FREEDOM OF INFORMATION ANNUAL REPORT - 2001

I. AGENCY: National Institutes of Health

    REPORT PREPARED BY: Susan Cornell

    TITLE: Freedom of Information Officer

    ADDRESS: Bldg. 31, Rm. 5B35, 9000 Rockville Pike, Bethesda, Maryland 20892

    PHONE NUMBER: 301-496-5633

    ELECTRONIC ADDRESS FOR REPORT ON THE WORLD WIDE WEB:
    http://www.nih.gov/icd/od/foia/annualreport/annrpt01.htm

    ADDRESS FOR PAPER COPIES OF REPORT:
    Freedom of Information Office
    Building 31, Room 5B35
    9000 Rockville Pike,
    Bethesda, Maryland 20892

II. HOW TO MAKE A FOIA REQUEST:

    See http://www.nih.gov/icd/od/foia/index.htm#requests.

    A. Names, addresses and telephone numbers of all individual agency components and offices that process FOIA requests:

    NIH FREEDOM OF INFORMATION COORDINATORS
    (all addresses are 9000 Rockville Pike, Bethesda, MD, 20892 unless otherwise noted)

    IC BLDG ROOM PHONE
    NCI Federal Building
    7500 Wisconsin Ave. Bethesda, MD 20892    		 302
    301-496-2999
    NHGRI 31 B2B34
    301-402-0733
    NINR 45 3AN-12
    301-594-6869
    NCRR 6705 Rockledge Drive
    Bethesda, MD 20817    		 5146
    301-435-0888
    NEI 31 6A32
    301-496-5248
    NHLBI 31 5A08
    301-496-9737
    NIA 31 5C27
    301-496-1752
    NIAAA Willco
    6000 Executive Blvd.
    Rockville, MD 20852    		 400
    301-443-5726
    NIAID 31 7A50
    301-496-6752
    NIAMS 45 5AS-49B
    301-594-3535
    NICHD 31 2A32
    301-496-5133
    NIDA 6011 Executive Blvd.
    Rockville, MD 20852    		 5213
    301-443-1124
    NIDCD Executive Plaza South
    6120 Executive Blvd.
    Rockville, MD 20852    		 400C
    301-496-8683
    NIDDK 31 9A-47
    301-496-2978
    NIDCR 45 4AS-25J
    301-496-4263
    NIEHS Mail Drop EC-12
    Box 12233
    Research Triangle Park,
    North Carolina, 27709    		  
    919-541-3411
    NIGMS 45 2AN-32
    301-594-3135
    NIMH 6011 Executive Blvd.
    Rockville, MD 20852    		 8169
    301-443-4536
    NINDS 31 5A33
    301-496-9737
    NLM 38A 2S10
    301-496-6308
    NCCAM 31 5A33
    301-496-9737
    CC 6100 Executive Blvd.
    Rockville, MD 20852    		 3C-01
    301-496-2563
    CIT 12A 4063
    301-496-6204
    OFM 1 B1-28
    301-496-8934
    OPM 6011 Executive Blvd.
    Rockville, MD 20852    		 529K
    301-496-0462
    OCM 6011 Executive Blvd.
    Rockville, MD 20852    		 6E01
    301-496-4487
    CSR 6701 Rockledge Drive
    Bethesda, MD 20892    		 3109
    301-435-1107
    FIC 31 B2C29
    301-496-4625
    OBA 6705 Rockledge Drive
    Rockville, MD 20817    		 757
    301-435-8267
    OER 1 252
    301-402-1058
    OLAW 1 252
    301-402-1058
    OMA 6011 Executive Blvd.
    Rockville, MD 20852    		 601
    301-496-5586
    ORS 31 2B62
    301-402-1661
    OTT 6011 Executive Blvd.
    Rockville, MD 20852    		 325
    301-496-7056 (X225)

    B. Brief description of agency's response time range(s): Response time ranges from three weeks to several months depending on complexity of request.

    C. Brief description of why some requests are not granted: Requests are not granted if the information requested falls within one of the statute's enumerated exemptions, the information requested falls under the jurisdiction of another DHHS component (such requests are forwarded); or if no documents exist which are responsive to the request.

III. DEFINITIONS OF TERMS AND ACRONYMS USED IN REPORT:

    A.   Agency specific terms or acronyms:

    NCI National Cancer Institute
    NHGRI National Human Genome Research Institute
    NINR National Institute of Nursing Research
    NCRR National Center for Research Resources
    NEI National Eye Institute
    NHLBI National Heart, Lung, and Blood Institute
    NIA National Institute on Aging
    NIAAA National Institute on Alcohol Abuse and Alcoholism
    NIAID National Institute of Allergy and Infectious Diseases
    NIAMS National Institute on Arthritis and Musculoskeletal and Skin Diseases
    NICHD National Institute of Child Health and Human Development
    NIDA National Institute on Drug Abuse
    NIDCD National Institute on Deafness and Other Communication Disorders
    NIDDK National Institute of Diabetes and Digestive and Kidney Diseases
    NIDCR National Institute of Dental and Craniofacial Research
    NIEHS National Institute of Environmental Health Sciences
    NIGMS National Institute of General Medical Sciences
    NIMH National Institute of Mental Health
    NINDS National Institute of Neurological Disorders and Stroke
    NLM National Library of Medicine
    CC Warren Grant Magnuson Clinical Center
    CIT Center for Information Technology
    NCCAM National Center for Complementary and Alternative Medicine
    OFM Office of Financial Management
    OPM Office of Procurement Management
    OCM Office of Contracts Management
    CSR Center for Scientific Review
    FIC Fogerty International Center
    OBA Office of Biotechnology Activites
    OER Office of Extramural Research
    OMA Office of Management Assessment
    OLAW Office of Laboratory Animal Welfare
    ORS Office of Research Services
    OTT Office of Technology Transfer

    B. Basic terms: Description can be found on the DHHS website, see http://www.hhs.gov/foia/.

IV. EXEMPTION 3 STATUTES:

    A. List of Exemption 3 statutes relied on by the agency during report year:
      41 U.S.C. §253b(m) (prohibits the release of cost proposals or technical proposals not set forth or incorporated by reference in a contract with a federal agency)

      1. Brief description of type(s) of information withheld under each statute: NIH withheld a copy of a business and technical proposal.

      2. Has a court upheld the use of each statute? No

V. INITIAL FOIA ACCESS REQUESTS (Include all requests, 3rd or 1st party):

    A. Numbers of initial requests (line 1 + line 2 - line 3 = line 4):

      1. Number of requests pending at close of preceding fiscal year: 832 1

      2. Number of requests received during reporting fiscal year: 1,024

      3. Number of requests processed during reporting fiscal year: 1,111

      4. Number of requests pending at close of reporting fiscal year: 745

    B. Disposition of Initial Requests:

      1. Number granted in full: 812

      2. Number granted in part: 14

      3. Number of full and partial denials: 22

        a. Number of times each FOIA exemption was used:
          Exemption 1: 0
          Exemption 2: 0
          Exemption 3: 1
          Exemption 4: 17
          Exemption 5: 22
          Exemption 6 31
          Exemption 7: 0
          Exemption 7 (A) 3
          Exemption 7 (B) 1
          Exemption 7 (C) 5
          Exemption 7 (D) 1
          Exemption 7 (E) 0
          Exemption 7 (F) 0
          Exemption 8: 0
          Exemption 9: 0

      4. Other reasons for non-disclosure (total): 263

        a. no records: 84
        b. referrals: 11
        c. request withdrawn: 116
        d. fee-related reason: 4
        e. records not reasonably described: 7
        f. not a proper FOIA request for some other reason: 0
        g. not an agency record: 10
        h. duplicate request: 31
        i. other (specify): 0

VI. APPEALS OF INITIAL DENIALS OF FOIA REQUESTS (include all access requests whether first or third party):
    A. Numbers of Appeals:

      1. Number of appeals received during the fiscal year: 25

      2. Number of appeals processed during the fiscal year: 18

    B. Disposition of Appeals: To Be Provided by DHHS — The Appeal Authority

      1. Number completely upheld:

      2. Number partially reversed:

      3. Number completely reversed:

      4. Number still pending at end of fiscal year:

        a. Number of times each FOIA exemption used (counting each exemption used once per appeal).

          Exemption 1:
          Exemption 2:
          Exemption 3:
          Exemption 4:
          Exemption 5:
          Exemption 6:
          Exemption 7:
          Exemption 7(A):
          Exemption 7(B):
          Exemption 7(C):
          Exemption 7(D):
          Exemption 7(E):
          Exemption 7(F):
          Exemption 8:
          Exemption 9:

      5. Other reasons for non-disclosure (total):

        a. no records:
        b. referrals:
        c. request withdrawn:
        d. fee-related reason:
        e. records not reasonably described:
        f. not a proper FOIA request for some other reason:
        g. not an agency record:
        h. duplicate request:
        i. constructive denial:

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): Multiple tracks were not used

        a. number of requests processed: N/A
        b. median number of days to process: N/A

      2. Complex Requests (specify for any and all tracks used):

        a. number of requests processed: N/A
        b. median number of days to process: N/A

      3. Requests Accorded Expedited Processing: 0

        a. number of requests processed: N/A
        b. median number of days to process: N/A

      4. All Requests — (single track used)

        a. number of requests processed: 1,111
        b. median number of days to process: 219

    B. Status of Pending Requests (if multiple tracks are being used, report for each track as well as totals).

      1. Number of requests pending as of the end of the fiscal year: 745

      2. Median number of days that such requests were pending as of that date: 228

VIII. COMPARISONS WITH PREVIOUS YEAR(S) (Optional):

IX. COSTS/FOIA STAFFING:

    A. Staffing levels:

      1. Number of full-time FOIA personnel: 10

      2. Number of personnel with part-time or occasional FOIA duties (in total work-years): 20.62

      3. Total number of personnel (in work years): 30.62

    B. Total costs (including staff and all resources):

      1. FOIA processing (including appeals): $1,428,395.00

      2. Litigation-related activities (estimated): $24,219.80

      3. Total costs: $1,452.514.80

      4. Comparison with previous year(s) (including percentage of change)(optional):

X. FEES:

    A. Total amount of fees collected by agency for processing requests: $37,614.23

    B. Percentage of total costs: 2.58%

XI. FOIA REGULATIONS (including fee schedule): See 45 C.F.R. Part 5 or http://www.nih.gov/icd/od/foia/cfr45.htm.

1. At the close of FY 2000, the NIH reported 987 pending requests. In FY 2001, the NIH closed 155 cases retroactively as these cases actually had been completed during previous fiscal years.