U.S. DEPARTMENT OF TRANSPORTATION
FREEDOM OF INFORMATION ACT (FOIA) REPORT
FISCAL YEAR 2005

I. Basic Information Regarding Report
II. How to Make a FOIA Request
III. Definitions of Terms and Acronyms Used in the Report
IV. Exemption 3 Statutes
V. Initial FOIA/PA Access Requests
VI. Appeals of Initial Denials of FOIA/PA Requests
VII. Compliance with Time Limits
VIII. Comparisons with Previous Year
IX. & X. FOIA Costs / Staffing & Fees
XI. DOT FOIA Regulations (including fee schedule) - 49 CFR Part 7

PDF version of the entire report (814 KB)

Go to: DOT FOIA Page // Department of Transportation Home Page

I. Basic Information Regarding Report

A. Person to be contacted with questions about the report:

Kathy Ray, Departmental FOIA Officer
U.S. Department of Transportation
Office of General Counsel (C-12)
400 Seventh Street, SW., Room 5432
Washington, D.C.20590
(202) 366-5546

B. Electronic address for report on the World Wide Web:

www.dot.gov/foia

C. Person to be contacted for a copy of the report in paper form:

Darlene Wallace, Paralegal Specialist
U.S. Department of Transportation
Office of General Counsel (C-12)
400 Seventh Street, SW., Room 5432
Washington, D.C.20590
(202) 366-4245

II. How to Make a FOIA Request

A. Names, addresses, telephone numbers, fax numbers, and information to submit a request electronically (if applicable) for all individual agency components and offices that receive FOIA requests.

B. Brief description of the Agency's response times.

Some components of the Department of Transportation were able to respond to their FOIA requests within the statutory time frames.  For a detailed breakdown of each component’s response times, see Section VII of this report, Compliance With Time Limits.

C. Brief description of why some requests are not granted.

Some requested records, or portions of records, were withheld pursuant to the FOIA's exemptions.  The most frequently used exemption in DOT was Exemption 6, which protects against a clearly unwarranted invasion of personal privacy.  Other reasons for not granting requests included:

DOT did not have the records sought.

The requester did not seek records; rather, he or she was seeking answers to questions.

The information from the records sought was publicly available.

III. Definitions of Terms and Acronyms Used in the Report

A. Agency-specific acronyms or other terms. 

1/ Effective February 20, 2005, two new administrations were established within DOT.  The Norman Y. Mineta Research and Special Programs Improvement Act reorganized RSPA into two new administrations—PHMSA and RITA.  PHMSA succeeds to all the authority exercised by RSPA with regard to pipeline and hazardous materials safety.  RITA succeeds to the research authority exercised by RSPA and, in addition, exercises other duties and powers of the Secretary that advance the Department’s research, development, and technology objectives.  In addition, BTS was statutorily transferred to RITA. 

B. 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 may also be treated as FOIA requests.

2. Initial Request—a request to a federal agency for access to records under the FOIA.

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 FOIA, or any other FOIA determination such as a matter pertaining to fees.

4. Processed Request or Appeal—a 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 requests requiring relatively minimal review are classified as simple requests and are placed in one processing track and requests that are more voluminous and that require more review are classified as complex requests.  Complex requests are placed in one or more other tracks. Requests within each track are processed on a first in, first out basis. A requester who has an urgent need for records may request expedited processing (see below).

6. Expedited Processing—When a requestor can show there is an exceptional need or urgency for a record or records (see 49 CFR 7.31(c)), an agency will process a FOIA request before those FOIA requests that have been submitted at an earlier date. 

7. Simple Request—An agency using multi-track processing will classify a low volume request that requires relatively minimal review as a simple request and will place it in its fastest, non-expedited track. 

8. Complex Request— An agency using multi-track processing will classify a voluminous request that requires more review as a complex request and will place it in its slower track. 

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, withholding information determined to be exempt under one or more of the FOIA exemptions; or a decision to disclose some records in their entirety, 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 exemptions, or for some procedural reason, such as no record is located in response to a FOIA request.

12. Time Limits—Under FOIA, the period of time within which an agency must respond to a FOIA request. Ordinarily, this period is 20 working days from proper receipt of a “perfected” FOIA request.

13. Perfected Request—a FOIA request for records that has been received by the FOIA office of the agency or agency component in possession of the records, which adequately describes the records sought, 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 exemption (b)(3).

15. Median Number—the median number is the middle number on the list in a set of numbers listed from the least number to the greatest number.  For example, of 3, 7, and 14, the median number is 7.  If a set of numbers has two middle numbers, the median is the number halfway between the two numbers.  For example, 3, 4, 8, 12, the median number equals 4+8 = 12/2 = 6.

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.

IV. Exemption 3 Statutes

A. List of Exemption 3 statutes relied on by agency during current fiscal year.

V.  Initial FOIA / PA Access Requests

A.  Numbers of Initial Requests

*  This number is 112 fewer than the number reported as pending at the end of the year in the FY 2004 report; these 112 were either FY 2004 double entries discovered during FY 2005, or FY 2004 closures that were not entered until FY 2005.

B.  Disposition of Initial Requests

2. & 3.  Number of times each FOIA exemption was used

FOIA Exemptions

4. Other reasons for non-disclosure

VI. Appeals of Initial Denials of FOIA/PA Requests

A.  Number of Appeals

B.  Disposition of Appeals

2. & 3.  Number of times each FOIA exemption was used

FOIA Exemptions

4.  Other Reasons for Non-Disclosure

VII. Compliance with Time Limits

A. Median processing time for requests processed during the fiscal year

B. Status of pending requests.

VIII. Comparisons with Previous Year

D.  Other narrative statements describing agency efforts to improve timeliness of FOIA performance and to make records available to the public.

The DOT received approximately 208 requests for expedited processing.  Of those requests, 74 were afforded expedited processing.

Many DOT FOIA offices actively communicate with the requesters to effectively refine the scope of their request to better target more efficient searches. 

The FAA continues to increase the types and volume of non-sensitive information available to the public on the Internet.

The FMCSA received more requests for processing during the reporting period, but maintained its response time.  FMCSA also developed an internal additional tracking system to monitor the progress of each pending request.

At the end of the fiscal year, FHWA had upgraded its FOIA Database and was preparing to permit all of its field offices to use the database to record and track requests received directly by the field.

The OIG continues to improve its website by providing high profile products on its website as promptly as possible, as well as continuing to provide all of its public audit reports, Congressional testimonies, and correspondences on the website.  The OIG provides monthly status reports to senior management which helps to keep the timely processing of FOIA requests a priority of the agency.  Training was provided for OIG’s new FOIA Officer in FY 2005.

IX. FOIA Costs / Staffing

A. Staffing Levels  

B. Total Costs (including staff and resources)

X. Fees Collected

* Increase from previous fiscal year due to a thorough accounting of all field personnel performing FOIA duties during the fiscal year.

XI. DOT FOIA Regulations (including fee schedule) – 49 CFR Part 7

(http://www.dot.gov/foia/regulation_foia.html)