IVArapit Pateljbeglin212010-01-13T14:25:00Z2010-01-13T14:26:00Z2010-01-13T14:26:00Z1337119215Booz Allen Hamilton160452254111.0000NATIONAL SCIENCE FOUNDATIONFREEDOM OF INFORMATION ACT REPORTFOR OCTOBER 1, 2008 THROUGH SEPTEMBER 30, 2009I. BASIC INFORMATION:A. Point of Contact:Leslie A. Jensen, NSF FOIA OfficerOffice of the General Counsel4201 Wilson Blvd, Room 1265Arlington, VA 22230(703) 292-5065B. Electronic Address for report: The FY 2009 FOIA Report for the NationalScience Foundation (NSF) will be available as one of the choices under theReferences 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 ofContact listed above.II. HOW TO MAKE A FOIA REQUEST:NSF policy is to make the fullest possible disclosure of information andrecords to any requester, without unnecessary expenses or delay. NSF’s“Public Information Handbook” is available electronically as one of thechoices under the References section of the FOIA page on the Foundation’sweb site:http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf07135.There are four basic agency requirements for making a FOIA request:(1) the request must be in writing (mailed correspondence, fax, or email) andinclude the requester’s mailing address;(2) the envelope and letter content must identify the request as a FOIArequest;(3) the request must provide enough detail to allow identification of therequested records; and(4) the request must include agreement to pay fees chargeable under NSF’sfee 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, VA22230.Phone: 703-292-5065, Fax: 703-292-9041. Email: foia@nsf.gov.Requests for documents maintained by the Office of the Inspector Generalshould be addressed directly to the OIG, FOIA, Room 1135, 4201 Wilson Blvd,Arlington, VA 22230.Phone: 703-292-7100. Email: oig@nsf.govB. Why some requests are not granted:Requests for records may not be granted if the records do not exist; ifrecords have been transferred to the ownership of the National Archives andRecords Administration (NARA); if records contain predecisional informationthat if released would cause harm to NSF’s decision-making processes; ifrecords contain personal and/or proprietary information; if records containinformation compiled for law enforcement purposes; or if the requesterasked for information specifically prohibited from disclosure by otherstatutes.III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS:1. Agency-specific terms and acronyms:NSF - National Science Foundation – The National Science Foundation wasestablished by Congress to promote progress in science and engineering.The agency does so primarily through grants and cooperative agreements withcolleges, universities, K-12 school systems, businesses, informationscience 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 relationsinformation. b. Exemption 2: internal agency rules and practices. c. Exemption 3: information that is prohibited from disclosure byanother federal law. d. Exemption 4: trade secrets and other confidential businessinformation. e. Exemption 5: inter-agency or intra-agency communications thatare protected by legal privileges.f. Exemption 6: information involving matters of personal privacy.g. Exemption 7: records or information compiled for law enforcementpurposes, to the extent that the production of those records (A) couldreasonably be expected to interfere with enforcement proceedings, (B) woulddeprive a person of a right to a fair trial or an impartial adjudication,(C) could reasonably be expected to constitute an unwarranted invasion ofpersonal privacy, (D) could reasonably be expected to disclose the identityof a confidential source, (E) would disclose techniques and procedures forlaw enforcement investigations or prosecutions, or would discloseguidelines for law enforcement investigations or prosecutions, or (F) couldbe reasonably be expected to endanger the life or physical safety of anyindividual.h. Exemption 8: information relating to the supervision of financialinstitutions.i. Exemption 9: geological information on wells.IV. Exemption 3 StatutesA. Exemption 3 Statutes Relied upon to Withhold InformationStatusType of Information WithheldCase CitationNumber of Times Relied upon per ComponentTotal Number of Times Relied upon by Agency35 U.S.C. § 122 (Patent Act)Patent pending applicationsIrons & Sears v. Dann, 606 F.2d 1215, 1219-21 (D.C. Cir. 1979).NSF # 13OIG # 01341 U.S.C. § 253b(m)(1)(National Defense Authorization Act for Fiscal Year 1997)Proposal documents not incorporated into contractsHornbostel v. U.S. Dep't of the Interior, 305 F. Supp. 2d 21, 30 (D.D.C. 2003), summary affirmance granted, No. 03-5257, 2004 WL 1900562 (D.C. Cir. Aug. 25, 2004).NSF # 3OIG # 03V. FOIA REQUESTSA. Received, Processed and Pending FOIA RequestsColumn 1 Column 2 Column 3 Column 4Number of Requests Pending as of Start of Fiscal YearNumber of Requests Received in Fiscal YearNumber of Requests Processed in Fiscal YearNumber of Requests Pending as of End of Fiscal YearNSF131830316OIG277790Agency Overall339538216B. (1) Disposition of FOIA Requests - All Processed RequestsNumber of Full GrantsNumber of Partial Grants/Partial DenialsNumber of Full Denials Based on ExemptionsNumber of Full Denials Based on Reasons Other than ExemptionsNo RecordsAll Records Referred to Another Component or AgencyRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper FOIA Request for Other ReasonNot Agency RecordDuplicate RequestOther *Explain in chart belowTOTALNSF84167719021010103303OIG3501070400302079Agency Overall872171726025013123382B. (2) Disposition of FOIA Requests - "Other" Reasons for "Full Denials Based on Reasons Other than Exemptions" from Section V, B (1) ChartDescription of "Other" Reasons for Denials from Chart B(1) & Number of Times Those Reasons Were Relied uponTOTALNSFNo awarded proposal. [1] Suspended[2] 3OIG0B. (3) Disposition of FOIA Requests - Number of Times Exemptions AppliedEx. 1Ex. 2Ex. 3Ex. 4Ex. 5Ex. 6Ex. 7(A)Ex. 7(B)Ex. 7(C)Ex. 7(D)Ex. 7(E)Ex. 7(F)Ex. 8Ex. 9NSF0016951321300000000OIG0001359206000000Agency Overall00169616272206000000VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS A. Received, Processed and Pending Administrative Appeals Number of Appeals Pending as of Start of Fiscal YearNumber of Appeals Received in Fiscal YearNumber of Appeals Processed in Fiscal YearNumber of Appeals Pending as of End of Fiscal YearNSF0330OIG0440Agency Overall0770B. Disposition of Administrative Appeals - All Processed AppealsNumber Affirmed on AppealNumber Partially Affirmed & Partially Reversed/Remanded on AppealNumber Completely Reversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTALNSF21003OIG31004Agency Overall52007C.(1) Reasons for Denial on Appeal - Number of Times Exemptions AppliedEx. 1Ex. 2Ex. 3Ex. 4Ex. 5Ex. 6Ex. 7(A)Ex. 7(B)Ex. 7(C)Ex. 7(D)Ex. 7(E)Ex. 7(F)Ex. 8Ex. 9NSF00111300100000OIG00002400400000Agency Overall00113700500000C. (2) Reasons for Denial on Appeal - Reasons Other than ExemptionsNo RecordsRecords Referred at Initial Request LevelRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordDuplicate Request or AppealRequest in LitigationAppeal Based Solely on Denial of Request for Expedited ProcessingOther *Explain in chart belowNSF00010000000OIG00000000000Agency Overall00010000000C. (3) Reasons for Denial on Appeal - "Other" Reasons from Section VI, C (2) ChartDescription of "Other" Reasons for Denial on Appeal from Chart C(2) & Number of Times Those Reasons Were Relied uponTOTALNSF0OIG0C. (4) Response Time for Administrative AppealsMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysNSF2013120OIG13151317Agency Overall1714120C. (5) Ten Oldest Pending Administrative Appeals10th Oldest Appeal9th8th7th6th5th4th3rd2ndOldest AppealNSFPerfected Date of Ten Oldest Appeals00Number of Days Pending00OIGPerfected Date of Ten Oldest Appeals00Number of Days Pending00Agency Overall Perfected Date of Ten Oldest Appeals00Number of Days Pending00VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTSA. Processed Requests - Response Time for All Processed Perfected RequestsSIMPLEEXPEDITEDMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysNSF162211825821641OIG14131200000Agency Overall152011825821641B. Processed Requests - Response Time for Perfected Requests in Which Information Was GrantedSIMPLEEXPEDITEDMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysNSF1724118250000OIG15144200000Agency Overall1622118250000C. Processed Requests - Response Time in Day IncrementsSimple Requests1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTALNSF2346051100000101303OIG7900000000000079Agency Overall3136051100000101382Requests Granted Expedited Processing1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTALNSF00000000000000OIG00000000000000Agency Overall00000000000000D. Pending Requests - All Pending Perfected RequestsSIMPLEEXPEDITEDNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysNSF161018000OIG000000Agency Overall161018000E. Pending Requests - Ten Oldest Pending Perfected Requests10th Oldest Request and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Request and Number of Days PendingNSFPerfected Date of Ten Oldest 9/18/20099/17/20099/11/20099/10/20099/9/20099/8/20099/8/20099/2/20098/31/20093/23/2009Number of Days Pending91014151617172022135OIGPerfected Date of Ten Oldest 0000000000Number of Days Pending0000000000Agency OverallPerfected Date of Ten Oldest 9/18/20099/17/20099/11/20099/10/20099/9/20099/8/20099/8/20099/2/20098/31/20093/23/2009Number of Days Pending91014151617172022135VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVERA. Requests for Expedited ProcessingNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar DaysNSF04141001OIG00000Agency Overall04141001B. Requests for Fee WaiverNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNSF011313OIG0000Agency Overall011313IX. FOIA PERSONNEL AND COSTSPERSONNELCOSTSNumber of "Full-Time FOIA Employees"Number of "Equivalent Full-Time FOIA Employees"Total Number of "Full-Time FOIA Staff"Processing CostsLitigation-Related CostsTotal CostsNSF03.63.6320,000.000320,000.00OIG00.230.2329,224.00029,224.00Agency Overall03.833.83349,224.000349,224.00X. FEES COLLECTED FOR PROCESSING REQUESTSTotal Amount of Fees CollectedPercentage of Total CostsNSF1085.720.3OIG00Agency Overall1085.720.3XI. FOIA REGULATIONShttp://www.nsf.gov/policies/ogc1009.pdfXII. BACKLOGS, CONSULTATIONS, AND COMPARISONSA. Backlogs of FOIA Requests and Administrative AppealsNumber of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal YearNSF00OIG00Agency Overall00B. Consultations on FOIA Requests - Received, Processed, and Pending ConsultationsNumber of Consultation Received from Other Agencies that Were Pending at Your Agency as of Start of the Fiscal YearNumber of Consultations Received from Other Agencies During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal YearNSF0000OIG0000Agency Overall0000C. Consultations on FOIA Requests - Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency10th Oldest Consultation and Number of Days Pending9th