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**[U.S. Office of Personnel Management]{.smallcaps}**

**[Freedom of Information Act]{.smallcaps}**

**[Report for]{.smallcaps}**

**[October 1,1998]{.smallcaps}**

**[through]{.smallcaps}**

**[September 30, 1999]{.smallcaps}**

**[February 2000]{.smallcaps}**

The following Office of Personnel Management **Annual Freedom of
Information Act** report covers the period October 1, 1998, through
September 30, 1999, as required by 5 U.S.C. 552.

**I. Basic Information Regarding Report**

*A. Name, Title, Address, and Telephone Number*

Mary Beth Smith-Toomey

OPM FOIA Officer

Office of Personnel Management

Office of the Chief Information Officer

1900 E Street NW., Room 5415

Washington, DC 20415-7900

202-606-8358

# B. Electronic Address for report on World Wide Web

Our Web Site address is <http://www.opm.gov/efoia>.

*C. How to obtain copy in paper form*

Paper copies of this report can be obtained from the address above.

**II. How to make a FOIA Request**

> Our FOIA Reference Guide (located at <http://www.opm.gov/efoia> )
> includes information regarding how to make a FOIA request to OPM.

**III. Definitions of Terms and Acronyms Used in the Report**

*A. Agency-specific acronyms*

1\. OPM - Office of Personnel Management

2\. OCIO - Office of the Chief Information Officer

*B. Basic terms, expressed in common terminology*

1.  FOIA/PA request - Freedom of Information Act/Privacy Act request. A
    FOIA request is generally a request for access to records concerning
    a third party, an organization, or a particular topic of interest. A
    Privacy Act request is a request for records concerning oneself;
    such requests are also treated as FOIA requests. (All requests for
    access to records, regardless of which law is cited by the
    requester, are included in this report.)

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 (see below).

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 - an agency decision to disclose all records in full response
    to a FOIA request.

10. Partial grant - an 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 - an 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 because 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 a Aperfected@ FOIA request).

13. APerfected@ request - a FOIA request for records which adequately
    describes the records sought, which has been received by the FOIA
    office of each agency or agency component in possession of the
    records, and for which there is no remaining question about the
    payment of applicable fees.

14. 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).

15. Median number - the middle, not average number. For example, of 3,
    7, and 14, the median number is 7.

16. 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.

**IV. Exemption 3 Statutes**

> OPM did not rely on any Exemption 3 statutes during this reporting
> period.

**V. Initial FOIA/PA Access Requests**

  ------------------------------------------- ---------------------------
  **A. Number of Initial Requests**           

  1\. Pending at the end of FY 1998           15

  2\. Received during FY 1999                 2381

  3\. Processed during FY 1999                2386

  4\. Pending at the end of FY 1999           10
  ------------------------------------------- ---------------------------

+-------------------------------------------+--------------------------+
| **B. Disposition of Initial Requests**    |                          |
+===========================================+==========================+
| 1\. Number of total grants                | 2044                     |
+-------------------------------------------+--------------------------+
| 2\. Number of partial grants              | 137                      |
+-------------------------------------------+--------------------------+
| 3\. Number of denials                     | 45                       |
+-------------------------------------------+--------------------------+
| > a\. Number of times each FOIA exemption |                          |
| > used (counting each exemption once per  |                          |
| > request)                                |                          |
+-------------------------------------------+--------------------------+
| \(1\) Exemption 1                         | 0                        |
+-------------------------------------------+--------------------------+
| \(2\) Exemption 2                         | 13                       |
+-------------------------------------------+--------------------------+
| \(3\) Exemption 3                         | 0                        |
+-------------------------------------------+--------------------------+
| \(4\) Exemption 4                         | 4                        |
+-------------------------------------------+--------------------------+
| \(5\) Exemption 5                         | 17                       |
+-------------------------------------------+--------------------------+
| \(6\) Exemption 6                         | 96                       |
+-------------------------------------------+--------------------------+
| \(7\) Exemption 7(A)                      | 0                        |
+-------------------------------------------+--------------------------+
| \(8\) Exemption 7(B)                      | 0                        |
+-------------------------------------------+--------------------------+
| \(9\) Exemption 7(C)                      | 41                       |
+-------------------------------------------+--------------------------+
| \(10\) Exemption 7(D)                     | 16                       |
+-------------------------------------------+--------------------------+
| \(11\) Exemption 7(E)                     | 6                        |
+-------------------------------------------+--------------------------+
| \(12\) Exemption 7(F)                     | 0                        |
+-------------------------------------------+--------------------------+
| \(13\) Exemption 8                        | 0                        |
+-------------------------------------------+--------------------------+
| \(14\) Exemption 9                        | 0                        |
+-------------------------------------------+--------------------------+
| 4\. Other reasons for nondisclosure       | 160                      |
| (total)                                   |                          |
+-------------------------------------------+--------------------------+
| a\. No records                            | 30                       |
+-------------------------------------------+--------------------------+
| b\. Referrals                             | 58                       |
+-------------------------------------------+--------------------------+
| c\. Request withdrawn                     | 6                        |
+-------------------------------------------+--------------------------+
| d\. Fee-related reason                    | 7                        |
+-------------------------------------------+--------------------------+
| e\. Records not reasonably described      | 9                        |
+-------------------------------------------+--------------------------+
| f\. Not a proper FOIA request for some    | 6                        |
| other reason                              |                          |
+-------------------------------------------+--------------------------+
| g\. Not an agency record                  | 36                       |
+-------------------------------------------+--------------------------+
| h\. Duplicate request                     | 1                        |
+-------------------------------------------+--------------------------+
| i\. Other (specify)                       | 7                        |
+-------------------------------------------+--------------------------+
| \(1\) Referred to Government Printing     | 3                        |
| Office                                    |                          |
+-------------------------------------------+--------------------------+
| \(2\) Records destroyed in accordance     | 2                        |
| with National Archives and Records        |                          |
| Administration approved records retention |                          |
| schedule                                  |                          |
+-------------------------------------------+--------------------------+
| \(3\) Records not releaseable             | 1                        |
+-------------------------------------------+--------------------------+
| \(4\) Judicial review                     | 1                        |
+-------------------------------------------+--------------------------+

**VI. Appeals of Initial Denials of FOIA/PA Requests**

  ------------------------------------------- ---------------------------
  **A. Number of Appeals**                    

  1\. Number of appeals received during FY    22
  1999                                        

  2\. Number of appeals processed during FY   22
  1999                                        
  ------------------------------------------- ---------------------------

  -----------------------------------------------------------------------
  **B. Disposition of Appeals**               
  ------------------------------------------- ---------------------------
  1\. Number completely upheld                12

  2\. Number partially reversed               2

  3\. Number completely reversed              5

  a\. Number of times each FOIA exemption     
  used (counting each exemption once per      
  appeal)                                     

  \(1\) Exemption 1                           0

  \(2\) Exemption 2                           2

  \(3\) Exemption 3                           0

  \(4\) Exemption 4                           0

  \(5\) Exemption 5                           2

  \(6\) Exemption 6                           11

  \(7\) Exemption 7(A)                        0

  \(8\) Exemption 7(B)                        0

  \(9\) Exemption 7(C)                        0

  \(10\) Exemption 7(D)                       0

  \(11\) Exemption 7(E)                       0

  \(12\) Exemption 7(F)                       0

  \(13\) Exemption 8                          0

  \(14\) Exemption 9                          0

  4\. Other reasons for nondisclosure (total) 3

  a\. No records                              2

  b\. Referrals                               0

  c\. Request withdrawn                       1

  d\. Fee-related reason                      0

  e\. Records not reasonably described        0

  f\. Not a proper FOIA request for some      0
  other reason                                

  g\. Not an agency record                    0

  h\. Duplicate request                       0

  i\. Other (specify)                         0
  -----------------------------------------------------------------------

**VII. Compliance with Time Limits/Status of Pending Requests**

  ------------------------------------------- ---------------------------
  **A. Median Processing Time for Requests    
  Processed During the Year**                 

  1\. Simple requests                         

  a\. Number of requests processed            2355

  b\. Median number of days to process        8

  2\. Complex requests                        

  a\. Number of requests processed            29

  b\. Median number of days to process        16.63

  3\. Requests accorded expedited processing  

  a\. Number of requests processed            2
  ------------------------------------------- ---------------------------

  ------------------------------------------- ---------------------------
  **A. Median Processing Time for Requests    
  Processed During the Year**                 

  b\. Median number of days to process        8
  ------------------------------------------- ---------------------------

  -----------------------------------------------------------------------
  **B. Status of Pending Requests**           
  ------------------------------------------- ---------------------------
  1\. Number of requests pending at the end   10
  of FY 1999                                  

  2\. Median number of days that such         6
  requests were pending at the end of FY 1999 
  -----------------------------------------------------------------------

**VIII. Comparisons with Previous Year(s) (Optional)**

**IX. Costs/FOIA Staffing**

  -----------------------------------------------------------------------
  **A. Staffing levels**                      
  ------------------------------------------- ---------------------------
  1\. Number of full-time FOIA personnel      0

  2\. Number of personnel with part-time or   4.77
  occasional FOIA duties (in total            
  work-years)                                 

  3\. Total number of personnel (in           4.77
  work-years)                                 
  -----------------------------------------------------------------------

  -----------------------------------------------------------------------
  **B. Total costs (including staff and all   
  resources)**                                
  ------------------------------------------- ---------------------------
  1\. FOIA processing (including appeals)     \$191,242.84

  2\. Litigation-related activities           0
  (estimated)                                 

  3\. Total costs                             \$191,242.84
  -----------------------------------------------------------------------

**X. Fees**

+-------------------------------------------+--------------------------+
| A. Total amount of fees collected by      | \$39,063.94              |
| agency for                                |                          |
|                                           |                          |
| processing requests                       |                          |
+-------------------------------------------+--------------------------+
| B. Percentage of total costs              | 20%                      |
+-------------------------------------------+--------------------------+

**XI. FOIA Regulations (Including Fee Schedule)**

> OPM=s regulations (5 CFR 294) are available through
> [www.access.gpo.gov/nara/cfr](http://www.access.gpo.gov/nara/cfr). Our
> fee schedule is explained in our FOIA reference guide at
> [www.opm.gov/efoia](http://www.opm.gov/efoia).