FOIA 2000

OFFICE OF SCIENCE AND TECHNOLOGY POLICY
FISCAL YEAR 2000
ANNUAL FOIA REPORT

FOIA OFFICER:

The FOIA Officer for the Office of Science and Technology Policy is Ms. Barbara Ann Ferguson. To obtain a copy of the report in paper form please send your request in writing or by telephone using the information below:

Barbara Ann Ferguson
Assistant Director for Budget and Administration
Office of Science and Technology Policy
Dwight D. Eisenhower Executive Office Building, Room 431
Washington, DC 20502
(202) 395-7347
(202) 456-6022 (Fax)

The FY2000 OSTP Annual FOIA report can be electronically viewed on our website www.ostp.gov

MAKING A FOIA REQUEST:

To make a FOIA Request, please send your request to Ms. Ferguson using the address above. Upon receipt of initial FOIA request, OSTP has 20 working days to respond. If the request requires an extension, OSTP will provide written notice explaining the reason for the delay and when a determination will be made. All proper FOIA requests will be responded to.

1. Definitions of Terms and Acronyms Used in the Report
   1. Basic terms, expressed in common terminology.
      1. FOIA/PA request -- Freedom of Information Act/Privacy Act request. A FOIA request is generally a request for access to records concerning a third party, an organization, or a particular topic of interest. A Privacy Act request is a request for records concerning oneself; such requests are also treated as FOIA requests. (All requests for access to records, regardless of which law is cited by the requester, are included in this report.)
         
         
      2. Initial Request. A request to a Federal agency for access to records under the Freedom of Information Act.
         
         
      3. Appeal. A request to a Federal agency asking that it review at a higher administrative level a full denial or partial denial of access to records under the Freedom of Information Act, or any other FOIA determination such as a matter pertaining to fees.
         
         
      4. Processed Request or Appeal. Request or appeal for which an agency has taken a final action on the request or the appeal in all respects.
         
         
      5. 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 in each track are processed on a first-in/first-out basis. A requestor who has an urgent need for records may request expedited processing (see below).
         
         
      6. Expedited Processing. An agency will process a FOIA request on an expedited basis when a request has shown an exceptional need or urgency for the records which warrants prioritization of his or her request over other requests that were made earlier.
         
         
      7. Simple Request. A FOIA request that an agency, using multi-track processing, places in its fastest (non-expedited) track based on the volume and/or simplicity of records requested.
         
         
      8. Complex Request. A FOIA request that an agency, using multi-track processing, places in a slower track based on the volume and/or complexity of records requested.
         
         
      9. Grant. An agency decision to disclose all records in full in response to a FOIA request.
         
         
      10. Partial Grant. An agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA's exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.
          
          
      11. Denial. An agency decision not to release any part of a record or records in response to a FOIA request because all the information in the requested records is determined by the agency to be exempt under one or more of the FOIA's exemptions, or for some procedural reason (such as because no record is located in response to a FOIA request).
          
          
      12. Time Limits. The time period in the Freedom of Information Act for an agency to respond to a FOIA request (ordinarily 20 working days from proper receipt of a "perfected" FOIA request).
          
          
      13. "Perfected" Request. A FOIA request for records which adequately describes the records sought, which has been received the FOIA office of the agency or agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees.
          
          
      14. Exemption 3 Statute. A separate Federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).
          
          
      15. Median Number. The middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
          
          
      16. 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.
          
          

2. EXEMPTION 3 STATUTES

   The Office of Science and Technology Policy did not rely on Exemption 3 statutes during Fiscal Year 2000.
   
   

3. INITIAL FOIA/PA ACCESS REQUESTS

   1. Number of initial requests (Total of the numbers in Lines 1 and 2, minus the number in Line 3, should equal the number in Line 4.

      1. Number of requests pending as of end of preceding fiscal year: 0
      2. Number of requests received during current fiscal year: 65
      3. Number of requests processed during current fiscal year: 61
      4. Number of requests pending as of end of current fiscal year: 4
      
      

   2. Disposition of initial requests

      1. Number of total grants: 24
      2. Number of partial grants: 5
      3. Number of denials: 1
         1. Number of times each FOIA exemption was used (counting each exemption once per request)
            (1) Exemption 1: 1
            (2) Exemption 2: 0
            (3) Exemption 3: 0
            (4) Exemption 4: 4
            (5) Exemption 5: 7
            (6) Exemption 6: 0
            (7) Exemption 7(A): 0
            (8) Exemption 7(B): 0
            (9) Exemption 7(C): 0
            (10) Exemption 7(D): 0
            (11) Exemption 7(E): 0
            (12) Exemption 7(F): 0
            (13) Exemption 8: 0
            (14) Exemption 9: 0
            

      4. Other reasons for nondisclosure (total)
         a. no records: 23
         b. referrals: 1
         c. request withdrawn: 1
         d. fee-related reason: 0
         e. records not reasonably described: 3
         f. not a proper FOIA request for some other reason: 1
         g. not an agency record: 0
         h. duplicate request: 2
         i. other (specify): 0
         
         

4. APPEALS OF INITIAL DENIALS OF FOIA/PA REQUESTS

   1. Number of Appeals

      1. Number of appeals received during fiscal year: 10
      2. Number of appeals processed during fiscal year: 9
      3. Number of appeals pending as of end of current fiscal year: 1
      
      

   2. Disposition of Appeals

      1. Number completely upheld: 7
      2. Number partially reversed: 1
      3. Number completely reversed: 0

      1. Number of times each FOIA exemption used (counting each exemption once per appeal)
         (1) Exemption 1: 0
         (2) Exemption 2: 0
         (3) Exemption 3: 0
         (4) Exemption 4: 0
         (5) Exemption 5: 1
         (6) Exemption 6: 0
         (7) Exemption 7(A): 0
         (8) Exemption 7(B): 0
         (9) Exemption 7(C): 0
         (10) Exemption 7(D): 0
         (11) Exemption 7(E): 0
         (12) Exemption 7(F): 0
         (13) Exemption 8: 0
         (14) Exemption 9: 0
         

      4. Other reasons for nondisclosure (total): 1
      

      1. no records: 0
      2. referrals: 0
      3. request withdrawn: 0
      4. fee-related reason: 0
      5. records not reasonably described: 0
      6. not a proper FOIA request for some other reason: 1
      7. not an agency record: 0
      8. duplicate request: 0
      9. other (specify): None.
         
         

5. COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS

   1. Median processing time for requests processed during the year
      1. Simple requests
         a. Number of requests processed: 25
         b. Median number of days to process: 13.5
         
         
      2. >Complex requests
         a. Number of requests processed: 45
         b. Median number of days to process: 12.5
         
         
      3. Requests accorded expedited processing
         a. Number of requests processed: 0
         b. Median number of days to process: NA
         
         

   2. Status of Pending Requests

      1. Number of requests pending as of end of current fiscal year: 5
         
      2. Median number of days that such requests were pending as of that date: 23
         
         

6. COMPARISONS WITH PREVIOUS YEAR

   The number of FOIA requests/appeals received by OSTP increased by 37 (or 50%). Late in FY1999 OSTP had a new employee who was responsible for processing FOIA requests. The time required to train this individual in the FOIA matters resulted in an increased median response time for processing FOIA requests in FY2000. That employee recently left OSTP and while under the current hiring freeze, other staff are filling the void and will make every effort to reduce the response time.
   
   

7. COSTS/FOIA STAFFING

   As a very small agency of approximately 40 people, OSTP does not employ a person, on a full-time basis, to work only on FOIA issues. However, OSTP does have two people who, on a part-time basis, handle recurring administrative issues for the FOIA program. In addition, when a FOIA request is received in OSTP, it is assigned to the OSTP office with general responsibility for the subject matter of the request. One of the staff in that office is then assigned the responsibility to search for any records that may be responsive to the request and to coordinate with any other offices in OSTP that may have responsive records. Because of this decentralized processing and the number of FOIA requests that fall below the fee threshold, OSTP does not have data on the total costs of processing FOIA requests. However, based upon our general experience with processing FOIA requests, we estimate that OSTP expended somewhere between $25,000 and $35,000 in processing FOIA requests and appeals during Fiscal Year 2000. This range is based upon an estimate of the approximate amount of time that it takes to carry out the administrative, search and review activities for responding to the most simple requests that OSTP receives, which is then adjusted to reflect the fact that a portion of OSTP's requests are complex and require more processing time.
   
   

8. FEES

   A. Total amount of fees collected by agency for processing requests: None
   B. Percentage of total costs: $0