U.S. Merit Systems Protection Board
1615 M Street, NW
Washington, DC 20419
FREEDOM
OF INFORMATION ACT
ANNUAL REPORT
FISCAL YEAR 2009
Part 1
I. BASIC INFORMATION REGARDING THIS REPORT.
Questions regarding this report may be directed to:
Bernard Parker, FOIA Public Liaison
Office of the Clerk of the Board
1615 M Street, NW
Washington, DC 20419
Electronic copies of the report are on the Merit Systems Protection Board’s (MSPB) website at www.mspb.gov. Paper copies of the report may be obtained by writing to the above address.
II. HOW TO MAKE A FOIA REQUEST TO THE MSPB.
The MSPB has prepared a FOIA Guide, which is on its website. Paper copies are also available in the MSPB’s headquarters library, by calling 202-653-7200, or by e-mailing foia@mspb.gov. Requesters also will find contact information for the MSPB’s FOIA Liaisons on its website.
1. Names, addresses and telephone numbers of MSPB offices where FOIA requests can be filed are found below:
|
Atlanta Regional Office (404) 730-2755
Northeastern
Regional Office
New York Field Office (212) 264-9372
|
Central Regional
Office
Dallas Regional
Office (214) 767-0555
Washington DC
Regional Office |
Western Regional
Office
Denver Field Office
(303) 969-5101 |
2. The FOIA requests may be denied because the requester fails to provide an adequate description of the records they seek or they ask for the MSPB to engage in legal research, e.g., creating records where none exist. The majority of FOIA requests to the MSPB may be denied in whole or part because requesters are seeking records from appellate case files. Appellate case records are part of a system of records (GOV-1) that are maintained subject to the provisions of the Privacy Act. Consequently, the MSPB must invoke Exemption 6 to protect information that, if released, would constitute an unwarranted invasion of personal privacy. See our FOIA Guide for more information.
III. DEFINITIONS OF TERMS AND ACRONYMS.
1. There are no MSPB-specific acronyms or terms used in this Report.
2. The following terms are used in this Report:
a. Administrative Appeal ― a request to a federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.
b. 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.
c. Backlog ― the number of requests or administrative appeals that are pending at an agency at the end of the fiscal year that are beyond the statutory time period for a response.
d. Component ― for agencies that process requests on a decentralized basis, a "component" is an entity, also sometimes referred to as an Office, Division, Bureau, Center, or Directorate, within the agency that processes FOIA requests. The FOIA now requires that agencies include in their Annual FOIA Report data for both the agency overall and for each principal component of the agency.
e. Consultation ― the procedure whereby the agency responding to a FOIA request first forwards a record to another agency for its review because that other agency has an interest in the document. Once the agency in receipt of the consultation finishes its review of the record, it responds back to the agency that forwarded it. That agency, in turn, will then respond to the FOIA requester.
f. Exemption 3 Statute ― a federal statute that exempts information from disclosure and which the agency relies on to withhold information under subsection (b)(3) of the FOIA.
g.
FOIA Request ―
a FOIA request is generally a request to a federal agency for access to
records concerning another person (i.e., a "third-party" request), or
concerning an organization, or a particular topic of interest. FOIA requests
also include requests made by requesters seeking records concerning themselves
(i.e., "first-party" requests) when those requesters are not subject
to the Privacy Act, such as non-U.S. citizens. Moreover, because all
first-party requesters should be afforded the benefit of both the access provisions
of the FOIA as well as those of the Privacy Act, FOIA requests also include any
first-party requests where an agency determines that it must search beyond its
Privacy Act "systems of records" or where a Privacy Act exemption
applies, and the agency looks to FOIA to afford the greatest possible access.
All requests which require the agency to use the FOIA in responding to the
requester are included in this Report.
Additionally, a FOIA request includes records referred to the agency for
processing and direct response to the requester. It does not, however,
include records for which the agency has received a consultation from another
agency. (Consultation are reported separately in
Section XII of this Report.)
h. Full Grant ― an agency decision to disclose all records in full in response to a FOIA request.
i. Full Denial ― an agency decision not to release any records in response to a FOIA request because the records are exempt in their entireties under one or more of the FOIA exemptions, or because of a procedural reason, such as when no records could be located.
j. Median Number ― the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
k. Multi-Track Processing[1] ― 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 granted expedited processing are placed in yet another track. Requests in each track are processed on a first in/first out basis.
· Expedited Processing ― an agency will process a FOIA request on an expedited basis when a requester satisfies the requirements for expedited processing as set forth in the statute and in agency regulations.
· Simple Request ― a FOIA request that an agency using multi-track processing places in its fastest (non-expedited) track based on the low volume and/or simplicity of the records requested.
· Complex Request ― a FOIA request that an agency using multi-track processing places in a slower track based on the high volume and/or complexity of the records requested.
l. Partial Grant/Partial Denial ― in response to a FOIA request, an agency decision to disclose portions of the records and to withhold other portions that are exempt under the FOIA, or to otherwise deny a portion of the request for a procedural reason.
m. Pending Request or Pending Administrative Appeal ― a request or administrative appeal for which an agency has not taken final action in all respects.
n. Perfected Request ― a request for records which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.
o. Processed Request or Processed Administrative Appeal ― a request or administrative appeal for which an agency has taken final action in all respects.
p. Range in Number of Days ― the lowest and highest number of days to process requests or administrative appeals.
q. Time Limits ― the time period in the statute for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request).
3. Descriptions of the nine FOIA exemptions:
Exemption 1: classified national defense and foreign relations information
Exemption 2: internal agency rules and practices
Exemption 3: information that is prohibited from disclosure by another federal law
Exemption 4: trade secrets and other confidential business information
Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
Exemption 6: information involving matters of personal privacy
Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production of those records (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a confidential source, (E) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or (F) could reasonably be expected to endanger the life or physical safety of any individual
Exemption 8: information relating to the supervision of financial institutions
Exemption 9: geological information on wells
IV. EXEMPTION 3 STATUTES
1. Exemption 3 Statutes Relied upon to Withhold Information
|
Statute |
Type of Information Withheld |
Case Citation |
Number of Times Relied Upon |
Total Number of Times Relied upon by Agency |
|
Not Applicable |
Not Applicable |
Not Applicable |
0 |
0 |
|
The MSPB did not rely on Exemption 3 to withhold any records. Consequently, MSPB reports no court decisions involving Exemption 3 determinations. |
||||
V. FOIA REQUESTS
A. Received, Processed, and Pending FOIA Requests.
|
|
Number of Requests Pending as of Start of the Fiscal Year |
Number of Requests Received in Fiscal Year |
Number of Requests Processed in Fiscal Year |
Number of Requests Pending as of End of Fiscal Year |
|
Agency Overall |
6 |
334 |
335 |
5 |
B. (1) Disposition of FOIA Requests ― All Processed Requests
|
|
Number of Full Grants |
Number of Partial Grants/Partial Denials |
Number of Full Denials Based on Exemptions |
Number of Full Denials Based on Reasons Other than Exemptions |
|
||||||||
|
|
|
|
|
No Records |
All Records Referred to Another Agency |
Request Withdrawn |
Fee Related Reason |
Records not Reasonably Described |
Improper FOIA Request for Other Reason |
Not an Agency Record |
Duplicate Request |
Other |
Total |
|
Agency Overall |
309 |
10 |
8 |
3 |
4 |
0 |
0 |
1 |
0 |
0 |
0 |
0 |
335 |
B. (2) Disposition of FOIA Requests-- "Other" Reasons for "Full Denials Based on Reasons Other than Exemptions" from Section V, B (1) Chart
|
|
Description of “Other” Reasons for Denials for Chart B (1) & Number of Times Those Reasons Were Relied upon |
Total |
|
Agency Overall |
0 |
0 |
|
The MSPB did not deny any requests based on “Other” reasons not already described above. |
||
B. (3) Disposition of FOIA Requests ― Number of Times Exemptions Applied
|
|
Ex.1 |
Ex.2 |
Ex.3 |
Ex.4 |
Ex.5 |
Ex.6 |
Ex.7 |
Ex. 7 |
Ex. 7 |
Ex. 7 |
Ex. 7 |
Ex. 7 |
Ex.8 |
Ex.9 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
4 |
11 |
0 |
1 |
0 |
0 |
0 |
0 |
0 |
0 |
VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS
A. Received, Processed, and Pending Administrative Appeals.
|
Number of Appeals Pending as of Start of Fiscal Year |
Number of Appeals Received in Fiscal Year |
Number of Appeals Processed in Fiscal Year |
Number of Appeals Pending as of End of Fiscal Year |
|
0 |
5 |
5 |
0 |
B. Disposition of Administrative Appeals ― All Processed Appeals
|
Number Affirmed on Appeal |
Number Partially Affirmed & Partially Reversed/Remanded on Appeal |
Number Completely Reversed/Remanded on Appeal |
Number of Appeals Closed for Other Reasons |
TOTAL |
|
5 |
0 |
0 |
0 |
5 |
C. (1) Reasons for Denial on Appeal ― Number of Times Exemptions Applied
|
Ex.1 |
Ex.2 |
Ex.3 |
Ex.4 |
Ex.5 |
Ex.6 |
Ex.7 |
Ex. 7 |
Ex. 7 |
Ex. 7 |
Ex. 7 |
Ex. 7 |
Ex.8 |
Ex.9 |
|
0 |
0 |
0 |
0 |
2 |
3 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. (2) Reasons for Denial on Appeal ― Reasons Other than Exemptions
|
No Records |
Records Referred at Initial Request Level |
Request Withdrawn |
Fee Related Reason |
Records not Reasonably Described |
Improper Request for Other Reasons |
Not Agency Record |
Duplicate Request or Appeal |
Request in Litigation |
Appeal Based Solely on Denial of Request for Expedited Processing |
Other (explain in chart below) |
|
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. (3) Reasons for Denial on Appeal – "Other" Reasons from Section VI, C (2) Chart
|
Description of "Other" Reasons for Denial on Appeal from Chart C(2) & Number of Times those Reasons were Relied Upon |
TOTAL |
|
|
0 |
C. (4) Response Time for Administrative Appeals
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
14 |
14 |
2 |
19 |
C. (5) Ten Oldest Pending Administrative Appeals
|
|
10th Oldest Appeal |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Appeal |
|
Date of Receipt |
|
|
|
|
|
|
|
|
|
|
|
Number of Days Pending |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
The MSPB did not have any pending administrative appeals at the end of FY 2009. |
||||||||||
VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS
A. Processed Requests ― Response Time for All Processed Perfected Requests
|
|
Simple |
Complex |
Expedited Processing* |
|||||||||
|
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
Agency Overall |
7 |
15 |
<1 |
93 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
*Although MSPB received requests for expedited processing, all such requests routinely were processed within 5 days of receipt. Therefore, we did not rule on any requests for expedited processing. |
||||||||||||
B. Processed Requests ― Response Time for Perfected Requests in Which Information Was Granted
|
|
Simple |
Complex |
Expedited Processing |
|||||||||
|
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
Agency Overall |
5 |
16 |
<1 |
49 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. Processed Requests ― Response Time in Day Increments
|
Simple Requests |
||||||||||||||
|
|
1-20 Days |
21-40 Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
300-400 Days |
401+ Days |
Total |
|
Agency Overall |
230 |
85 |
10 |
8 |
2 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
335 |
|
During FY 2009, MSPB received numerous FOIA requests that were delayed for various reasons, e.g., we requested relevant records from Federal Records Centers and MSPB’s regional and field offices, and many records were sent to our copying contractor. In other instances, MSPB first generated reports to identify responsive documents. Upon receipt of those records, we reviewed them for appropriate redaction under one of the FOIA Exemptions. Many of the records contained 2,500 pages or more. However, on an ongoing basis MSPB contacted requesters whose responses were delayed, and we did not receive any complaints regarding our efforts to respond. |
||||||||||||||
|
Complex Requests |
||||||||||||||
|
|
1-20 Days |
21-40 Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
300-400 Days |
401+ Days |
Total |
|
Agency Overall |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Table not applicable. The MSPB does not use multi-track processing. All MSPB FOIA requests are included in the table above (“Simple Requests”). |
||||||||||||||
|
Requests Granted Expedited Processing |
||||||||||||||
|
|
1-20 Days |
21-40 Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
300-400 Days |
401+ Days |
Total |
|
Agency Overall |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
Chart not applicable. The MSPB did not rule on any requests for expedited processing. |
||||||||||||||
D. Pending Requests ― All Pending Perfected Requests
|
|
SIMPLE |
COMPLEX |
EXPEDITED PROCESSING |
||||||
|
|
Number Pending |
Median Number of Days |
Average Number of Days |
Number Pending |
Median Number of Days |
Average Number of Days |
Number Pending |
Median Number of Days |
Average Number of Days |
|
AGENCY OVERALL |
5 |
56 |
63 |
0 |
0 |
0 |
0 |
0 |
0 |
E. Pending Requests ― Ten Oldest Pending Perfected Requests
|
Agency Overall
Date of Perfected Request
Number of Days Pending |
10th Oldest Request |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Request |
|
|
|
|
|
|
8/26/2009
35 |
8/18/2009
43 |
8/5/2009
56 |
7/28/2009
63 |
6/2/2009
119 |
VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER
A. Requests for Expedited Processing
MSPB did not rule on any requests for Expedited Processing.
|
|
Number Granted |
Number Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
Number Adjudicated Within Ten Calendar Days |
|
Agency Overall |
0 |
0 |
0 |
0 |
0 |
B. Requests for Fee Waiver
|
|
Number Granted |
Number Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
Number Adjudicated Within Ten Calendar Days |
|
Agency Overall |
0 |
0 |
1 |
0 |
0 |
IX. FOIA PERSONNEL AND COSTS
|
|
PERSONNEL |
COSTS |
||||
|
Number of “Full-Time FOIA Employees” |
Number of “Equivalent Full-Time FOIA Employees” |
Total Number of “Full-Time FOIA Staff” (sum of columns 1 & 2) |
Processing Costs |
Litigation Related Costs |
Total Costs |
|
|
AGENCY OVERALL |
1 |
1.5 |
2.5 |
$273,000 |
NA |
$273,000 |
X. FEES COLLECTED FOR PROCESSING REQUESTS
|
|
Total Amount of Fees Collected |
Percentage of Total Costs |
|
AGENCY OVERALL |
$2,000 |
0.7% |
XI. FOIA REGULATIONS
The MSPB’s FOIA regulations are found at 5 CFR Part 1204.
XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS
A. Backlogs of FOIA Requests and Administrative Appeals.
|
|
Number of Backlogged Requests as of End of Fiscal Year |
Number of Backlogged Appeals as of End of Fiscal Year |
|
AGENCY OVERALL |
5 |
0 |
B. Consultations on FOIA Requests ― Received, Processed, and Pending Consultations.
|
|
Number of Consultations Received from Other Agencies that Were Pending at Your agency as of start of fiscal year |
Number of Consultations Received from other agencies during the fiscal year |
Number of Consultations Received from other agencies that were processed by your agency during the fiscal year |
Number of consultation received from other agencies that were pending at your agency as of end of the fiscal year |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
C. Consultations on FOIA Requests
|
|
10th Oldest Consultation and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Consultation and Number of Days Pending |
|
Agency Overall |
Date |
|
|
|
|
|
|
|
|
|
|
Number of Days |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
|
The MSPB did not have any pending consultations on FOIA requests at the end of FY 2009. |
||||||||||
D. Comparison of Numbers of Requests from Previous and Current Annual Report ― Requests
Received, Processed, and Backlogged
|
|
NUMBER OF REQUESTS RECEIVED |
NUMBER OF REQUESTS PROCESSED |
||
|
Number Received During Fiscal Year from Last Year's Annual Report |
Number Received During Fiscal Year from Current Annual Report |
Number Processed During Fiscal Year from Last Year's Annual Report |
Number Processed During Fiscal Year from Current Annual Report |
|
|
AGENCY OVERALL |
358 |
334 |
367 |
335 |
3. Starting with the Annual Report for Fiscal Year 2009, provide the number of backlogged requests as of the end of the fiscal year from the previous Annual Report and the number of backlogged requests as of the end of the fiscal year from the current Annual Report.
|
|
Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report |
Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report |
|
AGENCY OVERALL |
6 |
5 |
E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report ― Appeals Received, Processed, and Backlogged
|
|
NUMBER OF APPEALS RECEIVED |
NUMBER OF APPEALS PROCESSED |
||
|
Number Received During Fiscal Year from Last Year's Annual Report |
Number Received During Fiscal Year from Current Annual Report |
Number Processed During Fiscal Year from Last Year's Annual Report |
Number Processed During Fiscal Year from Current Annual Report |
|
|
AGENCY OVERALL |
10 |
5 |
10 |
5 |
|
|
Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report |
Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report |
|
AGENCY OVERALL |
0 |
0 |