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AGENCY: ľ��ֱ��

REPORT PREPARED BY: Susan R. Cornell, J.D.

TITLE: Freedom of Information Officer, ľ��ֱ��

ADDRESS: Building 31 Room 5B35; 9000 Rockville Pike, Bethesda, MD 20892

PHONE NUMBER: 301-496-5633

ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB:

ADDRESS FOR ADDRESS FOR PAPER COPIES OF THIS REPORT:
Building 31 Room 5B35; 9000 Rockville Pike, Bethesda, MD 20892

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

   NIH FREEDOM OF INFORMATION COORDINATORS

   IC	BLDG	ROOM	PHONE
   NCATS	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NCI	31 Center Drive Bethesda, MD 20892	10A48	301-496-2999
   NHGRI	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NINR	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NCRR	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NEI	31 9000 Rockville Pike Bethesda, MD 20892	6A19	301-496-4334
   NHLBI	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NIA	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NIAAA	31 9000 Rockville Pike Bethesda, MD 20892	6A19	301-496-4334
   NIAID	6610 Rockledge Drive Bethesda, MD 20817	2600	301-451-5109
   NIAMS	6701 Democracy Blvd. Bethesda, MD 20892	854	301-594-3504
   NIBIB	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NICHD	31 9000 Rockville Pike Bethesda, MD 20892	2A32	301-496-5135
   NIDA	6001 Executive Blvd. Rockville, MD 20852	5230	301-443-6036
   NIDCD	6120 Executive Blvd. Rockville, MD 20852	516	301-496-3033
   NIDDK	6707 Democracy Blvd. Bethesda, MD 20817	652	301-496-2978
   NIDCR	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NIEHS	Mail Drop k3-16 Box 12233 Research Triangle Pk., NC 27709	��	919-541-3411
   NIGMS	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NIMH	6001 Executive Blvd. Rockville, MD 20852	8209	301-443-6130
   NINDS	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NLM	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NCCAM	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   NCMHD	6705 Rockledge Drive Bethesda, MD 20892	6054	301-496-9737
   CC	10 Cloister Court Bethesda, MD 20892	61	301-451-8330
   CIT	10401 Fernwood Rd. Bethesda, MD 20817	3NE52D	301-594-9518
   OFM	2115 East Jefferson St. Rockville, MD 20892	3C-302A	301-496-9498
   OALM	6011 Executive Blvd. Rockville, MD 20852	625J	301-435-0855
   CSR	6701 Rockledge Dr. Bethesda, MD 20817	3030	301-435-1856
   FIC	6705 Rockledge Dr. Betheseda, MD 20892	6054	301-496-9737
   OBA	6705 Rockledge Dr. Rockville, MD 20817	757	301-435-8267
   OER	6705 Rockledge Dr. Bethesda, MD 20892	4184	301-402-1058
   ORS	31 9000 Rockville Pike Bethesda, MD 20892	2B37	301-402-3570
   ORF	31 9000 Rockville Pike Bethesda, MD 20892	4B30	301-402-1661
   OTT	6011 Executive Blvd. Rockville, MD 20852	325	301-435-5377

2. 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, primarily Exemption 4 because the requested record contains proprietary information, Exemption 5 because the requested record contains information that would reveal internal agency deliberations, or Exemption 6 because the requested record contains personal information such as home address and phone number or medical information.

1. Agency-specific acronyms or other terms:

   Acronym	Institute/Center
   NCATS	National Center for Advancing Translational Sciences
   NCI	National Cancer Institute
   NHGR	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
   NIBIB	National Institute of Biomedical Imaging and Bioengineering
   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
   NCMHD	National Center on Minority Health and Health Disparities
   OFM	Office of Financial Management
   OALM	Office of Acquisition and Logistics Management
   CSR	Center for Scientific Review
   FIC	Fogarty International Center
   OBA	Office of Biotechnology Activities
   OER	Office of Extramural Research
   OMA	Office of Management Assessment
   ORF	Office of Research Facilities
   ORS	Office of Research Services
   OTT	Office of Technology Transfer

2. Basic terms (from FOIA UPDATE, Summer 1997):
   1. 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.
   2. 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.
   3. 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.
   4. 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 report data for both the agency overall and for each principal component of the agency.
   5. Consultation –the procedure whereby the agency responding to a FOIA request first forwards a record to another agency for its review because that 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.
   6. 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.
   7. 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 utilize 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. (Consultations are reported separately in Section XII of this Report.)
   8. Full Grant- an agency decision to disclose all records in full in response to a FOIA request.
   9. 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.
   10. Median Number- the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
   11. 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 granted expedited processing are placed in yet another track. Requests in each track are processed on a first in/first out basis.
       1. 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.
       2. 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.
       3. 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.
   12. 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.
   13. Pending Request or Pending Administrative Appeal– a request or administrative appeal for which an agency has not taken final action in all respects.
   14. 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.
   15. Processed Request or Processed Administrative Appeal– a request or administrative appeal for which an agency has taken final action in all respects.
   16. Range in Number of Days– the lowest and highest number of days to process requests or administrative appeals.
   17. 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. Include the following concise descriptions of the nine FOIA exemptions:

   1. Exemption 1: classified national defense and foreign relations information
   2. Exemption 2: internal agency rules and practices
   3. Exemption 3: information that is prohibited from disclosure by another federal law
   4. Exemption 4: trade secrets and other confidential business information
   5. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
   6. Exemption 6: information involving matters of personal privacy
   7. 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
   8. Exemption 8: information relating to the supervision of financial institutions
   9. Exemption 9: geological information on wells

EXEMPTION 3 STATUTES

1. Numbers of initial requests (Col.1 + Col. 2 – Col. 3 = Col. 4):

   # Requests Pending as of Start of Fiscal Year	# of Requests Rec’d During the Fiscal Year	# of Requests Processed During the Fiscal Year	# of Requests Pending as of the End of the Fiscal Year
   96	1210	1236	70

2. (1) Disposition of FOIA Requests:

   FOIA Requests	#
   # of Full Grants	772
   # of Partial Grants/Partial Denials	102
   # of Full Denials Based on Exemptions	11
   # of Full Denials – No Records	113
   # of Full Denials – Records Referred to Another Component or Agency	15
   # of Full Denials – Request Withdrawn	175
   # of Full Denials – Fee Related Reason	6
   # of Full Denials – Records not Reasonably Described	17
   # of Full Denials – Improper FOIA Request for Other Reason	6
   # of Full Denials – Not Agency Record	13
   # of Full Denials – Duplicate Request	6
   # of Full Denials – Other (see below)	0
   Total Requests Processed	1236

2. (2) Disposition of FOIA Requests – Other N/A

2. (3) Disposition of FOIA Requests - Number of times exemptions applied

   Exemption 1	0
   Exemption 2	0
   Exemption 3	4
   Exemption 4	18
   Exemption 5	26
   Exemption 6	45
   Exemption 7(A)	9
   Exemption 7(B)	0
   Exemption 7(C)	4
   Exemption 7(D)	0
   Exemption 7(E)	0
   Exemption 7(F)	0
   Exemption 8	0
   Exemption 9	0

See Department of Health and Human Services Annual Report

1. Processed Requests – Response Time for All Processed Perfected Requests

   Request Type	Median # Days	Avg # Days	Lowest # Days	Highest # Days
   Simple Requests	12	15	1	93
   Complex Requests	43	70	1	742
   Expedited Processing	0	0	0	0

2. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

   Request Type	Median # Days	Avg # Days	Lowest # Days	Highest # Days
   Simple Requests	15	17	1	93
   Complex Requests	51	74	1	742
   Expedited Processing	0	0	0	0

3. Processed Requests – Response Time in Day Increments

   1. Simple Requests

      Days	# of Requests Processed
      < 1 day	35
      1-20 days	761
      21-40 days	198
      41-60 days	38
      61-80 days	8
      81-100 days	6
      101-120	0
      121-140 days	0
      141-160 days	0
      161-180 days	0
      181-200 days	0
      201-300 days	0
      301-400 days	0
      401+	0
      Total	1046

   2. Complex Requests

      Days	# of Requests Processed
      < 1 day	2
      1-20 days	47
      21-40 days	44
      41-60 days	24
      61-80 days	24
      81-100 days	18
      101-120	7
      121-140 days	3
      141-160 days	3
      161-180 days	5
      181-200 days	3
      201-300 days	4
      301-400 days	3
      401+	3
      Total	190

   3. Requests Granted Expedited Processing

      All Requests	# of Requests Processed
      1-20 days	0
      21-40 days	0
      41-60 days	0
      61-80 days	0
      81-120 days	0
      121-140 days	0
      141-160 days	0
      161-180 days	0
      181-200 days	0
      201-300 days	0
      301-400 days	0
      401+	0
      Total	0

4. Pending Requests – All Pending Perfected Requests

   Request Type	# Pend.	Median # Days	Avg # Days
   Simple Requests	45	11	14
   Complex Requests	25	31	72
   Expedited Processing	0	0	0

5. Pending Requests – Ten Oldest Pending Perfected Requests

   Requests	Date
   10th Oldest Request Date rec'd / # days pending	7-17-13 53
   9th	6-13-13 76
   8th	6-10-13 79
   7th	6-10-13 79
   6th	6-10-13 79
   5th	6-6-13 81
   4th	4-30-13 99
   3rd	4-18-13 115
   2nd	12-31-12 190
   Oldest Request Date Rec'd / # of days pending	3-22-11 636

1. Requests for Expedited Processing

   # Granted	# Denied	Median # Days to Adjudicate	Avg. # Days to Adjudicate	# Adjudicated w/i 10 calendar days
   0	3	4	4	3

2. Requests for Fee Waiver

   # Granted	# Denied	Median # Days to Adjudicate	Avg. # Days to Adjudicate
   0	6	3	4.67

1. Personnel

   Personnel	#
   Full-time FOIA Employees	17
   Equivalent Full-time FOIA Employees	14.31
   Total Full-time FOIA staff	31.31

2. Costs

   Costs Type	Cost
   Processing Costs	$3,336,857.90
   Litigation-related Costs	$26,340.00
   Total Costs	$3,363,197.90

1. Total Amount of fees collected: $ 21,935.44
2. Percentage of total cost: 0.65 %

1. Backlogs of FOIA Requests and Administrative Appeals

   # of Backlogged Requests as of End of the FY	# of Backlogged Appeals as of the End of the FY
   26	See Department of Health and Human Services Annual Report

2. Consultations on FOIA Requests – Received, Processed, and Pending Consultations (See Chart)

   # of Consultations Rec’d from Other Agencies that were Pending at the Start of the FY	# of Consultations Rec’d from Other Agencies During the FY	# of Consultations Rec’d from Other Agencies that Were Processed	# of Consultations Rec’d from Other Agencies that were Pending at the End of the FY
   0	7	7	0

3. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency:

   10thng Oldest Consultation and Number of Days Pending	9th	8th	7th	6th	5th	4th	3th	2th	Oldest Consultation and Number of Days Pending
   Date Number of Days	NA	NA	NA	NA	NA	NA	NA	NA	NA

4. Comparison of NUmbers of Requets from Previous and Annual report - Requests Received, Processed, and Backlogged

   Number of Requests Processed	Number of Requests Processed
   # Rec’d in FY 2012 (from Annual Rpt)	1147
   # Rec’d in FY 2013 (from Annual Rpt)	1210
   # Processed during FY 2012 (from Annual Rpt)	1130
   # Processed during FY 2013(from Annual Rpt)	1236

   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
   33	26

5. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

   See Department of Health and Human Services Annual Report