Title: NSF FOIA Report FY 2008 Date: 02/03/09 NATIONAL SCIENCE FOUNDATION FREEDOM OF INFORMATION ACT REPORT FOR OCTOBER 1, 2007 THROUGH SEPTEMBER 30, 2008 I. BASIC INFORMATION: A. Point of Contact: Leslie A. Jensen, NSF FOIA Officer Office of the General Counsel 4201 Wilson Blvd, Room 1265 Arlington, VA 22230 (703) 292-5065 B. Electronic Address for report: The FY 2008 FOIA Report for the National Science Foundation (NSF) will be available as one of the choices under the References section of the FOIA page on the NSF web site: http://www.nsf.gov/policies/foia.jsp. C. Paper Copies of report: Paper copies can be requested from the Point of Contact listed above. II. HOW TO MAKE A FOIA REQUEST: NSF policy is to make the fullest possible disclosure of information and records to any requester, without unnecessary expenses or delay. NSF’s “Public Information Handbook” is available electronically as one of the choices under the References section of the FOIA page on the Foundation’s web site: http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf07135. There are four basic agency requirements for making a FOIA request: (1) request must be in writing (mailed correspondence, fax, or email) and include the requester’s mailing address; (2) the envelope and letter content must identify the request as a FOIA request; (3) the request must provide enough detail to allow identification of the requested records; and (4) the request must include agreement to pay fees chargeable under NSF’s fee schedule. A. Agency Components: Requests for records of the agency should be sent to the NSF FOIA Officer, Office of the General Counsel, Room 1265, 4201 Wilson Blvd, Arlington, VA 22230. Phone: 703-292-5065, Fax: 703-292-9041. Email: foia@nsf.gov. Requests for documents maintained by the Office of the Inspector General should be addressed directly to the OIG, FOIA, Room 1135, 4201 Wilson Blvd, Arlington, VA 22230. Phone: 703-292-7100. Email: oig@nsf.gov B. NSF response-time ranges: The agency generally manages to respond to FOIA requests within three to four weeks for records that can be found at the agency (allowing for time to contact submitters of potentially proprietary information). Response times over 20 working days are generally the result of difficulty in contacting the submitter for clearance, need to track and retrieve documents from off-site storage at the Federal Records Center, voluminous number of potentially responsive records, or need to consult among agency components. C. Why some requests are not granted: Requests for records may not be granted if the records do not exist; if records have been transferred to the ownership of the National Archives and Records Administration (NARA); if records contain predecisional information that if released would cause harm to NSF’s decision-making processes; if records contain personal and/or proprietary information; if records contain information compiled for law enforcement purposes; or if the requester asked for information specifically prohibited from disclosure by other statutes. III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS: 1. Agency-specific terms and acronyms: NSF - National Science Foundation – The National Science Foundation was established by Congress to promote progress in science and engineering. The agency does so primarily through grants and cooperative agreements with colleges, universities, K-12 school systems, businesses, information science organizations and other research institutions throughout the U.S. 2. Basic terms: 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 requestors 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.) 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 – a system in which simple requests requiring relative 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. i. Expedited Processing – an agency will process a FOIA request on an expedited basis when a requester satisfied the requirement for expedited processing as set forth in the statute and in agency regulations. ii. 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. iii. 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 statue for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request). 3. Nine FOIA exemptions: a. Exemption 1: classified national defense and foreign relations information. b. Exemption 2: internal agency rules and practices. c. Exemption 3: information that is prohibited from disclosure by another federal law. d. Exemption 4: trade secrets and other confidential business information. e. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges. f. Exemption 6: information involving matters of personal privacy. g. 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 be reasonably be expected to endanger the life or physical safety of any individual. h. Exemption 8: information relating to the supervision of financial institutions. i. Exemption 9: geological information on wells. IV. EXEMPTION 3 STATUTES: Statute Type of Case Citation Number of Total Number Information Times Relied of Times Withheld upon per Relied upon Component by Agency 41 U.S.C. Business Hornbostel OIG: 1 7 § 253b Proposal v. U.S. NSF: 6 Documents Dept. of not Interior, incorporated 305 F. in contracts Supp . 2d 21 (D.D.C. 2003) 35 U.S.C. Confidential Irons and Sears v. OIG: 0 18 § 122 status of Dann, 606 F.2d 1215, NSF: 18 applications; 1220 (D.C. Cir. publication of 1979), cert. patent denied., 444 U.S. applications 1075 (1980); Lee Pharmaceuticals v. Kreps, 577 F.2d 610, 615-617 (9th Cir. 1978), cert. denied, 439 U.S. 1073 (1979) V. FOIA REQUESTS: A. Received, Processed and Pending FOIA Requests (Perfected and non-perfected) Column 1 + Column 2 - Column 3 = Column 4 Number of Number of Number of Number of Requests Requests Requests Requests Pending as of Received in Processed in Pending as of Start of Fiscal Year Fiscal year End of Fiscal Fiscal Year Year OIG 0 39 37 2 NSF 2 314 315 1 Agency 2 353 352 3 Overall B. (1) Disposition of FOIA Requests – All Processed Requests Number Number of Number of Number of Full Denials Based of Full Partial Full Denials on Reasons Other than Exemptions Grants Grants/Partial Based On Denials Exemptions No All Request Fee-Related Records Records Withdrawn Reason Referred to Another Component or Agency OIG 4 21 5 4 2 NSF 32 234 3 5 15 4 Records not Improper Not Duplicate Other Total Reasonably FOIA Agency Request *Explain Described Request for Record in chart Other below Reason 37 1 OIG NSF 3 14 5 315 B. (2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B(1) Chart Agency Overall Description of “Other” Reasons Total for Denials from Chart B(1) & Number of times Those Reasons Were Relied upon OIG 0 0 NSF * Records provided directly 2 to requester from submitter * Records publicly available * Suspended, requester never 2 responded to request for information 1 B. (3) Disposition of FOIA Requests – Number of Times Exemptions Applied Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. 1 2 3 4 5 6 7(A) 7(B) 7(C) 7(D) 7(E) 7(F) 8 9 OIG 1 1 1 2 22 5 22 NSF 2 24 87 12 203 Agency 3 25 88 14 225 5 22 Overall VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS A. Received, Processed and Pending Administrative Appeals Column 1 + Column 2 - Column 3 = Column 4 Number of Appeals Number of Appeals Number of Appeals Number of Appeals Pending as of Received in FiscalProcessed in Fiscal Pending as of End Start of Fiscal Year Year of Fiscal Year Year 0 10 10 0 B. Disposition of Administrative Appeals – All Processed Appeals Number Number Partially Number Completely Number of TOTAL Affirmed on Affirmed & Partially Reversed/Remanded on Appeals Appeal Reversed/Remanded on Appeal Closed for Appeal Other Reasons 8 2 0 0 10 C. (1) Reasons for Denial on Appeal – Number of Times Exemptions Applied Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. 1 2 3 4 5 6 7(A) 7(B) 7(C) 7(D) 7(E) 7(F) 8 9 2 2 6 1 2 C. (2) Reasons for Denial on Appeal – Reasons Other than Exemptions No Records Request Fee-Related Records Improper Not DuplicateRequest in Appeal Other Records ReferredWithdrawn Reason not Request Agency Request Litigation Based *Explain at Reasonably for Record or Appeal Solely on in chart Initial Described Other Denial of below Request Reasons Request Level for Expedited Processing 1 C. (3) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C(2) Chart Description of “Other” Reasons for Denial on Appeal Total from Chart C(2) & Number of Times Those Reasons Were Relied Upon 0 0 C. (4) Response time for Administrative Appeals Median Number of Average Number of Lowest Number of Highest Number of Days Days Days Days 20 16.4 6 20 C. (5) Ten Oldest Pending Administrative Appeals 10th 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Oldest Appeal Appeal Date of 0 0 0 0 0 0 0 0 0 0 Receipt of Ten Oldest Appeals Number of 0 0 0 0 0 0 0 0 0 0 Days Pending VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS A. Processed Requests – Response Time for All Processed Perfected Requests Simple Expedited Processing Median Average Lowest Highest Median Average Lowest Highest Number Number Number Number Number Number Number Number of Days of Days of Days of Days of Days of Days of Days of Days OIG 13 12.3 1 33 0 0 0 0 NSF 17.5 21.12 1 229 0 0 0 0 16 20.26 1 229 0 0 0 0 Agency Overall B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted Simple Expedited Processing Median Average Lowest Highest Median Average Lowest Highest Number Number Number Number Number Number Number Number of Days of Days of Days of Days of Days of Days of Days of Days OIG 13 11.9 1 33 0 0 0 0 NSF 19 23.18 1 229 0 0 0 0 18 22.22 1 229 0 0 0 0 Agency Overall C. Processed Requests – Response Time in Day Increments Simple Requests 1-2021-4041-6061-80 81-100101-120121-140141-160 161-180181-200201-300301-400 401+ Days DaysDays Days Days Days Days Days Days Days Days Days DaysTOTAL OIG 2 32 NSF 202 81 22 5 1 1 1 1 234 83 22 5 1 1 1 1 Agency Overall Requests Granted Expedited Processing 1-2021-4041-6061-80 81-100101-120121-140141-160 161-180181-200201-300301-400 401+ Days DaysDays Days Days Days Days Days Days Days Days Days DaysTOTAL OIG 0 0 0 0 0 0 0 0 0 0 0 0 0 0 NSF 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Agency Overall D. Pending Requests – All Pending Perfected Requests Simple Expedited Processing Number Median Average Number Median Average Pending Number of Number of Pending Number of Number of Days Days Days Days OIG 2 9.5 9.5 0 0 0 NSF 1 272 272 0 0 0 3 135 97 0 0 0 Agency Overall E. Pending Requests – Ten Oldest Pending Perfected Requests 10th 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Oldest Request and Request Number of and Days Number of Pending Days Pending OIG 9/17/08 9/16/08 9 10 NSF 8/27/07 272 10th 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Oldest Request Request and Number and of Days Number Pending of Days Pending 9/17/08 9/16/08 8/27/07 Agency Overall 9 10 272 VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER A. Requests for Expedited Processing Number Number Median Number Average Number Granted Denied of Days to Number of Adjudicated Adjudicate Days to Within Ten Adjudicate Calendar Days OIG 0 0 0 0 0 NSF 0 0 0 0 0 0 0 0 0 0 Agency Overall B. Requests for Fee Waiver Number Granted Number Median Number of Average Number of (Partial) Denied Days to Days to Adjudicate Adjudicate OIG 0 0 0 0 NSF 0 0 0 0 0 0 0 0 Agency Overall IX. FOIA PERSONNEL AND COSTS A. Personnel B. Costs Column 1 + Column 2 = Column 3 Personnel Costs Number of Number of Total “Full-Time”“Equivalent Number of FOIA Full-Time “Full-Time Processing Litigation-RelatedTotal Costs Employees” FOIA FOIA Costs Costs Employees” Staff” OIG 0 0.16 0.16 $20,278.00 0 $20,278.00 NSF 0 3.6 3.6 $275,061.00 0 $275,061.00 0 3.76 3.76 $295,339.00 0 $295,339.00 Agency Overall X. FEES COLLECTED FOR PROCESSING REQUESTS Total Amount of Fees Percentage of Total Costs Collected OIG $48.07 0.24 NSF $4,579.68 1.66 $4,627.75 1.57 Agency Overall XI. FOIA REGULATIONS NSF FOIA regulations are published at 45 C.F.R. 612, available electronically at http://www.access.gpo.gov/nara/cfr/waisidx_05/45cfr612_05.html. XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS A. Backlogs of FOIA Requests and Administrative Appeals Number of Backlogged Number of Backlogged Requests as of End of Appeals as of End of Fiscal Year Fiscal Year OIG 0 0 NSF 1 0 1 0 Agency Overall B. Consultations on FOIA Requests – Received, Processed and Pending Consultations Column 1 + Column 2 - Column 3 = Column 4 Number of Number of Number of Number of Consultations Consultations Consultations Consultations Received from Received from Received from Received from Other Agencies Other Agencies Other Agencies Other Agencies that Were During the that Were that Were Pending at Your Fiscal Year Processed by Pending at Your Agency as of Your Agency Agency as of End Start of the During the of the Fiscal Fiscal Year Fiscal Year Year OIG 0 0 0 0 NSF 1 1 2 0 1 1 2 0 Agency Overall C. Consultations On FOIA Requests – Ten Oldest Consultations Received From Other Agencies And Pending At Your Agency 10th Oldest 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation Consultation and Number of and Number of Days Pending Days Pending 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 10th Oldest 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation Consultation and Number of and Number of Days Pending Days Pending 0 0 0 0 0 0 0 0 0 0 Agency Overall 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 Number Number Number During Fiscal Received Processed Processed Year from Last During Fiscal During Fiscal During Fiscal Year’s Annual Year from Year from Last Year from Report Current Annual Year’s Annual Current Annual Report Report Report * 340 NSF 314 *343 315 OIG 39 OIG 37 * Only 353 343 352 reporting Agency Agency overall Overall as Component was not broken out in the 2007 Annual Report Number of Backlogged Number of Backlogged Requests as of End of the Requests as of End of the Fiscal Year from Previous Fiscal Year from Current Annual Report Annual Report OIG 0 0 NSF 2 1 2 1 Agency Overall 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 Number Number Number During Fiscal Received Processed Processed Year from Last During Fiscal During Fiscal During Fiscal Year’s Annual Year from Year from Last Year from Report Current Annual Year’s Annual Current Annual Report Report Report OIG * This 3 3 component was not reported separately in 2007 Annual Report NSF 4 7 4 7 4 10 4 10 Agency Overall Number of Backlogged Number of Backlogged Appeals as of End of the Appeals as of End of the Fiscal Year from Previous Fiscal Year from Current Annual Report Annual Report OIG 0 0 NSF 0 0 0 0 Agency Overall