February 1999
I. Basic Information Regarding Report Responsibility for preparing the U.S. Department of Agriculture's Freedom of Information Act Annual Report for fiscal year 1998 rests with USDA's Office of Communications. The report can be accessed from the World Wide Web at http://www.usda.gov/news/foia/main.htm. A paper copy of the report may be obtained by requesting it. For additional information, contact: Carolyn Harris Freedom of Information Act and Privacy Act Officer Office of Communications U.S. Department of Agriculture Rm. 536-A Whitten Bldg., Ag Stop 1310 Washington, DC 20250-1310 carolyn.harris@usda.gov Tel. (202) 720-8164 Fax. (202) 690-1131 Backup fax. (202) 720-7808 II. How to Make a FOIA Request Anyone may request USDA records under the FOIA by letter, fax or e-mail. A requester who sends USDA a FOIA request that is understandable and specific about the time frame of the records sought and who has addressed the request to the USDA agency with responsibility for the records has the greatest likelihood of receiving a response within 20 working days of the agency's receipt of the request. Any request that fails to identify the records sought or is sent to the wrong agency must be clarified before an agency can begin a search; in such case, USDA will try to contact the requester for additional information. The url (universal resource locater) for the U.S. Department of Agriculture's home page is http://www.usda.gov. All USDA agencies are linked to the USDA home page. A significant portion of USDA records are maintained in agency files and are described on agency web pages, which are linked to the USDA home page. Potential requesters may want to review agency web pages in order to identify the USDA agency likely to have possession of the records sought. USDA employs a number of Freedom of Information Act specialists who make every effort to comply with the requirements of the Freedom of Information Act as amended. The following is a list of USDA agency employees responsible for handling FOIA requests. AGRICULTURAL MARKETING SERVICE Sharon L. Kerr FOIA/PA Officer Rm 3510-S P. O. Box 96456 Washington, DC 20090-6456 SharonL.Kerr@usda.gov Tel. (202) 720-2498 Backup Tel. 720-3203 Fax. (202) 690-3767 ANIMAL & PLANT HEALTH INSPECTION SERVICE Michael Marquis Assistant Director/FOIA Officer 4700 River Road, Unit 50 Riverdale, MD 20737-1232 mmarquis@aphis.usda.gov foia-officer@aphis.usda.gov foia.aphis.usda.gov Tel. (301) 734-5267 Backup Tel. (301) 734-8296 Fax. (301) 734-5941 DEPARTMENTAL ADMINISTRATION Evelyn M. Davis FOIA/PA Officer Rm. 43-W Whitten Bldg. Washington, DC 20250 Evelyn_M.Davis@usda.gov Tel. (202) 720-7765 Fax. (202) 690-4728 Backup Fax. (202) 720-0064 FARM SERVICE AGENCY Bonnie Hart FOIA/PA Officer Dawn Kral FOIA/PA Assistant Rm. 3620-S, Ag Stop 0506 Washington, DC 20250-0506 dawn_kral@wdc.fsa.usda.gov Tel. (202) 720-5875 Fax. (202)-690-2828 Amy Jones (Appeals) Paralegal Specialist Appeals & Litigation Staff Rm. 6728-S, Ag Stop 0570 Washington, DC 20250-0570 amy_jones@wdc.fsa.usda.gov Tel. (202) 720-7757 Fax. (202) 690-0218 FOOD, NUTRITION & CONSUMER SERVICES Sheri Ackerman FOIA/PA Officer 3101 Park Center Dr., Rm. 308 Alexandria, VA 22302-1500 sheri_ackerman@fns.usda.gov Tel. (703) 305-2246 Backup Tel. (703) 305-2264 Fax. (703) 305-2921 Backup Fax. (703) 305-1092 FOOD SAFETY & INSPECTION SERVICE Cheryl Hicks FOIA/PA Officer Rm. 3130-S Washington, DC 20250 cheryl.hicks@usda.gov Tel. (202) 690-3881 Fax. (202) 690-3023 Dorothy Woodland Tel. (202) 720-2109 FOREIGN AGRICULTURAL SERVICE Sally Klusaritz FOIA Officer Ag Stop 1004 Washington, DC 20250-1004 klusaritz@fas.usda.gov Tel. (202) 690-4064 Fax. (202) 720-1727 FOREST SERVICE Naomi Charboneau FOIA/PA Officer RPE-Rm 1012 P. O. Box 96090 Washington, DC 20090-6090 Naomi.Charboneau/wo@fs.fed.us Tel. (703) 605-4910 Backup Tel. (703) 605-4927 Fax. (703) 605-5104 GRAIN INSPECTION, PACKERS & STOCKYARDS ADMINISTRATION Bruce Boor FOIA/PA Officer Rm. 3406, Ag Stop 3641 Washington, DC 20250-3641 Bruce_M.Boor@usda.gov Tel. (202) 690-3842 Fax. (202) 205-3941 NATIONAL APPEALS DIVISION Larry Shrum FOIA/PA Officer 3101 Park Center Dr., Rm. 1113 Alexandria, VA 22302 lshrum@usda.gov Tel. (703) 305-1164 Fax. (703) 305-2108 NATIONAL FINANCE CENTER Anita Smith FOIA/PA Officer P. O. Box 60,000 New Orleans, LA 70160 Tel. (504) 255-5676 Fax. (504) 255-4611 NATURAL RESOURCES CONSERVATION SERVICE Wilda Grant FOIA Officer P. O. Box 2890 Washington, DC 20013 wilda.grant@usda.gov Tel. (301) 504-2168 Backup Tel. (804) 364-1405 Fax. (301) 504-2161 Backup Fax. (804) 364-2685 (M,W,F) OFFICE OF BUDGET & PROGRAM ANALYSIS Jacquelyn Chandler FOIA/PA Officer Rm. 118-E Whitten Bldg. Washington, DC 20250 jyc@obpa.usda.gov Tel. (202) 720-1272 Fax. (202) 690-3673 OFFICE OF THE CHIEF FINANCIAL OFFICER Gary Barber FOIA/PA Officer Ken Kessler Management Analyst Rm. 4094-S Washington, DC 20250 Tel. (202) 720-1179 Fax. (202) 690-2568 OFFICE OF THE CHIEF INFORMATION OFFICER Howard Baker FOIA/PA Officer Room 404-W Whitten Bldg. Washington, DC 20250 howard.baker@usda.gov Tel. (202) 720-8657 Fax. (202) 205-2831 OFFICE OF CIVIL RIGHTS Farook Sait FOIA/PA Officer Rm. 334-W Whitten Bldg. Washington, DC 20250 Tel. (202) 720-7569 Fax. (202) 205-2891 OFFICE OF GENERAL COUNSEL Kenneth E. Cohen Assistant General Counsel/FOIA Officer General Law Division Rm. 2321-S, Ag Stop 1415 Washington, DC 20250-1415 kenneth.cohen@usda.gov Tel. (202) 720-5565 Fax. (202) 720-5837 OFFICE OF THE INSPECTOR GENERAL Carol Martin FOIA/PA Officer Rm. 29-E Whitten Bldg. Washington, DC 20250 cjmartin@oig.usda.gov Tel. (202) 720-5242 Fax. (202) 690-6305 RURAL DEVELOPMENT Dorothy Hinden FOIA/PA Officer Rm. 0361-A South Bldg. Washington, DC 20250-0742 Tel. (202) 692-0031 Backup Tel. (202) 692-0009 Fax. (202) 692-0013 Backup Fax. (202) 692-0034 RESEARCH, EDUCATION & ECONOMICS Valerie Herberger Management Analyst/FOIA Officer 5601 Sunnyside Ave., Ag Stop5128 Beltsville, MD 20705-5128 vherberg@asrr.arsusda.gov Tel. (301) 504-1640 Fax. (301) 504-1648 Stasia Hutchison Public Affairs Specialist hutchisn@asrr.arsusda.gov Tel. (301) 504-1655 RISK MANAGEMENT AGENCY Donna Bassett FOIA/PA Specialist Rm 6606-S, Ag Stop 0807 Washington, DC 20250-0807 donna_basset@wdc.fsa.usda.gov Tel. (202) 690-5701 Fax. (202) 690-5890 USDA - OFFICE OF COMMUNICATIONS Carolyn Harris FOIA/PA Officer Rm. 536-A Whitten Bldg., Ag Stop 1310 Washington, DC 20250-1310 carolyn.harris@usda.gov Tel. (202) 720-8164 Fax. (202) 690-1131 Backup Fax. (202) 720-7808 III. Definitions of Terms and Acronyms Used in the Report A. Agency-specific acronyms are as follows: AMS - Agricultural Marketing Service; APHIS - Animal and Plant Health Inspection Service; CCC - Commodity Credit Corporation; DA - Departmental Administration; FAS - Foreign Agricultural Service; FNCS - Food, Nutrition and Consumer Service; FSA - Farm Service Agency; FSIS - Food Safety and Inspection Service; FS - Forest Service; GIPSA - Grain Inspection, Packers and Stockyards Administration; NAD - National Appeals Division; NFC - National Finance Center; NRCS - Natural Resources Conservation Service; OBPA - Office of Budget and Program Analysis; OC - Office of Communications; OCFO - Office of the Chief Financial Officer; OCIO - Office of the Chief Information Officer; OCR - Office of Civil Rights; OGC - Office of General Counsel; OIG - Office of the Inspector General; RD - Rural Development; REE - Research, Education and Economics; and RMA - Risk Management Agency. B. Basic terms are as follows: FOIA/PA request - a 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. Requests filed under either law are treated as FOIA requests and are processed as expeditiously as possible. Initial request - a request to a Federal agency for access to records under the Freedom of Information Act. Appeal - a request to a Federal agency asking that it review at a higher level of administrative authority any full or partial denial of access to records under the Freedom of Information Act or Privacy Act or any other FOIA determination, such as a proposed fee for access to records. Processed request - a request or appeal for which an agency has made its final determination or taken its final action. Multi-track processing - a system in which simple requests requiring relatively minimal review are placed in one processing track and more voluminous, complex requests are placed in one or more other tracks. Requests in each track are processed on a first-in/first out basis. A requester who has an urgent need for records may request expedited processing. Expedited processing - an agency will process a FOIA request on an expedited basis when the requester has shown a compelling need for a specific record. A compelling need is a threat to life or physical safety for an individual or, in the case of the media, urgency to inform the public concerning actual or alleged Federal Government activity. Simple request - a FOIA request that an agency using multi-track processing places in its fastest, nonexpedited track based on the volume and/or simplicity of records requested. 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. Grant - an agency decision to disclose all records in full in response to a FOIA request. Partial grant - an agency decision to disclose part of a record 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 entirety but withhold others in whole or in part. Denial - an agency decision not to release 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 because of a procedural reason, such as no record was located. Time limits - the time period authorized in the FOIA for an agency to respond to a FOIA request is 20 working days from proper receipt of a "perfected" FOIA request. "Perfected" request - a FOIA request for records which adequately describes the records sought, which has been received by the FOIA office of the agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees. Exemption 3 statute - a separate Federal statute prohibiting the disclosure of certain types of records and authorizing their withholding under FOIA subsection (b)(3). Median number - the middle, not average, number. For example, of 3, 7 and 14, the median number is 7. 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 During fiscal year 1998 USDA agencies denied the disclosure of records under certain authorities, including: - Privacy Act of 1974 - Food, Agriculture, Conservation, and Trade Act of 1990 - Section 602, Agricultural Act of 1978 - Archeological Resources Protection Act of 1976 - National Historic Preservation Act of 1966 - Public Law 104-201, Section 821 - 7 U.S.C 4901-4916, Watermelon Research and Promotion Act - 7 U.S.C. 4601-4612, Honey Research, Promotion, and Consumer Information Act - 7 U.S.C. 2279b, Operation of Graduate School of Department of Agriculture as Nonappropriated Fund Instrumentality. No court rulings were issued with respect to USDA's denials of disclosure under these laws in fiscal year 1998. V. Initial FOIA/PA Requests A. Number of Initial Requests 1. Number of requests pending at end of FY 97: 1,118 2. Number of requests received during FY 98: 88,592 3. Number of requests processed during FY 98: 88,204 4. Number of requests pending at end of FY 98: 1,506 B. Disposition of Initial Requests 1. Number of total grants: 84,144 2. Number of partial grants: 1,908 3. Number of denials: 2,152 FOIA exemption used: Exemption 1: 0 Exemption 2: 54 Exemption 3: 112 Exemption 4: 324 Exemption 5: 260 Exemption 6: 1,384 Exemption 7(A): 156 Exemption 7(B): 2 Exemption 7(C): 315 Exemption 7(D): 136 Exemption 7(E): 24 Exemption 7(F): 3 Exemption 8: 0 Exemption 9: 2 4. Other reasons for nondisclosure: No records: 781 Referred elsewhere: 576 Request withdrawn: 316 Fee-related reason: 133 Records not reasonably described: 95 Not a proper FOIA request for some reason: 38 Not an agency record: 27 Duplicate request: 39 Other (specify): 61 Some requests were unintelligible. Some requesters failed to clarify their requests or respond to agency questions. Some requesters were notified of fees and did not reply. Some requesters canceled requests. In one case, an agency could not produce the record in the format requested. VI. Appeals of Initial Denials A. Number of Appeals 1. Number of appeals received during FY 98: 279 2. Number of appeals processed during FY 98: 186 B. Disposition of Appeals 1. Number completely upheld: 97 2. Number partially reversed: 51 3. Number completely reversed: 38 FOIA exemption used: Exemption 1: 0 Exemption 2: 7 Exemption 3: 4 Exemption 4: 10 Exemption 5: 22 Exemption 6: 65 Exemption 7(A): 7 Exemption 7(B): 1 Exemption 7(C): 41 Exemption 7(D): 25 Exemption 7(E): 1 Exemption 7(F): 0 Exemption 8: 0 Exemption 9: 0 4. Other reasons for nondisclosure: No records: 25 Referred elsewhere: 0 Request withdrawn: 8 Fee-related reason: 26 Records not reasonably described: 3 Not a proper FOIA request for some reason: 1 Not an agency record: 0 Duplicate request: 1 Other (specify): 5 Some searches for records were still underway at year's end. For some requests, no additional records were found. A fee waiver request was still under discussion. VII. Compliance with Time Limits/Status of Pending Requests A. Median Processing Time for Requests 1. Simple requests a. Number of requests processed: 78,275 b. Median number of days to process: 131 days 2. Complex requests a. Number of requests processed: 9,751 b. Median number of days to process: 268 days 3. Requests accorded expedited processing a. Number of requests processed: 178 b. Median number of days to process: 12 days In USDA, the median number of days were affected by the following considerations. Lists of growers participating in Marketing Agreements and Orders may not be released until USDA has given Congress at least 10 legislative days' notice. This resulted in a delay because Congress was not in session. Records retrieved from a Federal Records Center take several weeks to obtain. Requests that require a notice to submitters of information, allowing them time to comment on the release of responsive records, and USDA's acknowledgment of comments may take several weeks to process. Requests that require an advance payment of fees before processing also take additional time. B. Status of Pending Requests 1. Number of requests pending at end of FY 98: 1,506 2. Median number of days requests were pending at end of FY 98: 205 days VIII. Comparisons With Previous Years Inasmuch as the official FOIA recording period for 1997 was 9 months, USDA did not compare statistics summarizing fiscal year 1998 activity with statistics for previous years. However, USDA agencies undertook numerous efforts to improve the efficiency and effectiveness of their FOIA processing. Improve timeliness. Agency employees were detailed full-time and part-time to the FOIA function. Senior-level employees were required to assist in document review and drafting replies to requesters. Support staff were trained to improve copying time. A career enhancement program was developed to offer employees experience in processing FOIA requests. FOIA specialists were offered compensatory time for work on weekends. Agency headquarters staff explained to field personnel the most direct route for processing FOIA requests, using e-mail messages to exchange information. Agencies updated their internal employee FOIA guidelines and instructions to the public on how to make FOIA requests. Internal directives stressed the importance of timely responses, and negative consequences were specified as reminders to staff. One agency initiated sign-off receipts for each FOIA request to expedite tracking and response. Another agency established a new data base to monitor FOIA requests. Multi-track systems were set up. Logs were kept up-to-date. Frequently requested records were placed on agency web sites. Agencies updated their web pages throughout the year and evaluated options for improved automation. USDA also provided monthly summaries of recently completed audit reports to interested Members of Congress and the press. Reduce backlog. One agency sent requesters the ongoing status of their pending requests, offering them the option to withdraw; about 188 requesters did withdraw their requests. Another agency assigned a technician to assist in processing. Another developed staffing goals for the FOIA staff. Most agencies established multiple tracking systems, permitting simple requests to be answered quickly and complex requests to be placed in a queue and answered in order of receipt. Provide training. The FOIA staff of most agencies attended the Department of Justice course, "Freedom of Information Act for Attorneys and Access Professionals" in fiscal year 1998. Employees also received on-the-job training and advised agency officials on an ongoing basis. One agency provided FOIA training to the support staff. Another provided cooperative training to the U.S. Fish and Wildlife Service. Another provided training to the National Association of Federal Veterinarians. Washington, DC, staff tried to set an example for field offices by responding quickly to telephone and e-mail questions and by copying and sending relevant published materials to answer questions. The Natural Resources Conservation Service sent subscriptions to FOIA Update to all State and Regional offices. The Farm Service Agency's Appeals and Litigation Group conducted agencywide dispute resolution training which included FOIA processing. Departmental Administration developed a draft FOIA manual that will be posted on the Internet when approved. Add new categories of records. The establishment of agency web pages expanded the categories of records available to the public. Lists of record systems also were updated. The Office of the Inspector General is modifying its database for the fiscal year 1999 report with a five-track system: simple requests; complex requests; no-record requests; full-release requests; and expedited requests. IX. Costs/FOIA Staffing A. Staffing Levels 1. Number of full-time FOIA personnel: 40.25 2. Number of personnel with part-time or occasional FOIA duties (in work-years): 2,855.725 3. Total number of personnel (Work-years): 150.255 B. Total Costs 1. FOIA processing: $6,292,615.46 2. Litigation-related activities (estimated): $577,650 One case is pending. 3. Total costs: 6,880,295.46 C. Statement of Additional Resources Needed Most agencies expressed the need for more professional staffing, more clerical assistance, and more money to pay for training and the upgrade of automated record processing. Several expressed the need for more advanced tracking and document imaging systems. X. Fees A. Total fees collected for search, review, duplication and other direct costs permitted by agency regulations: $140,913.12 B. Most USDA agencies collected fees that amounted to less than one percent of total costs. Exceptions were: Departmental Administration, 100 percent; Risk Management Agency, 90 percent; Research, Education and Economics, 73 percent; Animal and Plant Health Inspection Service, 44 percent; National Appeals Division, 31 percent; Food Safety and Inspection Service, 13 percent; Rural Utilities Service, 11.8 percent; Rural Business-Cooperative Services, 3.3 percent; Agricultural Marketing Service, 2 percent; Rural Housing Service, 1.7 percent; and Foreign Agricultural Service, 1.5 percent. XI. FOIA Regulations USDA's draft regulations implementing the Electronic Freedom of Information Act Amendments of 1996 were published in the Federal Register May 4, 1998, and are available on the World Wide Web at http://www.usda.gov/News&Information/FOIA Information/USDA FOIA Regulations. Final regulations are pending. USDA's current fee schedule was published in the Federal Register December 31, 1987. The schedule will be revised. USDA's home page is located at http://www.usda.gov. The web sites of USDA agencies are linked to this home page, and each agency's web site contains explanatory information about FOIA processing. #