |
| CMS | 450 | 16,000 |
| FDA | 400 | 17,000 |
| HRSA | 20 | 70 |
| IHS | 0 | 0 |
| NIH | 4 | 191 |
| OASH | 1 | 0 |
| OIG | 0 | 265 |
| OS | 3 | 4,634 |
| SAMHSA | 0 | 0 |
| AGENCY OVERALL | 878 | 38,160 |
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 | 1,725 | 369 |
| ACF | 652 | N/A |
| ACL | 5 | N/A |
| CDC | 18 | N/A |
| CMS | 1,216 | 145 |
| FDA | 3,172 | N/A |
| HRSA | 21 | N/A |
| IHS | 150 | N/A |
| NIH | 326 | N/A |
| OASH | 421 | N/A |
| OIG | 25 | N/A |
| SAMHSA | 33 | N/A |
| AGENCY OVERALL | 7,764 | 514 |
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 | 56 | 42 | 24 | 74 |
| ACF | 4 | 7 | 6 | 5 |
| ACL | 0 | 1 | 1 | 0 |
| CDC | 4 | 17 | 21 | 0 |
| CMS | 0 | 0 | 0 | 0 |
| FDA | 0 | 34 | 34 | 0 |
| HRSA | 0 | 0 | 0 | 0 |
| IHS | 0 | 0 | 0 | 0 |
| NIH | 0 | 2 | 2 | 0 |
| OASH | 0 | 1 | 1 | 0 |
| OIG | 0 | 11 | 11 | 0 |
| SAMHSA | 0 | 0 | 0 | 0 |
| AGENCY OVERALL | 64 | 115 | 100 | 79 |
After reviewing its database, HHS adjusted the number of consults pending as of the start of the Fiscal Year for the following components: OS, CDC, NIH.
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 | 2017-04-21 | 2017-04-21 | 2017-04-05 | 2017-03-27 | 2017-02-27 | 2016-12-16 | 2016-09-07 | 2016-05-05 | 2016-03-01 | 2015-10-06 |
| Number of Days | 613 | 613 | 625 | 632 | 652 | 699 | 768 | 854 | 901 | 999 | |
| ACF | Date | N/A | N/A | N/A | N/A | N/A | 2019-06-07 | 2018-11-06 | 2018-08-23 | 2018-06-11 | 2017-09-22 |
| Number of Days | 0 | 0 | 0 | 0 | 0 | 79 | 224 | 276 | 328 | 506 | |
| 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 | N/A |
| 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 | 2017-04-21 | 2017-04-21 | 2017-04-05 | 2017-03-27 | 2017-02-27 | 2016-12-16 | 2016-09-07 | 2016-05-05 | 2016-03-01 | 2015-10-06 |
| Number of Days | 613 | 613 | 625 | 632 | 652 | 699 | 768 | 854 | 901 | 999 |
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 | 1,573 | 1,372 | 1,016 | 843 |
| ACF | 533 | 431 | 290 | 139 |
| ACL | 75 | 125 | 74 | 123 |
| CDC | 1,186 | 1,270 | 1,219 | 1,263 |
| CMS | 17,926 | 16,694 | 17,791 | 16,759 |
| FDA | 10,256 | 11,578 | 9,925 | 10,966 |
| HRSA | 280 | 278 | 282 | 261 |
| IHS | 163 | 162 | 123 | 81 |
| NIH | 1,426 | 1,533 | 1,266 | 1,686 |
| OASH | 353 | 361 | 221 | 142 |
| OIG | 1,506 | 1,354 | 1,520 | 1,346 |
| SAMHSA | 168 | 200 | 149 | 208 |
| AGENCY OVERALL | 35,445 | 35,358 | 33,876 | 33,817 |
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 | 1,184 | 1,725 |
| ACF | 383 | 652 |
| ACL | 0 | 5 |
| CDC | 24 | 18 |
| CMS | 1,353 | 1,216 |
| FDA | 2,666 | 3,172 |
| HRSA | 23 | 21 |
| IHS | 66 | 150 |
| NIH | 343 | 326 |
| OASH | 206 | 421 |
| OIG | 21 | 25 |
| SAMHSA | 35 | 33 |
| AGENCY OVERALL | 6,304 | 7,764 |
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 | 299 | 173 | 107 | 88 |
| ACF | 0 | 0 | 0 | 0 |
| ACL | 0 | 0 | 0 | 0 |
| CDC | 0 | 0 | 0 | 0 |
| CMS | 68 | 69 | 63 | 42 |
| FDA | 0 | 0 | 0 | 0 |
| HRSA | 0 | 0 | 0 | 0 |
| IHS | 0 | 0 | 0 | 0 |
| NIH | 0 | 0 | 0 | 0 |
| OASH | 0 | 0 | 0 | 0 |
| OIG | 0 | 0 | 0 | 0 |
| SAMHSA | 0 | 0 | 0 | 0 |
| AGENCY OVERALL | 367 | 242 | 170 | 130 |
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 | 295 | 369 |
| ACF | 0 | 0 |
| ACL | 0 | 0 |
| CDC | 0 | 0 |
| CMS | 126 | 145 |
| FDA | 0 | 0 |
| HRSA | 0 | 0 |
| IHS | 0 | 0 |
| NIH | 0 | 0 |
| OASH | 0 | 0 |
| OIG | 0 | 0 |
| SAMHSA | 0 | 0 |
| AGENCY OVERALL | 421 | 514 |