U.S. DEPARTMENT OF TRANSPORTATION
FREEDOM OF INFORMATION ACT (FOIA) REPORT
FISCAL YEAR 2003
I. Basic Information Regarding Report
A. Person to be contacted with questions about
the report:
Kathy Ray, FOIA Officer
U.S. Department of Transportation
Office of General Counsel (C-12)
400 Seventh Street, S.W., 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, S.W., Room 5432
Washington, D.C. 20590
(202) 366-4245
II. How to Make a FOIA Request
A. Names, addresses, and telephone numbers of
all individual agency components and offices that receive FOIA requests.
Kathy Ray, FOIA Officer
Office of the Secretary (C-12)
400 Seventh Street, S.W., Room 5432
Washington, D.C. 20590
Tel (202) 366-5546
Fax (202) 366-8536
Jeffrey W. Davis, FOIA/Privacy Act Officer
Office of Inspector General (J-3)
400 Seventh Street, S.W., Room 9210
Washington, D.C. 20590
Tel (202) 366-8751
Fax (202) 366-1975
Robert A. Monniere, Attorney
Bureau of Transportation Statistics (K-2)
400 Seventh Street, S.W., Room 3105
Washington, D.C. 20590
Tel (202) 366-5498
Fax (202) 366-3640
James Kabel, FOIA Officer
Federal Highway Administration
400 Seventh Street, S.W., Room 4428
Washington, D.C. 20590
Tel (202) 366-0534
Fax (202) 366-3235
Theresa M. Rowlett, Division Chief
Business Information and Operations Division (MC-MBI)
Federal Motor Carrier Safety Administration
400 Seventh Street, S.W.
Washington, D.C. 20590
Tel (202) 385-2323
Fax (202) 385-2335
Lauren Price, FOIA Officer
Office of Chief Counsel
Federal Railroad Administration
1120 Vermont Avenue, N.W., Stop-10
Washington, D.C. 20005
Tel (202) 493-6103
Fax (202) 493-6068
Inga Reeder, FOIA Officer
Federal Transit Administration
TAD-10, Room 9107
400 Seventh Street, S.W.
Washington, D.C. 20590
Tel (202) 366-2494
Fax (202) 366-7164
Christine S. Gurland
FOIA Officer
Maritime Administration
400 Seventh Street, S.W., Room 7228
Washington, D.C. 20590
Tel (202) 366-5181
Fax (202) 366-7485
Executive Secretariat
National Highway Traffic Safety Administration
400 Seventh Street, S.W., Room 5221
Washington, D.C. 20590
Tel (202) 366-2370
Fax (202) 366-3820
Gail Mayhew
Office of Chief Counsel
Research and Special Programs Administration
400 Seventh Street, S.W., Room 8407
Washington, D.C. 20590
Tel (202) 366-4353
Fax (202) 366-7041
Edward Margosian
Senior FOIA Official
Saint Lawrence Seaway Development Corporation
PO Box 520
Massena, NY 13662-0520
Tel (315) 764-3275
Fax (315) 764-3235
Tracy Paquin, Acting Manager
National FOIA Staff (ARC-40)
Federal Aviation Administration
800 Independence Avenue, S.W.
Washington, D.C. 20591
Tel (202) 267-9165
Fax (202) 493-5032
Federal Aviation Administration (FAA) Field Offices:
Ms. Tracey Hegna, FOIA Coordinator
FAA Alaskan Region, AAL-7
222 West 7th Avenue, #14
Anchorage, AL 99513-7587
Tel (907) 271-4609
Fax (907) 271-2800
Ms. Trina Hankerson
FAA Eastern Region, AEA-60
1 Aviation Plaza
Jamaica, NY 11434-4809
Tel (718) 553-3361
Fax (718) 995-5663
Ms. Carol Goodsell, FOIA Coordinator
FAA New England Region, ANE-40 12
New England Executive Park
Burlington, MA 01803
Tel (781) 238-7393
Fax (781) 238-7380
Ms. Linda Chatman, FOIA Coordinator
FAA Southern Region, ASO-65D
PO Box 20636
Atlanta, GA 30320
Tel (404) 305-5906
Fax (404) 305-5854
Ms. Carlette Young, FOIA Coordinator
FAA Western-Pacific Region, AWP-4
PO Box 92007
Los Angeles, CA 90009-2007
Tel (310) 725-3809
Fax (310) 725-6813
Ms. Barbara Harris-Para
FOIA Coordinator
FAA Technical Center
Communications Staff, ACH-1
Atlantic City International Airport
Atlantic City, NJ 08405
Tel (609) 485-4854
Fax (609) 485-4011
Ms. Carrie LaFollette, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Civil Aviation Registry, AFS-700
PO Box 25082
Oklahoma City, OK 73125
Tel (405) 954-4331
Fax (405) 954-5759
Ms. Joey Muth, FOIA Coordinator
FAA Mike Monroney Aeronautical Center, AMC-2
PO Box 25082
Oklahoma City, OK 73125
Tel (405) 954-5054
Fax (405) 954-3360 |
Ms. Veronica Bailey, FOIA Coordinator
FAA Central Region, ACE-3B
901 Locust
Kansas City, MO 64106-2641
Tel (816) 329-2425
Fax (816) 329-3067
Ms. Vickie Morris, FOIA Coordinator
FAA Great Lakes Region, AGL-42300
E. Devon Avenue
Des Plaines, IL 60018
Tel (847) 294-8490
Fax (847) 294-7184
Ms. Mitzi Warren, FOIA Coordinator
FAA NW Mountain Region, ANM-4MW
1601 Lind Avenue, S.W.
Renton, WA 98055-4056
Tel (425) 227-2005
Fax (425) 227-1005
Ms. Nancy Reilly, FOIA Coordinator
FAA Southwest Region, ASW-412601
Meacham Boulevard
Ft. Worth, TX 76193-0041
Tel (817) 222-5450
Fax (817) 222-5952
Ms. Connie Toby, FOIA Coordinator
FAA Office of Aerospace Medicine
Civil Aerospace Medical Institute, AAM-3
PO Box 25082
Oklahoma City, OK 73125
Tel (405) 954-1002
Fax (405) 954-1010
Mr. Doug Burdette, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Flight Standards Service
Aviation Data Systems Branch, AFS-600
PO Box 25082
Oklahoma City, OK 73125
Tel (405) 954-6501
Fax (405) 954-4655
Ms. Margaret Fee, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Aviation System Standards Program Support Branch, AVN-21
PO Box 25082
Oklahoma City, OK 73125
Tel (405) 954-8926
Fax (405) 954-3670 |
B. Brief description of the agency's response-time
ranges.
We answered most requests within 20 to 30 working days. If a
request could not be answered within this period of time, it usually meant that
the request was either voluminous or complex in nature.
C. Brief description of why some requests are
not granted.
Some requested records were withheld pursuant to the exemptions
of the Freedom of Information Act (5 U.S.C. §§ 552(b)(1)-(9)). Other reasons
for not granting requests for records included:
- The requestor did not seek records. Rather, he or she was seeking
answers to questions under the guise of a FOIA request.
- DOT did not have the records sought.
- The records sought were not described so as to make a search
possible.
- The information from the records sought was publicly available.
- The request was the province of another statute such as the
Privacy Act.
- Outstanding fees for previous requests had not been paid.
III. Definitions of Terms and Acronyms Used in the Report
A. Agency-specific acronyms or other terms.
DOT |
Department of Transportation |
OST |
Office of the Secretary |
OIG |
Office of Inspector General |
Administrator |
The head of each component of DOT (including
the Inspector General and the Director, Bureau of Transportation Statistics). |
Concurrence |
That the approval of the person being consulted
is required in order for the subject action to be taken. |
Consultation |
That the approval of the person being consulted
is not required in order for the subject action to be taken. |
Department |
The Department of Transportation, including
the Office of the Secretary, the Office of Inspector General, and the following
DOT components, all of which may be referred to as DOT components. Means of contacting
each of these DOT components appear in 49 C.F.R. § 7.15. This definition specifically
excludes the Surface Transportation Board, which has its own FOIA regulations
(49 CFR Part 1001) |
BTS |
Bureau of Transportation Statistics |
FAA |
Federal Aviation Administration |
FHWA |
Federal Highway Administration |
FMCSA |
Federal Motor Carrier Safety Administration |
FRA |
Federal Railroad Administration |
FTA |
Federal Transit Administration |
MARAD |
Maritime Administration |
NHTSA |
National Highway Traffic Safety Administration |
RSPA |
Research and Special Programs Administration |
SLSDC |
Saint Lawrence Seaway Development Corporation |
USCG |
United States Coast Guard * |
TSA |
Transportation Security Administration * |
SSI |
Sensitive Security Information. (49 U.S.C.
§ 40119 and 49 C.F.R. Part 1520.) |
Remanded Appeal |
An appeal request, particularly a "no records"
appeal, sent back to the original action office or forwarded to another office
when the requester provides additional information either clarifying the documents
sought or providing additional search parameters. The action office considers
the request as if it were a new request, responding directly to the requester.
Remanded appeal responses may again be appealed; appeal rights are provided if
the remanded appeal response is a denial, partial denial or "no records"
determination. |
* Note: Transferred to the Department of Homeland Security pursuant
to the Homeland Security Act of 2002, Pub. L. 107-296.
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 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 requester
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 requester has shown an exceptional
need or urgency for the records which warrants prioritization of the 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 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-the time period pursuant to the
FOIA 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 by 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.
IV. Exemption 3 Statutes
A. List of Exemption 3 statutes relied on by
agency during current fiscal year.
Statute |
Type of Information
Withheld |
Case Citation |
5 U.S.C. App. 4, § 107 |
Confidential financial disclosure reports. |
Meyerhoff v. EPA,
958 F.2d 1498
(9th Cir. 1992) |
23 U.S.C. § 403, note |
The identity of individuals in highway traffic
accident or research reports. |
N/A |
31 U.S.C. § 3729(d) |
Information furnished pursuant to the False
Claims Act. |
N/A |
35 U.S.C. § 205 |
Information on inventions in which US has an
interest. |
N/A |
41 U.S.C. § 253b(m) |
Contract proposals not incorporated in contracts.
|
N/A |
49 USC §§ 30301 et seq. |
Certain information received pursuant to the
National Driver Register Act of 1982. |
N/A |
49 U.S.C. § 31143(b) |
IDs of motor carrier safety complainants. |
N/A |
49 U.S.C. § 40115 |
Information harmful to US international aviation
negotiations, or to any US international air carrier. |
N/A |
49 U.S.C. § 40119 |
Information that would be an unwarranted invasion
of personal privacy, would reveal a trade secret or privileged or confidential
information, or would be detrimental to the safety of passengers in transportation. |
N/A |
49 U.S.C. § 46311 |
Information from air carrier records. |
N/A |
V. Initial FOIA/PA Access Requests
A. Numbers of Initial Requests:
1. |
Number of requests pending as of end of preceding fiscal year: |
2,420* |
2. |
Number of requests received during current fiscal year: |
10,649 |
3. |
Number of requests processed during current fiscal year: |
10,527 |
4. |
Number of requests pending as of end of current fiscal year: |
2,542 |
*Note: The number of pending shown on our FY
2002 report was 3,885. This number included 1,209 pending from the USCG and
193 pending from TSA. Since both of those agencies are now part of the Department
of Homeland Security (DHS), we subtracted 1,402 from the 3,885, which leaves 2,483
pending.
The remaining discrepancy of 63 (the difference between the 2,420
we show above as pending and 2,483-the figure after the USCG and TSA pending were
subtracted from last year's total pending of 3,885) was reported by FAA and is
the result of FY 2002 closures that were not entered into the database until FY
2003.
B. Disposition of initial requests.
1. |
Number of total grants: |
4,276 |
2. |
Number of partial grants: |
1,965 |
3. |
Number of denials: |
445 |
a. Number of times each FOIA exemption used (counting
each exemption once per request).
(1) |
Exemption 1 |
1 |
(2) |
Exemption 2 |
52 |
(3) |
Exemption 3 |
141 |
(4) |
Exemption 4 |
245 |
(5) |
Exemption 5 |
403 |
(6) |
Exemption 6 |
1,268 |
(7) |
Exemption 7(A) |
165 |
|
(8) |
Exemption 7(B) |
8 |
(9) |
Exemption 7(C) |
462 |
(10) |
Exemption 7(D) |
110 |
(11) |
Exemption 7(E) |
8 |
(12) |
Exemption 7(F) |
1 |
(13) |
Exemption 8 |
0 |
(14) |
Exemption 9 |
0 |
|
4. Other reasons for nondisclosure
(total): |
3,841 |
a. |
No records |
2,217 |
b. |
Referrals |
608 |
c. |
Request withdrawn |
666 |
d. |
Fee-related reason |
111 |
e. |
Records not reasonably described |
15 |
f. |
Not a proper FOIA request for some other reason |
107 |
g. |
Not an agency record |
37 |
h. |
Duplicate request |
49 |
i. |
Available from other sources |
31 |
j. |
Other |
0 |
VI. Appeals of Initial Denials of FOIA/PA Requests
A. Number of appeals.
1. |
Number of appeals received during fiscal year: |
77 |
2. |
Number of appeals processed during fiscal year: |
127 |
B. Disposition of appeals.
1. |
Number completely upheld: |
39 |
2. |
Number of appeals partially upheld/partially
reversed: |
23 |
3. |
Number completely reversed: |
17 |
a. Number of times each FOIA exemption used:
(1) |
Exemption 1 |
0 |
(2) |
Exemption 2 |
1 |
(3) |
Exemption 3 |
21 |
(4) |
Exemption 4 |
9 |
(5) |
Exemption 5 |
16 |
(6) |
Exemption 6 |
27 |
(7) |
Exemption 7(A) |
2 |
|
(8) |
Exemption 7(B) |
0 |
(9) |
Exemption 7(C) |
11 |
(10) |
Exemption 7(D) |
1 |
(11) |
Exemption 7(E) |
0 |
(12) |
Exemption 7(F) |
0 |
(13) |
Exemption 8 |
0 |
(14) |
Exemption 9 |
0 |
|
4.
Other reasons for nondisclosure (total): |
48 |
a. |
No records |
5 |
b. |
Referrals |
0 |
c. |
Request withdrawn |
30 |
d. |
Fee-related reason |
5 |
e. |
Records not reasonably described |
1 |
f. |
Not a proper FOIA request for some other reason |
0 |
g. |
Not an agency record |
1 |
h. |
Duplicate Request |
0 |
i. |
Available from other sources |
0 |
j. |
Other (remanded) |
6 |
VII. Compliance with Time Limits/Status of Pending Requests
A. Median processing time for requests processed
during the year. *
1.
Simple requests (if multiple tracks used). |
a. |
Number of requests processed: |
6,192 |
b. |
Median number of days to process: |
14 |
2.
Complex requests (specify for any and all tracks used). |
a. |
Number of requests processed: |
4,232 |
b. |
Median number of days to process: |
52 |
3.
Requests accorded expedited processing. |
a. |
Number of requests processed: |
103 |
b. |
Median number of days to process: |
8 |
B. Status of pending requests.
1. |
Number of requests pending as of end of current
fiscal year: |
2,542 |
2. |
Median number of days that such requests were
pending as of that date: |
60 |
* Note: All of the numbers in this section (VII)
reflect a combination of medians and averages from the various operating administrations
and field offices within DOT. In our FY 2004 report, we plan to show a break-down
by operating administration so that true medians can be shown by operating administration.
VIII. Comparisons with Previous Year
|
FY 2002 |
FY 2003 |
A. |
Requests Received |
17,737 |
10,649 |
B. |
Requests Processed |
17,259 |
10,527 |
C. |
Average Number of Days Requests were pending
at the end of the fiscal year |
21 |
60 |
D. Other narrative statements describing
agency efforts to improve timeliness of FOIA performance and to make records available
to the public (e.g., backlog-reduction efforts; specification of average number
of hours per processed request; training activities and public availability of
new categories of records).
During FY 2003, the Department received approximately 400 requests
for expedited processing. Of those requests, 103 were accorded expedited processing.
The FAA continues to increase the types and volume of non-sensitive
information available to the public on the Internet.
The OIG continues to improve their website by providing high profile
products on the website as promptly as possible. They also continue to provide
all of their public audit reports, Congressional testimonies, and correspondence
on the website. The OIG communicates with requesters to effectively scope out
their request to better target more efficient searches.
NHTSA has hired 2 full-time employees who carry out the agency's
responsibilities under the FOIA. Additionally, one of the FOIA Specialists attended
USDA's week-long FOIA training class. Finally, the agency continues to update
and provide a significant amount of information on the agency's website,
including but not limited to a list of all FOIA requests received by the agency
from January 2000 through the present.
The FMCSA FOIA staff has reduced its FOIA backlog from approximately
8 months to approximately 1-2 months. The staff also utilizes e-mail responses
and electronic documentation to further optimize their efficiency and to the benefit
of the public.
IX. Costs / FOIA Staffing
A. Staffing Levels
1. |
Number of full-time FOIA personnel: |
25 |
2. |
No. of personnel with part-time/occasional FOIA
duties (in total work years): |
30.01 |
3. |
Total number of personnel (in total work years): |
55.01 |
B. Total costs (including staff and all resources).
1. |
FOIA processing (including appeals): |
6,413,295 |
2. |
Litigation-related activities (estimated): |
101,420 |
3. |
Total Costs |
6,514,715 |
X. Fees
A. |
Total amount of fees collected by agency for
processing requests: |
$215,818 |
B. |
Percentage of total costs: |
.033% |
XI. FOIA Regulations
(Including Fee Schedule)
Attached is a copy of the Department of Transportation FOIA Regulations,
49 CFR Part 7, Public Availability of Information. |