I. Basic Information Regarding Report

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

Nilza Velázquez, Acting Chief
Freedom of Information Act Division, C-12
U.S. Department of Transportation
400 Seventh Street, S.W., Room 5432
Washington, DC 20590
202.366.4542

B. Electronic address for report on the World Wide Web:
http://www.dot.gov/foia/

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

Darlene Wallace, Paralegal Specialist
Freedom of Information Act Division, C-12
U.S. Department of Transportation
400 Seventh Street, S.W., Room 5432
Washington, DC 20590
Darlene.A.Wallace@ost.dot.gov

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[1]
Electronic Address for E-FOIA Request

Office of the Secretary Nilza Velázquez, Acting Chief FOIA Div., Code C-12400 Seventh Street, S.W. Room 5432 Washington, DC 20590 202.366.5546 / 202.366.8536 http://www.dot.gov/foia/mailform.cfm	Office of Inspector General Jeffrey W. Davis, FOIA Officer / Privacy Act Officer, JC-1 400 Seventh Street, S.W. Room 9210 Washington, DC 20590 202.366.8751 / 202.366.1975 www.oig.dot.gov/FOIA
United States Coast Guard Donald Taylor Commandant (G-CIM-2) 2100 Second Street, S.W., Room 6106 Washington, DC 20593 202.267.1086
Federal Aviation Administration Bernette Smith National FOIA Staff, ARC-40 800 Independence Avenue, S.W. Washington, DC 20591 202.267.9165	FAA Alaskan Region, AAL-7 Ms. Jean Mahoney, FOIA Coordinator 222 West 7th Avenue, #14 Anchorage, AL 99513-7587 907.271.5269 / 907.271.2800
FAA Central Region, ACE-3B Ms. Veronica Bailey, FOIA Coordinator 901 Locust Kansas City, MO 64106-2641 816.329.2425 / 816.329.2431	FAA Eastern Region, AEO-60 Ms. Trina Hankerson 1 Aviation Plaza Jamaica, NY 11434-4809 718.553.3361 / 718.995.5663
FAA Great Lakes Region, AGL-4 Ms. Carmen Rivera, FOIA Coordinator 2300 E. Devon Avenue Des Plaines, IL 60018 847.294.7324 / 847.294.7184	FAA New England Region, ANE-40 Ms. Carol Goodsell, FOIA Coordinator 12 New England Executive Park Burlington, MA 01803 781.238.7393 / 781.238.7380
FAA Northwest Mountain Region, ANM-4MW Ms. Mitzi Warren, FOIA Coordinator 1601 Lind Avenue S.W. Renton, WA 98055-4056 425.227.2025 / 425.227.1005	FAA Southern Region, ASO-65D Ms. Linda Chatman, FOIA Coordinator Post Office Box 20636 Atlanta, GA 30320 404.305.5906 / 404.305.5854
FAA Southwest Region, ASW-41 Ms. Nancy Reilly, FOIA Coordinator 2601 Meacham Boulevard Ft. Worth, TX 76193-0041 817.222.5450 / 817.222.5952	FAA Western-Pacific Region, AWP-4 Ms. Carlette Young, FOIA Coordinator 15000 Aviation Boulevard Hawthorne, CA 90250 310.725.3809 / 310.725.6813
FAA Office of Aviation Medicine Ms. Beth Henson, FOIA Coordinator Civil Aero Medical Institute, AAM-3 Post Office Box 25082 Oklahoma City, OK 73125 405.954.1002 / 405.954.1010	FAA Technical Center Ms. Maureen Carroll, FOIA Coordinator Appraisal and Planning Staff, ACT-4 Atlantic City International Airport Atlantic City, NJ 08405 609.485.4854 / 609.485.4011
FAA Mike Monroney Aeronautical Center Flight Standards Service Mr. Doug Burdette, FOIA Coordinator Aviation Data Systems Branch, AFS-600 Post Office Box 25082 Oklahoma City, OK 73125 405.954.6501 / 405.954.4655	FAA Mike Monroney Aeronautical Center Civil Aviation Registry, AFS-700 Ms. Carrie LaFollette, FOIA Coordinator Post Office Box 25082 Oklahoma City, OK 73125 405.954.4331 / 405.954.5759
FAA Mike Monroney Aeronautical Center Aviation System Standards Ms. Margaret Fee, FOIA Coordinator Program Support Branch, AVN-21 Post Office Box 25082 Oklahoma City, OK 73125 405.954.8926 / 405.954.3470	FAA Mike Monroney Aeronautical Center, AMC-2 Ms. Joey Muth, FOIA Coordinator Post Office Box 25082 Oklahoma City, OK 73125 405.954.5054 / 405.954.3360
Federal Highway Administration Jim Kabel, FOIA Officer Tanya Layne Barbara L. Cox, Information Specialist HAIM-11 400 Seventh Street, SW Washington, DC 20590 202.366.0534 / 202.366.6672	Federal Railroad Administration Lauren Price, FOIA Officer 1120 Vermont Avenue, NW Washington, DC 20005 202.493.6039
National Highway Traffic Safety Administration Stanley Stewart NCC-113 400 Seventh Street, S.W. Room 5202 Washington, DC 20590 202.366.1834	Federal Transit Administration Velvet Snow, FOIA Officer TPA-1 400 Seventh Street, S.W. Room 9400 Washington, DC 20590 202.366.0782
Maritime Administration Christine S. Gurland, FOIA Officer MAR-221 400 Seventh Street, S.W. Room 7221 Washington, DC 20590  202.366.5181	Research and Special Programs Administration Gail Mayhew, FOIA Coordinator DCC-10 400 Seventh Street, S.W. Room 8407 Washington, DC 20590 202.366.4353
St. Lawrence Seaway Development Corporation Mary C. Fregoe, FOIA Officer Post Office Box 520 Massena, NY 13662-0520 315.764.3210	Bureau of Transportation Statistics Robert Monniere, FOIA Officer K-2, 400 Seventh Street, S.W. Room 3105 Washington, DC 20590 202.366.5498
Federal Motor Carrier Safety Administration Kathy Ray, FOIA Officer MC-MBM, 400 Seventh Street, S.W. Room 8207 Washington, DC 20590 202.366.2960
Transportation Security Administration
Physical Address	Mailing Address
Headquarters-West Tower 701 South 12th Street Arlington, VA 22202 571.227.2502	Patricia M. Riep-Dice, Associate Director  of the Freedom of Information Division 400 7th Street, S.W. TSA-20 Washington, DC 20590

B. Brief description of the agency’s response-time ranges.

The Department’s operating administrations answer most requests within 20 to 30 working days. If a response takes more than 30 days, it means that it is voluminous or complex in nature. The Department promptly acknowledges receipt of all requests but response time depends on how clearly the request was stated, the request’s complexity, the volume of records requested, the number of records custodians, and any request processing backlogs. Our response is quicker when requesters are specific about the records they seek and are able to include the organization(s) where the records may be located.

The Transportation Security Administration (TSA) is processing most FOIA requests in a timely manner. However, there are two request types with lengthy response times: requests for records containing Sensitive Security Information (SSI) and requests for records related to Security Screener applications.

SSI.  The Transportation Security Administration (TSA) was created in Fiscal Year 2002[2]. This Administration absorbed several components of the Federal Aviation Administration (FAA) and, as a result, the TSA FOIA / PA Division inherited 149 open FAA security-related FOIA requests. The actions on these requests are currently in two stages: records still being sought and records awaiting review. Security-related records may be subject to withholding under 5 U.S.C. §552(b)(3). However, in order to determine the status of the record, we require an expert on the record's subject matter. This additional step can add considerable time to a request's processing time.

Security Screeners.  We have received a considerable number of requests for records related to Security Screener applications. In Fiscal Year 2002, TSA hired over 40,000 security screeners in order to meet its statutory deadline. Given the large volume of applications handled by TSA within a short period of time, these applications have not been completely indexed. In addition, the records related to the applications are held at various off-site locations. Taken together, these factors make retrieving requested records a time-consuming effort.

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 Actor, or
• 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 and includes the Under Secretary of Transportation for Security, the Commandant of the Coast Guard, the Inspector General, and the Director of the 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
TSA[3]	Transportation Security Administration
	SSI.  Sensitive Security Information.  (49 U.S.C. § 40119 and 49 C.F.R. Part 1520.)
USCG[4]	United States Coast Guard
	MISLE.  Marine Information for Safety and Law Enforcement System.  An Information System to capture data on marine safety and environmental protection program activities plus data on law enforcement and response activities.  MISLE replaced MSIS.  (See below).
	MSIS.  Marine Safety Information.  An information system used to capture data on marine safety and environmental protection program activities.  MSIS was replaced by MISLE.  (See above.)
	PSIX.  Port State Information Exchange.  An Internet-based information system that provides information to the public on vessels and USCG activities related to those vessels.
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.
CI	Compliance Investigation
DP	Defect Petition
EA	Engineering Analysis
FMVSS	Federal Motor Vehicle Safety Standard
IR	Information Request
NCI	Non-compliance Investigation
OA	Office Activity
PE	Preliminary Evaluation
RQ	Recall Query
SQ	Service Query

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 all issues regarding the request or the appeal.

5. Multi-track Processing.  A system in which simple requests requiring relatively minimal review is 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 that 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 disclosing 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

A. 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	2. Statement of whether a court has upheld the use of each statute.
Highway Safety Act of 1966, 23 U.S.C. §403, note. Traffic Accident and Research Reports are available to the public but without personal information.	N/A
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:	N/A
18 USC 371 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.”)
41 U.S.C. 253b(m). Prohibits release of contract proposal not incorporated in contract. (Applies to civilian agencies.)	N/A
10 U.S.C. 2305. Prohibits release of contract proposal not incorporated in contract. (Applies to the Armed Services, including the USCG.)	N/A
46 U.S.C. 7319. Prohibits release of all information contained in files maintained on each merchant mariner document issued.	N/A
49 U.S.C. § 40119. Prevents the release of information that would be an unwarranted invasion of personal privacy, that reveals a trade secret or privileged or confidential information, or that would be detrimental to the safety of passengers in transportation.	N/A
5 U.S.C. § 7301, note. Information regarding the result of a Federal employee's drug test may not be released.	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:	3,515[5]
2.	Number of requests received during current fiscal year:	17,910
3.	Number of requests processed during current fiscal year:	17,540
4.	Number of requests pending as of end of current fiscal year:	3,885

B. Disposition of initial requests.

1.	Number of total grants:	8,803
2.	Number of partial grants:	2,171
3.	Number of denials:	519

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

(1)	Exemption 1	4		(8)	Exemption 7(B)	6
(2)	Exemption 2	105		(9)	Exemption 7(C)	456
(3)	Exemption 3	172		(10)	Exemption 7(D)	74
(4)	Exemption 4	282		(11)	Exemption 7(E)	27
(5)	Exemption 5	511		(12)	Exemption 7(F)	4
(6)	Exemption 6	1334		(13)	Exemption 8	0
(7)	Exemption 7(A)	229		(14)	Exemption 9	0

4.		Other reasons for nondisclosure (total):	6047
	a.	No records	2701
	b.	Referrals	1237
	c.	Request withdrawn	1118
	d.	Fee-related reason	209
	e.	Records not reasonably described	198
	f.	Not a proper FOIA request for some other reason	166
	g.	Not an agency record	82
	h.	Duplicate request	199
	i.	Available from other sources	95
	j.	Other (Specify) (Requester no longer interested in records)	38
	k.	Other (Specify) (Non-possession)	4
	l.	Other (Specify) (Procurement Information)	0
	m.	Other (Specify) (Privacy Act Request)	0
	n.	Other (Specify) (No Return Address)	0

 

VI. Appeals of Initial Denials of FOIA/PA Requests

A. Number of appeals.

1.	Number of appeals received during fiscal year:	146
2.	Number of appeals processed during fiscal year:	184[6]

B. Disposition of appeals.

1.	Number completely upheld:	58
2.	Number partially reversed	22
3.	Number completely reversed:	12

                  a. Number of times each FOIA exemption used:

(1)	Exemption 1	20		(8)	Exemption 7(B)	4
(2)	Exemption 2	1		(9)	Exemption 7(C)	10
(3)	Exemption 3	2		(10)	Exemption 7(D)	1
(4)	Exemption 4	11		(11)	Exemption 7(E)	0
(5)	Exemption 5	19		(12)	Exemption 7(F)	0
(6)	Exemption 6	27		(13)	Exemption 8	0
(7)	Exemption 7(A)	5		(14)	Exemption 9	0

4.		Other reasons for nondisclosure (total):	92
	a.	No records	20
	b.	Referrals	0
	c.	Request withdrawn	28
	d.	Fee-related reason	2
	e.	Records not reasonably described	0
	f.	Not a proper FOIA request for some other reason	0
	g.	Not an agency record	0
	h.	Duplicate Request	14
	i.	Available from other sources	8
	j.	Other (Specify)	0
	k.	Other (Specify)	0
	l.	Other (Specify)	0
	m.	Other (Specify)	0

 

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:	7810
	b.	Median number of days to process:	8

2.	Complex requests (specify for any and all tracks used).
	a.	Number of requests processed:	9568
	b.	Median number of days to process:	39

3.	Requests accorded expedited processing.
	a.	Number of requests processed:	162
	b.	Median number of days to process:	29

B. Status of pending requests.

1.	Number of requests pending as of end of current fiscal year:	3885
2.	Median number of days that such requests were pending as of that date:	41

 

VIII. Comparisons with Previous Year-- Optional

		FY 2001	FY 2002	Change Amount	Change %
A.	Requests Received
B.	Requests Processed
C.	Median Num. of Days Requests were pending at the end of the fiscal year

D. Other statistics significant to agency: For FY 2002, the number of requests for expedited processing were not tabulated, only the total number of requests processed on an expedited basis. The initial request for expedited processing will be tabulated in FY 2003.

E. 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 the timeliness of our response to FOIA requests, DOT contacts requesters by telephone or in writing asking that they clarify any uncertainties in their FOIA request and to resolve any fee issues, as applicable. In addition, we attempt to understand and narrow the scope of some of the voluminous or complex requests. We are also working to eliminate our backlog by confirming that records in old requests are still required.    

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.

We previously reported on the USCG's implementation of its FOIA Imaging System (FIS). The system was initially limited to the headquarters FOIA office but, since first implemented, the USCG continually expanded the system's coverage and training. FIS is an imaging workflow system that is used to scan FOIA requests and responses, and automates the management process associated with these functions.

The USCG continually makes 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.  

In December of 2001, the Coast Guard's Office of Marine Safety and Environmental Protection (G-M) replaced its MSIS with a newer information system, the MISLE. The newer system will be able to electronically capture more data than before. In addition, MISLE will allow easier access to records currently stored throughout the country because these records will be scanned, thus becoming available electronically. The transition to the newer system will improve G-M's ability to search and gain access to records. The USCG hopes to further enhance search and access capability by acquiring additional scanners for all marine safety units. At the Headquarters level, G-M has initiated a project to render paper records electronically.

 

IX. Costs / FOIA Staffing

A. Staffing Levels

1.	Number of full-time FOIA personnel:	52.22
2.	Number of personnel with part-time/occasional FOIA duties (in total work years):	81.29
3.	Total number of personnel (in total work years):	133.51

B. Total costs (including staff and all resources)

1.	FOIA processing (including appeals):			$9,331,747.64
2.	Litigation-related activities (estimated):			$161,202.17
3.	Total Costs			$9,492,949.81
4.	Comparison with previous year(s)
	Total Costs FY 2001	Total Costs FY 2002	Difference Amount	Difference Percentage
	$9,040,247.00	$9,492,949.81	$452,702.81	+5.01

C. Statement of Additional Resources Needed for FOIA compliance (optional)

To comply with the Freedom of Information Act, it is necessary for an agency to spend funds for its personnel to evaluate and process the requests. This includes funds for attorneys to conduct legal review of documents and for subject matter experts. In addition, we must spend funds on administrative elements such as office space, reproduction facilities, clerical assistance and computer resources. Although the volume and complexity of FOIA requests increase, agencies do not receive additional funding for these purposes. Therefore, an increasingly larger proportion of DOT’s operating funds must be used with a corresponding decrease in available funds for the principal mission of the Department and its operating administrations.  

Lack of resources is the direct cause of the delay in responding to requesters within the statutory time limits. Frustrated requesters resort to lawsuits in an understandable effort to obtain records to which they may be entitled. Unfortunately, this places still more pressure on already strained resources.

As evidenced in this report, the fees collected are a fraction of the Department’s actual FOIA costs. However, under applicable appropriations law, agencies may not keep the collected fees but, rather, must send the funds to the Department of the Treasury. Collecting, taking account and transmitting the fees is still another cost element to be borne by the agency.

 

X. Fee

A.	Total amount of fees collected by agency for processing requests:	$284,213.79
B.	Percentage of total costs:	2.99%

 

XI. FOIA Regulations (Including Fee Schedule)

FOIA Regulations, including fee schedule can be found in 49 CFR Part 7, Public Availability of Information.

       

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[1] If one number appears, it represents the office telephone number.

[2] TSA will cease to be part of DOT as of March 2003.  TSA will become part of the new Department of Homeland Security.

[3] TSA will cease to be part of DOT as of March 2003. TSA will become part of the new Department of Homeland Security.

[4] U.S. Coast Guard will cease to be part of DOT as of March 2003.  The U.S. Coast Guard  will become part of the new Department of Homeland Security.

[5] The number of requests pending at the end of FY 2001 was listed as 3,767. However, the total number of pending requests as reported by the operating administrations of the Department of Transportation was 3,515.

[6] The number of appeals processed is larger than the number of appeals received during Fiscal Year 2002 because appeals pending from the previous Fiscal Year and processed during Fiscal Year 2002 were included in the total.