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UNITED STATES ENVIRONMENTAL PROTECTION AGENCYUNITED STATES ENVIRONMENTAL PROTECTION AGENCYUNITED STATES ENVIRONMENTAL PROTECTION AGENCY

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WASHINGTON, D.C. 20460WASHINGTON, D.C. 20460WASHINGTON, D.C. 20460

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FY 2001 ANNUAL FREEDOM OF INFORMATION REPORT

I. BASIC INFORMATION REGARDING REPORT.

A. Name, title, address, and telephone number of person to be contacted with questions about the report.

Betty A. Lopez
National FOIA Officer

U.S. Environmental Protection Agency
Office of Environmental Information
Records, FOIA and Privacy Branch
1200 Pennsylvania Avenue, N.W.
Mail Code 2822T
Washington, D.C. 20460

(202) 564-7333

B. Electronic address for this report on our Web site.

http://www.epa.gov/foia

C. How to obtain a copy of this report in paper form.

Contact:

Betty A. Lopez
National FOIA Officer

U.S. Environmental Protection Agency
Office of Environmental Information
Records, FOIA and Privacy Branch
1200 Pennsylvania Avenue, N.W.
Mail Code 2822T
Washington, D.C. 20460

(202) 564-7333

II. HOW TO MAKE A FOIA REQUEST.

For basic information on how to make a FOIA request, visit our Web site at http://www.epa.gov/foia

A. Names, addresses, and telephone numbers of all individual agency components and offices that receive FOIA requests.

For these names, addresses, and telephone numbers, visit our Web site at http://www.epa.gov/foia

B. Brief Description of Agency’s Response-Time Ranges (On a Component-by-Component Basis).

The Agency responded to 49% of its requests within the 20-day time limit.

For a detailed breakdown of each component’s response times, see Section VII of this report, Compliance With Time Limits/Status of Pending Requests.

C. Brief Description Why Requests are Not Granted.

Exemption 4 (used 343 times), Exemption 5 (used 302 times), and Exemption 7(A) (used 182 times) were used most frequently for not granting requests. These records usually related to confidential business information, privileged inter-agency/intra-agency memoranda, or ongoing enforcement proceedings, respectively.

III. DEFINITIONS OF BASIC TERMS AND ACRONYMS USED IN THE REPORT.

A. Agency-specific acronyms or other terms.

Acronym Areas Served

HQ EPA Headquarters Region 1 New England Region Region 2 New Jersey, New York, Puerto Rico, U.S. Virgin

Islands and 7 Tribal NationsRegion 3 Mid-Atlantic RegionRegion 4 Southeast RegionRegion 5 Mid-West RegionRegion 6 South Central RegionRegion 7 America’s Heartland RegionRegion 8 Mountains and Plains RegionRegion 9 Pacific Southwest RegionRegion 10 Pacific Northwest Region

B. Basic Terms, Expressed in Common Terminology.

  • 1. FOIA Request -- Freedom of Information Act request. A FOIA request is a request for access to records concerning a third party, an organization, or a particular topic of interest, which includes Privacy Act requests.
  • 2. Initial Request -- a request to a federal agency for access to records under the Freedom of Information Act.
  • 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 Freedom of Information Act, 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 the request or the appeal in all respects.
  • 5. 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 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.
  • 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 which warrants prioritization of his or her 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 -- the agency decision to disclose all records in full in response to a FOIA request.
  • 10. Partial grant -- the 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’s exemptions; or a decision to disclose some records in their entireties, but to withhold others in whole or in part.
  • 11. Denial -- the 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’s exemptions, or for some procedural reason, such as when no record is located in response to a FOIA request.
  • 12. Time limits -- the time period in the Freedom of Information Act for an agency to respond to a FOIA request (ordinarily 20 working days from proper receipt of the FOIA request).
  • 13. 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).
  • 14. Median number -- the middle, not average, number of working days.
  • 15. Days -- refers to actual working days, excluding weekends and holidays.
  • IV. EXEMPTION 3 STATUTES.
  • V. INITIAL FOIA/PA ACCESS REQUESTS.
    • Statute/Rule (A.1.) Type of Information Withheld Case Citation (A.2.)
    HQ Federal Rules of Criminal Procedure, F.R. Cr.P. 6(e) Records relating to Grand Jury Investigations or Proceedings Senate of Puerto Rico v. Department of Justice, 823 F.2d 574 (D.C.Cir. 1987)
    Procurement Integrity Act, 41 U.S.C. § 253b(m)(1) Contract Proposals None.
    Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), 7 U.S.C. § 136h, Section 10(g) Studies from registrants who engage in the distribution of pesticides in countries other than the United States None.
    Archeological Resources Protection Act, 16 U.S.C. § 470hh(a) Maps and information that would have identified the exact location and the nature of the tribe's cultural resources None.
    REGION 4 Alternative Dispute Resolution Act, 5 U.S.C. § 571 Preliminary and Final Allocation Reports and other communications arising under this Act None.
    REGION 5 Federal Rules of Criminal Procedure, F.R. Cr.P. 6(e) Records relating to Grand Jury Investigations or Proceedings Senate of Puerto Rico v. Department of Justice, 823 F.2d 574 (D.C.Cir. 1987)
    REGION 9 Archeological Resources Protection Act, 16 U.S.C.§ 470hh(a) Maps and information that would have identified the exact location and the nature of the tribe's cultural resources None.

    A. Numbers of Initial Requests. B. Disposition of Initial Requests. EXEMPTIONS CLAIMED UNDER THE FREEDOM OF INFORMATION ACT

    NUMBER OF REQUESTS PENDING AS OF END OF PRECEDING YEAR (A.1.) NUMBER OF REQUESTS RECEIVED IN CURRENT YEAR (A.2.) NUMBER OF REQUETS PROCESSED IN CURRENT YEAR (A.3.) NUMBER OF REQUESTS PENDING AS OF END OF CURRENT YEAR (A.4.)
    HQ 2717 3211 3244 2684
    REGION 1 378 497 467 408
    REGION 2 7727 2372 2066 8033
    REGION 3 371 1587 1574 384
    REGION 4 288 1197 1171 314
    REGION 5 205 1908 1961 152
    REGION 6 174 1162 1181 155
    REGION 7 209 766 836 139
    REGION 8 35 391 380 46
    REGION 9 522 676 905 293
    REGION 10 204 485 507 182
    TOTALS 12830 14252 14292 12790
    TOTAL GRANTS (B.1.) PARTIAL GRANTS (B.2.) DENIALS (B.3.)
    HQ 2080 320 28
    REGION 1 335 17 3
    REGION 2 934 13 1
    REGION 3 1260 9 4
    REGION 4 674 66 2
    REGION 5 1371 25 6
    REGION 6 882 41 7
    REGION 7 654 30 2
    REGION 8 270 19 5
    REGION 9 493 22 3
    REGION 10 366 26 1
    TOTALS 9319 588 62

    (B.3.a)

    (1) (2) (3) (4) (5) (6) (7)(A) (7)(B) (7)(C) (7)(D) (7)(E) (7)(F) (8) (9)
    HQ 2 11 10 259 109 69 50 0 31 7 11 0 0 3
    REGION 1 0 2 0 14 12 2 17 0 8 8 2 0 0 0
    REGION 2 0 0 0 1 11 2 4 0 0 0 2 0 0 0
    REGION 3 0 0 0 1 9 4 8 0 0 0 0 0 0 0
    REGION 4 0 0 2 31 44 33 22 1 14 2 3 0 0 0
    REGION 5 1 0 1 2 16 0 17 0 2 0 1 0 0 0
    REGION 6 0 1 0 6 37 13 22 0 7 9 9 0 0 0
    REGION 7 0 0 0 8 15 12 12 0 3 0 1 0 0 0
    REGION 8 0 0 0 6 17 5 12 0 0 0 1 0 0 0
    REGION 9 0 1 1 11 15 1 6 1 0 0 2 0 0 1
    REGION 10 0 1 0 4 17 6 11 0 1 2 3 0 0 0
    0 0 0 0 0 0 0 0 0 0 0 0 0 0
    TOTALS 3 16 14 343 302 147 181 2 66 28 35 0 0 4

    EXPLANATION OF DISPOSITION OF FOIA/PA INITIAL REQUESTS:
    OTHER REASONS FOR NONDISCLOSURE
    (B.4.)

    NO RECORDS REFERRALS REQUEST WITHDRAWN FEERELATED REASON RECORDS NOT REASONABLY NOT AN AGENCY RECORD DUPLICATE REQUESTS NOT A PROPER FOIA REQUEST Other
    HQ 238 14 404 11 8 22 116 3 0
    REGION 1 67 8 20 0 0 0 17 0 0
    REGION 2 970 34 110 0 0 0 4 0 0
    REGION 3 239 2 31 0 0 1 28 0 0
    REGION 4 210 4 152 0 0 45 18 0 0
    REGION 5 193 0 83 4 5 239 29 6 0
    REGION 6 189 6 39 0 0 15 2 0 0
    REGION 7 35 0 112 0 0 0 3 0 0
    REGION 8 54 6 21 0 0 0 5 0 0
    REGION 9 168 3 206 1 0 3 6 0 0
    REGION 10 66 3 37 1 0 0 6 1 0
    TOTALS 2429 80 1215 17 13 325 234 10 0

    VI. APPEALS OF INITIAL DENIALS OF FOIA/PA REQUESTS.*

    A. Numbers of appeals.

  • 1. Number of appeals received during fiscal year 121
  • 2. Number of appeals processed during fiscal year 75

    • B. Disposition of appeals.

  • 1. Number completely upheld 10
  • 2. Number partially reversed 15
  • 3. Number completely reversed 20
  • a. Number of times each FOIA exemption was used (counting each exemption once per appeal):
  • (1) Exemption 1 0
  • (2) Exemption 2 0
  • (3) Exemption 3 0
  • (4) Exemption 4 9
  • (5) Exemption 5 20
  • (6) Exemption 6 2
  • (7) Exemption 7(A) 11
  • (8) Exemption 7(B) 1
  • (9) Exemption 7(C) 0
  • (10) Exemption 7(D) 1
  • (11) Exemption 7(E) 0
  • (12) Exemption 7(F) 0
  • (13) Exemption 8 0
  • (14) Exemption 9 0
  • 4. Other reasons for nondisclosure (total) 30
  • a. No records 9
  • b. Referrals 0
  • c. Request withdrawn 21
  • d. Fee-related reason 0
  • 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 0
  • i. Other (specify) 0

    • *Appeals are processed centrally at EPA Headquarters.

    VII. COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS.

    A. Median processing time for requests processed during the year. B. Status of pending requests.

    Simple Requests (A.1.) Complex Requests (A.2.) Requests Accorded Expedited Processing (A.3.)
    Number of Requests Processed (A.1.a.) Median Number of Days To Process (A.1.b.) Number of Requests Processed (A.2.a.) Median Number of Days To Process (A.2.b.) Number of Requests Processed (A.3.a.) Median Number of Days To Process (A.3.b.)
    HQ 3,231 20 0 0 13 20
    REGION 1 465 20 2 30 0 0
    REGION 2 2058 36 7 41 1 42
    REGION 3 1573 23 0 0 1 9
    REGION 4 1168 33 3 138 0 0
    REGION 5 1955 17 4 47 2 8
    REGION 6 1178 20 0 0 3 10
    REGION 7 835 18 0 0 1 105
    REGION 8 377 19 2 24 1 10
    REGION 9 904 24 1 121 0 0
    REGION 10 505 19 2 333 0 0
    NUMBER OF REQUESTS PENDINGS AS OF END OF FISCAL YEAR (B.1.) MEDIAN NUMBER OF DAYS TO PROCESS (B.2.)
    HQ 2684 939
    REGION 1 408 736
    REGION 2 8033 1524
    REGION 3 384 243
    REGION 4 314 52
    REGION 5 152 10
    REGION 6 155 48
    REGION 7 139 39
    REGION 8 46 57
    REGION 9 293 423
    REGION 10 182 1524

    VIII. COMPARISONS WITH PREVIOUS YEAR(S). Not reported.

  • IX. COSTS/FOIA STAFFING.
  • X. FEES.
    • Staffing Levels Total Costs including staff and all resources
    Number of Full Time Personn el (A.1.) Number of Personnel With Part Time or Occasional FOIA Duties (In Total Work-Years) (A.2.) Total Number of Personnel (In Work-Years) (A.3.) FOIA Processing (Including Appeals) (Estimated) (B.1.) Litigation-related activities (Estimated) (B.2.) Total Costs (B.3.)
    HQ 18 61.07 79.07 $4,793,865.09 $266,752.00 $5,060,617.09
    REGION 1 3 3.35 6.35 $542,159.50 $0.00 $542,159.50
    REGION 2 6 17 23 $423,253.58 $0.00 $423,253.58
    REGION 3 7 8 15 $446,523.03 $0.00 $446,523.03
    REGION 4 13 0.52 13.52 $1,016,349.29 $14,435.53 $1,030,784.82
    REGION 5 15 3.3 18.3 $2,653,285.33 $0.00 $2,653,285.33
    REGION 6 3 4 7 $632,056.25 $0.00 $632,056.25
    REGION 7 2 1.78 3.78 $198,969.00 $0.00 $198,969.00
    REGION 8 1 2.5 3.5 $169,178.00 $0.00 $169,178.00
    REGION 9 4 11 15 $884,801.84 $0.00 $884,801.84
    REGION 10 3 4 7 $245,041.13 $10,825.25 $255,866.38
    TOTALS 75 116.52 191.52 $12,005,482.04 $292,012.78 $12,297,494.8 2
    Total Fees Collected for processing requests (A) Percentage of Total Costs (B)
    HQ $155,402.85 3
    REGION 1 $22,914.36 4
    REGION 2 $13,695.66 3
    REGION 3 $22,906.93 5
    REGION 4 $32,508.06 3
    REGION 5 $48,397.80 1
    REGION 6 $53,829.09 9
    REGION 7 $40,618.38 2
    REGION 8 $13,430.00 8
    REGION 9 $7,759.02 .8
    REGION 10 $28,601.94 11
    TOTALS $440,064.09 4