FOR
The following Annual Freedom of Information Act report covers the Period 10/01/2005, through 09/30/2006, as required by 5 U.S.C. 552.
I. Basic Information Regarding Report
A. Name, Title, Address, and Telephone Number
Larry F. Gottesman National FOIA Officer Records, FOIA and Privacy Branch Office of Environmental Information
U.S. Environmental Protection Agency 1200 Pennsylvania Avenue, NW Mail Code 2822T Washington, D.C. 20460
http://www.epa.gov/foia
C. How to obtain copy in paper form Contact:
Larry F. Gottesman National FOIA Officer Records, FOIA and Privacy Branch Office of Environmental Information
U.S. Environmental Protection Agency 1200 Pennsylvania Avenue, NW Mail Code 2822T Washington, D.C. 20460
(202) 5661667
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
1 of 20 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 Nations
Region 3 MidAtlantic Region
Region 4 Southeast Region
Region 5 MidWest Region
Region 6 South Central Region
Region 7 America’s Heartland Region
Region 8 Mountains and Plains Region
Region 9 Pacific Southwest Region
Region 10 Pacific Northwest Region
B. Basic terms, expressed in common terminology
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IV. EXEMPTION 3 STATUTES.
V. INITIAL FOIA ACCESS REQUESTS.
A. Numbers of Initial Requests.
NUMBER OF REQUESTS
B. Disposition of Initial Requests.
TOTAL GRANTS
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EXEMPTIONS CLAIMED UNDER THE FREEDOM OF INFORMATION ACT
(B.3.a)
(b)(7)
(b)(1)
(b)(8) (b)(9)
(A) (B) (C) (D) (E) (F)
EXPLANATION OF DISPOSITION OF FOIA INITIAL REQUESTS: OTHER REASONS FOR NONDISCLOSURE (B.4.)
Not a proper
Request Feerelated Duplicate
No records Referrals reasonably request for agency Other
withdrawn reason request
described some other record reason
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VI. Appeals of Initial Denials of FOIA Requests
A. Numbers of Appeals.
NUMBER OF REQUESTS PENDING AS OF END OF PRECEDING YEAR (A.1.)
B. Disposition of Appeals.
TOTAL GRANTS (B.1.)
NUMBER OF REQUESTS PENDING AS OF END OF CURRENT YEAR (A.4.)
0
OTHER (B.4.)
0
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EXEMPTIONS CLAIMED UNDER THE FREEDOM OF INFORMATION ACT
(B.3.a)
(b)(7)
(b)(1)
(b)(8) (b)(9)
(A) (B) (C) (D) (E) (F)
EXPLANATION OF DISPOSITION OF FOIA APPEAL REQUESTS: OTHER REASONS FOR NONDISCLOSURE (B.4.)
Not a proper
Request Feerelated Duplicate
No records Referrals reasonably request for agency Other
withdrawn reason request
described some other record reason
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VII. COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS.
A. Median processing time for requests processed during the year.
| Requests Accorded Expedited | ||
|---|---|---|
| Simple Requests | Complex Requests | Processing |
| (A.1) | (A.2) | (A.3) |
B. Status of pending requests.
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VIII. COMPARISONS WITH PREVIOUS YEAR(S).
A. Comparison of numbers of requests received:
B. Comparison of numbers of requests Processed: C. Comparison of median numbers of days requests were pending as of end of the
fiscal year:
D. Other statistics significant to the Agency:
IX. COSTS/FOIA STAFFING.
Number Number of Total FOIA Processing LitigationTotal Costs of Full Personnel Number of (Including related (B.3.) Time With Part Personnel Appeals) activities Personnel Time or (In Work(Estimated) (Estimated) (A.1.) Occasional Years) (B.1.) (B.2.) FOIA (A.3.) Duties
(In Total Work Years) (A.2.)
2.00 $593,857.00 $0.00 $593,857.00
5.00 40.55 45.55
7.00
14.00
9.00
2.22
2.27
10.00
6.00
107.88
277.07
X. FEES.
Total Fees Collected for processing requests (A)
$3,731.00 $13,748.42 $17,803.11 $38,542.48 $40,188.00 $27,835.61 $21,223.96 $6,942.67 $14,544.02 $12,191.76 $130,635.60 $327,386.63
XI. FOIA Regulations
11 of 20 For more information, please consult the EPA FOIA Regulations. They can be found at the following website: http://www.epa.gov/foia/foiaregs.htm.
XII. REPORT ON EXECUTIVE ORDER 13,392 IMPLEMENTATION.
On December 14, 2005, the President issued Executive Order 13,392, entitled "Improving Agency Disclosure of Information," which established a "citizencentered" and "resultsoriented" approach to administration of the Freedom of Information Act (FOIA). The Executive Order required each agency to conduct a review of its FOIA operations, to develop an agencyspecific plan to improve its administration of the Act, and to include in its annual FOIA report a description of its progress in meeting the milestones and goals established in its improvement plan.
This section of the annual FOIA report contains EPA's description of its progress in implementing the milestones and goals of EPA’s FOIA Improvement Plan.
The reporting period for Section XII is different from that used for the rest of this report, which is based on data compiled for Fiscal Year 2006. The reporting period for this section concerning Executive Order implementation activities includes progress made through January 2007.
A. Description of supplementation/modification of agency improvement plan (if applicable)
Not applicable.
B. Report on agency implementation of its plan, including its performance in meeting milestones, with respect to each improvement area
EPA met all of the goals and milestones established in the report it submitted in response to Executive Order 13,392 that were to be completed for this reporting period.
In particular, EPA achieved its FOIA backlog reduction goals a year ahead of the October 1, 2007, milestone in its improvement plan. In September 2006, the Agency successfully reduced the actual number of requests in the backlog and achieved its reduction goal of backlog FOIAs not exceeding ten per cent of the number of new FOIA requests received that year. In the succeeding months, EPA has continued to reduce its backlog numbers to historical lows. As a result of the commitment of the Agency at all levels to meet the backlog reduction goals, it became unnecessary to formally issue recommendations or guidance to accomplish this goal. However, the National FOIA Officer constantly monitors the Agency’s backlog numbers and communicates with the EPA FOIA community as required in this regard. EPA also realized a thirtythree percent reduction in the backlog of administrative FOIA appeals. As is the case with the initial request backlog, EPA will continue to focus on decreasing the appeals backlog.
In the area of customer service, EPA successfully instituted pay.gov in its Headquarters offices. Requesters are now able to pay FOIA fees online. The Agency plans to implement the service in its Regional offices during Fiscal Year 2007.
Finally, EPA complete the review of its Headquarters and ten Regional FOIA Websites and will be
12 of 20 implementing the enhancements recommended by the workgroup. The enhancements will bring consistency to the content and location of Website information, focusing on increasing transparency and customer service. A new enhanced Website will be operational no later than September 30, 2007.
C. Identification and discussion of any deficiency in meeting plan milestones (if applicable)
Not applicable.
D. Additional narrative statements regarding other executive orderrelated activities (optional)
EPA held its annual training conference for Agency FOIA officers and contacts from October 30 through November 1, 2006. The training provided information on several topics including applying FOIA exemptions, the Agency’s transition to electronic content and records management with a focus on appropriately managing email records, guidance on providing appeal information and several questions and answers sessions. Dick Huff, former CoDirector, Office of Information and Privacy, US Department of Justice, conducted a session on recent developments in the FOIA case law.
Additionally, the Agency held its second FOIA Requester Forum in November 2006, in which frequent EPA FOIA requesters were invited to provide feedback to the Agency on its handling of their FOIA requests. The guest requesters provided a favorable evaluation of EPA’s handling of their FOIA requests and expressed no significant concerns.
Finally, EPA’s Region 4 office has enhanced its Website to provide status updates to FOIA requesters. The Website allows requesters to obtain the name and contact information of the FOIA Specialist assigned to the request, along with the request’s due date and status. The Website will be updated several times a week.
E. Concise descriptions of FOIA exemptions
The nine exemptions to the FOIA authorize federal agencies to withhold information covering: (1) classified national defense and foreign relations information; (2) internal agency rules and practices; (3) information that is prohibited from disclosure by another federal law; (4) trade secrets and other confidential business information; (5) interagency or intraagency communications that are protected by legal privileges; (6) information involving matters of personal privacy; (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) information relating to the supervision of financial institutions; and (9) geological information on wells.
F. Additional statistics:
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December 13, 2006 to January 23, 2007.
G. Agency improvement plan:
In response to Executive Order 13392, Improving Agency Disclosure of Information, this report describes the U.S. Environmental Protection Agency’s plan for continued improvements to the Agency’s Freedom of Information Act Program. The report offers a brief overview of the program, identifies the areas we considered for improvement, and concludes with a plan for strengthening some key areas of our FOIA program.
A. Overview of EPA’s Freedom of Information Act Program
EPA’s Freedom of Information Act Program is one of the top FOIA programs in the federal government, providing oversight, leadership, direction, training and support for FOIA activities across the Agency’s 10 regions and headquarters program offices. EPA’s commitment to excellence is evident from the efforts already undertaken by the Agency to institute many of the activities required by Executive Order 13392, including the deployment of a stateoftheart information technology infrastructure to support and manage this important Agency program. The Agency’s program is customerfocused and efficiencyoriented.
The Agency received 14,252 FOIA requests in 2001 and 12,201 in 2005, a drop of about 15 percent. EPA believes that this decline in requests is largely due to the continued improvements we have made in the FOIA program and the Agency’s commitment to make as much information as possible available through EPA’s publiclyaccessible web sites.
EPA’s Assistant Administrator for Environmental Information and Chief Information Officer serves as the Agency’s Chief FOIA Officer. EPA’s Chief FOIA Officer is responsible for Agencywide compliance with the Act, providing periodic reports to the Administrator on the status of the Agency’s FOIA Program and making recommendations for improvements. The Agency’s Chief FOIA Officer facilitates public understanding of the Act’s statutory exemptions by including information about these exemptions in the Agency’s FOIA Handbook and on EPA’s web site (see Section D).
The Chief of the Records, FOIA and Privacy Branch within the Office of Environmental Information is the Agency Public Liaison, and the FOIA staff of the Records, FOIA and Privacy Branch serves as the FOIA Requester Service Center. The Branch Chief is a supervisory position and the incumbent is in a position to deal with concerns raised by any requester. The Branch Chief is directly responsible for the performance of the staff composing the Requester Service Center.
Our FOIA Requester Service Center is an easily accessible, first pointofcontact for requesters. The Center staff routinely provides general information on the Agency’s FOIA process and detailed information on the status of pending requests. The Center staff is also responsible for the maintenance of EPA’s FOIA web site and processes requests received at headquarters. The Center also offers a FOIA hotline that has been operational for many years. Through the hotline, callers may receive basic information on the status of their requests, general information on how and where to submit a FOIA
14 of 20 request, and information about the types of information available on EPA web sites.
The Appendix to this document provides on overview of the FOIA Program roles and responsibilities within EPA.
B. FOIA Areas Selected for Review
The following areas were selected for review by the Agency:
C. Summary of Review Findings
In order to address the requirements of the Executive Order, EPA established an EO implementation workgroup, headed by EPA’s National FOIA Officer, to review its FOIA policies and operations. The workgroup conducted its review using the guidance issued by the Department of Justice.
This section identifies the areas reviewed by the workgroup for improvement and provides a highlevel assessment of the area:
1. FOIA Training for Agency Staff
EPA’s commitment to excellence is reflected in its FOIA training and outreach program. This robust and mature program includes: regular national training conferences for employees and contractors; biweekly conference calls with the Regional FOIA Officers; monthly meetings with FOIA contacts in the headquarters program offices; and semiannual meetings with Regional FOIA Officers. All of these meetings involve, or are entirely focused on, providing staff with training on new developments in the FOIA program.
EPA has recently conducted a dialogue with stakeholders to find ways to further improve FOIA management at EPA. EPA plans to conduct similar sessions with other members of the public in the future.
Overall, the Agency feels it has an effective FOIA training regimen.
2. Agency Web Sites, Including FOIA Site
EPA has a longterm commitment to proactive disclosure. Since the advent of the Internet, the Agency has made heavy use of the EPA web site to disclose data, information, and analyses of many kinds. EPA believes the decline in the number of FOIA requests received by EPA over the past four years (from 14,252 in 2001 to 12,201 in 2005) is largely attributable to the quantity and quality of information on the Agency’s web sites.
EPA has also made considerable efforts to develop the FOIA web site so that it is responsive to the public interest. This site contains contact information and information on filing FOIA requests at EPA headquarters and for each regional office. FOIA staff ensure that the web site is userfriendly, uptodate, accurate, and consistent with Agency policy on web site content and format.
15 of 20 EPA’s commitment to full disclosure was demonstrated during the aftermath of Hurricanes Katrina, Rita and Wilma. The Agency made hurricanerelated information available on its web site as soon as it was practicable. EPA was and remains committed to ensuring that first responders, citizens, the media and others have access to the information they need without having to submit a FOIA request.
EPA believes its FOIA web site is generally responsive to public needs; however, the Agency will undertake a comprehensive review of the web site to ensure it is providing timely, accurate information to the public. This is an action area described in Section D.
3. Using Information Technology in EPA’s FOIA Program
EPA deployed an enterprise FOIA management system (FOIAXpress) in 2005. This system replaced an outdated tracking system (FOIAMATS) which had been in use since 1991. FOIAXpress is a stateofthe art system that provides “cradle to grave” electronic tracking of incoming FOIA requests and Agency responses. The system features webbased access and enhancements such as workflow management, metadata tracking, online review and redaction, web posting, automated billing, and generation of the annual FOIA Report. The National FOIA Officer uses FOIAXpress to monitor the timeliness of FOIA responses and EPA program offices preparing FOIA responses use the application to respond to FOIA requests. BR> The Agency concluded that, except for maintaining FOIAXpress, no further information technology investments are currently needed in the program.
4. FOIA Request Processing
EPA processes and manages FOIA requests in a consistent and efficient manner. FOIA requesters can submit requests to EPA electronically through EPA’s FOIA web site, by fax, through the mail, or via courier services to headquarters or to one of the Agency’s 10 regional offices. With FOIAXpress, the Agency’s internal FOIA business processes are now primarily electronic, from initial receipt to final disposition. At the present time, however, payments associated with FOIA requests cannot be made electronically.
From a process perspective, upon receipt of a request, a FOIA Specialist reviews the request for completeness and enters requester and request metadata into FOIAXpress. The system electronically assigns the tracking number and due date. Using the workflow features of the application, the FOIA request is electronically assigned and delivered to the appropriate program office for processing.
When a FOIA request is received in the program office assigned responsibility for preparing the response, the office searches for the requested records, reviews the records, makes determinations to release or withhold the records, and notifies the requester by letter of the Agency’s decision. Staff in the program office sign the determinations to release information in consultation with the OEI FOIA office. Only Division Directors or equivalent seniorlevel employees are authorized to sign denials. A copy of the decision letter is provided to the OEI FOIA Specialist through FOIAXpress for inclusion in the official FOIA request files. After reviewing the response letter, OEI staff determine the disposition of the final action and record the disposition in the application (e.g. grant, denial, partial response).
As FOIA requests are being processed, the National FOIA Office and Regional FOIA Offices, along with the program offices, may communicate with the requester to modify or clarify the request. All such conversations are documented by email or by a letter mailed to the requester.
EPA’s current FOIA processing methods are much more efficient with the implementation of FOIAXpress. However, the Agency is pursuing the ability to provide requesters the option of electronically paying FOIA fees (see Section D).
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5. Expedited Processing and MultiTrack Processing of FOIA Requests
EPA grants all expedited processing requests that meet the criteria set in the statute and our implementation regulations. Recently, EPA granted numerous expedited processing requests from media requesters in the aftermath of Hurricanes Katrina, Rita and Wilma.
EPA uses multitracking of FOIA requests when appropriate. Multitracking means that requests are designated as simple (must be responded to within the 20day deadline) or complex (complicated and/or voluminous and will be responded to as soon as reasonably possible). Requesters are notified if their request is placed into the complex category. EPA follows the firstin firstout practice within each track.
The Agency concluded that the proper choice of these designations is an important aspect of the Agency’s program. Because making the proper designation is getting a high level of attention in the training activities described in section C.1, EPA concluded that no additional action is needed at this time.
6. EPA’s FOIA Response Backlog
EPA began a focused effort to address its FOIA response backlog in 2001. At that time (July 2001) there were 23,514 backlogged requests. As of the date of this report, EPA’s backlog is approximately 2,000 overdue request responses. This represents a net reduction in overdue responses of over 90 percent compared to the 2001 figure.
The Agency concluded two things with regard to the response backlog. First, it is likely that EPA will always have a backlog given the number and complexity of FOIA requests that it receives. Second, EPA’s backlog requires additional and continuing attention to reduce it to a reasonable level. This is an action area described in Section D.
D. Plan for Strengthening EPA’s FOIA Program
EPA concluded that improvements in the following areas would provide the biggest benefit for the Agency’s FOIA program:
E. Improvement Area Planning
The workgroup developed recommendations and proposed milestones and deadlines for improvement, when appropriate.
1. Electronic Payment of FOIA Fees
EPA is working with the U.S. Department of the Treasury to allow FOIA requesters to pay fees electronically.
Milestones:
17 of 20 Measure of Success:
Implement an electronic payment option for FOIA fees processed by headquarters by December 31, 2006.
2. FOIA Web Site Improvement
The Agency will undertake a comprehensive review of its FOIA web site to make it more userfriendly and informative.
Milestones:
Measure of Success:
FOIA officers and coordinators update the FOIA web site by September 30, 2007.
3. Backlog Reduction
The Agency has determined that its present backlog of FOIA request responses is not acceptable, in spite of the fact that EPA reduced the back log of 23,514 overdue requests in July 2001 by over 90 percent, to approximately 2,000 overdue requests. The Agency will continue to identify additional ways to further reduce the backlog.
Milestones:
Measure of Success:
EPA’s FOIA response backlog will not exceed 10 percent of the number of new FOIA requests received each year. This level will be achieved by October 1, 2007.
F. TIME TABLE of FOIA IMPROVEMENT MILESTONES
Appendix EPA FOIA Program Roles and Responsibilities
EPA has a decentralized FOIA processing system but has a central pointofocus in OEI for policy issues and management of the FOIAXpress application. The key roles and responsibilities in the FOIA process at EPA are:
Chief FOIA Official EPA’s Chief FOIA Officer is responsible for Agencywide compliance with the Act, providing periodic reports to the Administrator on the status of the Agency’s FOIA program and making recommendations for improvements. The Agency’s Chief FOIA Officer facilitates public understanding of the Act’s statutory exemptions by including information about these exemptions in our FOIA Handbook and on EPA’s web site.
National FOIA Officer – The NFO coordinates and oversees the Agency’s FOIA program; issues determinations on fee waiver and expedited processing requests; develops and reviews FOIA procedures, policies, and guidance; provides advice to Agency FOIA personnel in the program and regional offices; prepares the Annual FOIA Report; maintains the official FOIA files for headquarters; and provides training to Agency FOIA personnel.
Regional FOIA Officers – Each of the 10 EPA regions has a Regional FOIA Officer. Each Regional FOIA Officer routes requests to the appropriate action office within the region; tracks FOIA requests; provides guidance to regional personnel, in collaboration with the NFO; coordinates with the action office on initial fee waiver decisions; submits materials for the annual FOIA report; maintains the official FOIA files for the region; and monitors the quality and timeliness of responses from the regions.
Program Office Coordinators – Each headquarters program office has a lead FOIA coordinator, who works under the general direction of the NFO. The program coordinators route requests to the appropriate action office within the program; track FOIA requests for timeliness; monitor the quality of the responses; and provide guidance to program personnel, in collaboration with the NFO.
Office of General Counsel – EPA’s OGC plays a key role in its FOIA program. OGC provides legal advice on FOIA matters; issues final decisions on FOIA appeals, final confidentiality determinations, and fee waiver appeal determinations, except when a conflict of interest arise; provides on FOIA exclusions; and serves as cocounsel with U.S. Department of Justice attorneys in FOIA litigation. The Counsel to the Inspector General provides most of these services for the Agency’s Office of Inspector General.