I. Basic Information Regarding Report
A. Person to be contacted with questions about the
report:
Patricia M. Riep-Dice, Chief, Freedom of Information
Act Division, C-12/5432,
U.S. Department of Transportation, 400 Seventh Street, SW, Washington,
DC 20590
(202) 366-4542
B. Electronic address for report on the World Wide
Web:
http://www.dot.gov/foia/reports/2001annualreport.html
C. Person to be contacted for a copy of the report
in paper form:
Donna Clavelli, Freedom of Information Act Specialist,
Freedom of Information Act Division, C-12/5432, U.S. Department
of Transportation, 400 Seventh Street, SW, Washington, DC 20590
(202) 366-4542
II. How to Make a FOIA Request
A. Names, addresses, and telephone numbers of all
individual agency components
and offices that receive FOIA requests.
Name/Title
Address
Telephone/Facsimile (If one number appears, it represents the
office telephone number.)
Electronic Address for E-FOIA Request
Patricia M. Riep-Dice, Chief FOIA Division
Office of the Secretary
C-12/5432
400 Seventh Street, SW
Washington, DC 20590
(202) 366-5546/(202) 366-8536
http://www.dot.gov/foia/mailform.cfm
Jeffrey W. Davis, FOIA Officer/Privacy Act Officer
Office of Inspector General
JC-1/9210
400 Seventh Street, SW
Washington, DC 20590
(202) 366-8751/(202) 366-1975
http://www.oig.dot.gov/FOIA
Commandant (G-CIM-2)
United States Coast Guard
2100 Second Street, SW
Washington, DC 20593
(202) 267-1086
Tracy Paquin
Bernette Smith
National FOIA Staff, ARC-40
Federal Aviation Administration
800 Independence Avenue, SW
Washington, DC 20591
(202) 267-9165
Ms. Jean Mahoney, FOIA Coordinator
FAA Alaskan Region, AAL-7
222 West 7th Avenue, #14
Anchorage, AL 99513-7587
(907) 271-5269/(907) 271-2800
Ms. Veronica Bailey, FOIA Coordinator
FAA Central Region, ACE-3B
901 Locust
Kansas City, MO 64106-2641
(816) 329-2425/(816) 329-2431
Ms. Trina Hankerson
FAA Eastern Region, AEO-60
1 Aviation Plaza
Jamaica, NY 11434-4809
(718) 553-3361/(718) 995-5663
Ms. Carmen Rivera, FOIA Coordinator
FAA Great Lakes Region, AGL-4
2300 E. Devon Avenue
Des Plaines, IL 60018
(847) 294-7324/(847) 294-7184
Ms. Carol Goodsell, FOIA Coordinator
FAA New England Region, ANE-40
12 New England Executive Park
Burlington, MA 01803
(781) 238-7393/(781) 238-7380
Ms. Mitzi Warren, FOIA Coordinator
FAA Northwest Mountain Region, ANM-4MW
1601 Lind Avenue SW
Renton, WA 98055-4056
(425) 227-2025/(425) 227-1005
Ms. Linda Chatman, FOIA Coordinator
FAA Southern Region, ASO-65D
Post Office Box 20636
Atlanta, GA 30320
(404) 305-5906/(404) 305-5854
Ms. Nancy Reilly, FOIA Coordinator
FAA Southwest Region, ASW-41
2601 Meacham Boulevard
Ft. Worth, TX 76193-0041
(817) 222-5450/(817) 222-5952
Ms. Carlette Young, FOIA Coordinator
FAA Western-Pacific Region, AWP-4
15000 Aviation Boulevard
Hawthorne, CA 90250
(310) 725-3809/(310) 725-6813
Ms. Beth Henson, FOIA Coordinator
FAA Office of Aviation Medicine
Civil Aero Medical Institute, AAM-3
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-1002/(405) 954-1010
Ms. Maureen Carroll, FOIA Coordinator
FAA Technical Center
Appraisal and Planning Staff, ACT-4
Atlantic City International Airport
Atlantic City, NJ 08405
(609) 485-4854/(609) 485-4011
Mr. Doug Burdette, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Flight Standards Service
Aviation Data Systems Branch, AFS-600
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-6501/(405) 954-4655
Ms. Carrie LaFollette, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Civil Aviation Registry, AFS-700
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-4331/(405) 954-5759
Ms. Margaret Fee, FOIA Coordinator
FAA Mike Monroney Aeronautical Center
Aviation System Standards
Program Support Branch, AVN-21
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-8926/(405) 954-3470
Ms. Joey Muth, FOIA Coordinator
FAA Mike Monroney Aeronautical Center, AMC-2
Post Office Box 25082
Oklahoma City, OK 73125
(405) 954-5054/(405) 954-3360
Jim Kabel, FOIA Officer
Catrina Pavlik, FOIA Team Leader
Barbara L. Cox, Information Specialist
Federal Highway Administration
HAIM-11
400 Seventh Street, SW
Washington, DC 20590
(202) 366-0534/(202) 366-6672
Sandi Robinson, FOIA Officer
Federal Railroad Administration
1120 Vermont Avenue, NW
Washington, DC 20005
(202) 493-6039
Heidi Coleman, Assistant Chief Counsel for General
Law
National Highway Traffic Safety Administration
NCC-30/5219
400 Seventh Street, SW
Washington, DC 20590
(202) 366-1834
Velvet Snow, FOIA Officer
Federal Transit Administration
TPA-1/9400
400 Seventh Street, SW
Washington, DC 20590
(202) 366-0782
Francis Mardula, FOIA Officer
Maritime Administration
MAR-221/7221
400 Seventh Street, SW
Washington, DC 20590
(202) 366-5181
Gail Mayhew, FOIA Coordinator
Research and Special Programs Administration
DCC-10/8407
400 Seventh Street, SW
Washington, DC 20590
(202) 366-4353
Mary C. Fregoe, FOIA Officer
St. Lawrence Seaway Development Corporation
Post Office Box 520
Massena, NY 13662-0520
(315) 764-3210
Robert Monniere, FOIA Officer
Bureau of Transportation Statistics
K-1, Room 3430
400 Seventh Street, SW
Washington, DC 20590
(202) 366-5498
Kathy Ray, FOIA Officer
Federal Motor Carrier Safety Administration
MC-MBM, Room 8207
400 Seventh Street, SW
Washington, DC 20590
(202) 366-2960
B. Brief description of the agency's response-time
ranges.
The majority of the requests are answered within
20 to 30 works days. If not, it usually means that the request
is either voluminous or complex in nature. The FAA and the USCG
administer a decentralized FOIA program. FOIA coordinators and
responding program offices acknowledge receipt of FOIA requests
promptly. Response time for a request varies according to the
clarity and complexity of the request, the volume of documents
requested, the number of record holders assigned to respond
to the request, and the unit's respective FOIA backlogs. Response
time is facilitated when requesters are specific about the records
they seek, and include the organization(s) where the records
may be located. Requesters are contacted by telephone or in
writing to clarify any uncertainties in a FOIA request, and
to resolve any fee issues with the request, so that they may
provide a response as soon as possible.
C. Brief description of why some requests are not
granted.
Some requests were not granted based on Exemptions
in 552 (b), 5 U.S.C. §§ 552(b)(1)-(9). Some were not
granted because they were seeking answers to questions posed
as a FOIA request as opposed to seeking specific records. Some
requests were not granted because the DOT did not possess the
responsive records; records were not reasonably described enough
to make a search possible; the information is already publicly
available; the request should more properly be answered under
another Act, such as the Privacy Act, etc., and outstanding
fees for previous requests have 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
FAA -- Federal Aviation Administration
USCG -- United States Coast Guard
NHTSA -- National Highway Traffic Safety Administration
FHWA -- Federal Highway Administration
FRA -- Federal Railroad Administration
FTA -- Federal Transit Administration
SLSDC -- Saint Lawrence Seaway Development Corporation
MARAD -- Maritime Administration
RSPA -- Research and Special Programs Administration
BTS -- Bureau of Transportation Statistics
FMCSA - Federal Motor Carrier Safety Administration
FMVSS -- Federal Motor Vehicle Safety Standard
IR -- Information Request
PE -- Preliminary Evaluation
EA -- Engineering Analysis
RQ -- Recall Query
SQ -- Service Query
OA -- Office Activity
DP -- Defect Petition
CI -- Compliance Investigation
NCI -- Non-compliance Investigation
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.
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 are also 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 Statute
List of Exemption 3 statutes relied on by agency
during current fiscal year.
1. Brief description of type(s) of information withheld
under each statute
Highway Safety Act of 1966, Pub. L. 89-564, 80
Stat. 731 (1966). The Highway Safety Act of 1966 prohibits the
disclosure of personal identifiers contained in reports of crash
investigations.
National Driver Register Act of 1982, 49 USC §§
30301 et seq. 49 U.S.C.§ 31443(b) (formerly Section 212(b),
Motor Carrier Safety Act of 1984). The National Driver Register
Act of 1982 prohibits disclosure of information to parties not
specifically authorized by the Act to receive such information.
18 USC 371 with Rule 6(e) of the Federal Rules
of Criminal Procedure - Grand jury material.
41 U.S.C. 253b(m): Prohibits release of contract
proposal not incorporated in contract.
46 U.S.C. 7319: Prohibits release of all information
contained in files maintained on each merchant mariner document
issued.
2. Statement of whether a court has upheld the use
of each statute.
18 USC 3771 with Rule 6(e) of the Federal Rules
of Criminal Procedure. Church of
Scientology Int'l. v. United States Department of Justice, 30F.3d
244,235 (1st Cir. 1994).("[D]ocuments identified as grand
jury exhibits, and whose contents are testimonial in nature
or otherwise directly associated with grand jury process, such
as affidavits and disposition transcripts, ordinarily may be
withheld simply on the basis of their status as exhibits.")
49 U.S.C. 31443(b)- Reporters Committee for Freedom
of the Press v. U.S. DOJ, 816 F. 2d 730, 734 (D.C. Cir.) modified
on other grounds, 831 F.2d 1124 (D.C. Cir. 1987), rev'd on other
grounds, 489 U.S. 749 (1989).
V. Initial FOIA/PA Access Requests
A. Numbers of Initial Requests:
1. Number of requests pending as of end of preceding
fiscal year: 3,785
2. Number of requests received during current fiscal year: 19,529
3. Number of requests processed during current fiscal year:
19,547
4. Number of requests pending as of end of current fiscal year:
3,767
B. Disposition of initial requests.
1. Number of total grants: 10,536
2. Number of partial grants: 2,493
3. Number of denials: 756
a. Number of times each FOIA exemption used
(counting each exemption once per request).
(1) Exemption 1 --0
(2) Exemption 2--110
(3) Exemption 3--108
(4) Exemption 4--285
(5) Exemption 5--476
(6) Exemption 6--1471
(7) Exemption 7(A)--186
(8) Exemption 7(B)--19
(9) Exemption 7(C)--666
(10) Exemption 7(D)--99
(11) Exemption 7(E)--14
(12) Exemption 7(F)--13
4. Other reasons for nondisclosure (total): 5762
a. No records--3220
b. Referrals-- 928
c. Request withdrawn --771
d. Fee-related reason--258
e. Records not reasonably described --35
f. Not a proper FOIA request for some other reason--229
g. Not an agency record--100
h. Duplicate request --101
i. Available from other source--80
j. Other (Specify)--
Non-possession--37
Would require the creation of records--2
Neither confirm or deny-1
VI. Appeals of Initial Denials of FOIA/PA Requests
A. Number of appeals.
1. Number of appeals received during fiscal year:
200
2. Number of appeals processed during fiscal year: 212
B. Disposition of appeals.
1. Number completely upheld: 105
2. Number partially reversed: 34
3. Number completely reversed: 16
a. Number of times each FOIA exemption used:
(1) Exemption 2---0
(2) Exemption 3---4
(3) Exemption 4---4
(4) Exemption 5---24
(5) Exemption 6---31
(6) Exemption 7(A)---26
(7) Exemption 7(B)---9
(8) Exemption 7(C)---10
(9) Exemption 7(D)---10
(10) Exemption 7(E)---3
4. Other reasons for nondisclosure (total): 57
a. No records--13
b. Request withdrawn--7
c. Not a proper FOIA request for some other reason--22
d. Duplicate request --1
e. Other (specify)
Processed as original FOIA requests--2
Referral--2
Remanded appeals--9
No answer to initial request-1
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: 9340
b. Median number of days to process: 8
2. Complex requests (specify for any and all tracks
used).
a. Number of requests processed: 7347
b. Median number of days to process: 23
3. Requests accorded expedited processing.
a. Number of requests processed: 147
b. Median number of days to process: 8
4. Requests not using multi-track processing.
a. Number of requests processed: 2713
b. Median number of days to process: 30
B. Status of pending requests.
1. Number of requests pending as of end of current
fiscal year: 3767
2. Median number of days that such requests were
pending as of that date: 99
VIII. Comparisons with Previous Year
A. Comparison of numbers of requests received:
FY 2000 - 19,677 FY 2001 - 19,529
B. Comparison of numbers of requests processed:
FY 2000 - 18,844 FY 2001 - 19,547
C. Comparison of median number of days requests
were pending at the end of fiscal year:
FY 2000 - 30 FY 2001 - 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).
To improve timeliness of FOIA performance, the DOT
is making an effort to contact requesters by telephone to help
understand and possibly narrow the scope of some of the voluminous/complex
requests. We are also working to eliminate our backlog by first
seeing if the requesters are still in need of the requested material
in older cases. The OIG is establishing a task force to help process
their remaining backlog cases.
We have updated our website, and now several of
the Operating Administrations include electronic requests via
their website as part of our method for receiving FOIA requests.
The capability to transmit information electronically has also
expedited FOIA requests and helped reduce backlogs.
The OIG continues to provide public audit reports,
Congressional testimonies, correspondences and other public products
on their website.
The USCG has implemented a FOIA Imaging System (FIS).
While the system was initially limited to the central FOIA office,
it has been expanded to include two other offices. We are currently
providing individual training to persons in the offices to ensure
maximum use of the system. FIS is an image enabled workflow system
that scans FOIA requests and responses, and automates the workflow
management process associated with these functions. The central
FOIA office remands appeals to the original processor for reconsideration
when it determines that the original processor failed to follow
procedures. This improves the quality and timeliness of responses,
while preserving requesters' appeal rights.
The USCG made more records available to the public
via Internet or other electronic media. Examples include Port
State Information Exchange (PSIX), Marine Board Reports, licensing
and documentation forms, policy documents, and the Oil Spill Compendium.
We also distribute data via the National Technical Information
Service on CD-ROM, including the Merchant Vessels of the U.S.
data file and the Marine Casualty and Pollution database. We are
in the process of developing a new information system, Marine
Information for Safety and Law Enforcement, that will also facilitate
distribution of data to the public by centralizing most Marine
Safety and environmental protection records in a single information
system.
OST and NHTSA have hired new employees during FY
2001 who will assist the Department in carrying out its responsibilities
under the FOIA.
In February, 2002, we will be holding a two-day
Departmental wide FOIA Conference to enable those involved in
the processing of FOIA requests to receive up-to-date information
and provide them with the opportunity to ask questions directly
to a representative of the Office of Information and Privacy,
Department of Justice.
IX. Costs/FOIA Staffing
A. Staffing levels.
1. Number of full-time FOIA personnel: 44
2. No.of personnel with part-time/occasional FOIA duties (in
total work
Years): 73.70
3. Total number of personnel (in total work years): 117.70
B. Total costs (including staff and all resources).
1. FOIA processing (including appeals): $ 8,968,024.
2. Litigation-related activities (estimated): $ 72,203.
3. Total costs: $ 9,040,247.
4. Comparison with previous year(s) (including percentage of
change):
Cost increased from FY 2000 to FY 2001 by $1,097,565 (11%).
X. Fee
A. Total amount of fees collected by agency for
processing requests: $366,592.
B. Percentage of total costs: 4%
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
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