ADMINISTRATION ON AGING

FREEDOM OF INFORMATION ANNUAL REPORT -- FY 2009

I. AGENCY: Administration on Aging

REPORT PREPARED BY: Harry Posman

TITLE: Freedom of Information Public Liaison

ADDRESS: Administration on Aging

Department of Health and Human Services

Washington, DC 20201

PHONE NUMBER: 202-357-3540

ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB: 

http://www.aoa.gov/site_utilities/FOIA/Foia.aspx#reports

ADDRESS FOR PAPER COPIES OF THIS REPORT:

FOIA

Freedom of Information Public Liaison

Administration on Aging

Department of Health and Human Services

Washington, DC 20201

II. HOW TO MAKE A FOIA REQUEST: Please see HHS Guide to Information Resources at: 

http://www.hhs.gov/about/infoguid.html#foia

1. Brief description of why some requests are not granted: Documents requested were protected 

by an exemption and release would have caused harm to the interest protected by the exemption. 

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS:

1. Agency-specific acronyms or other terms:

HHS - U.S. Department of Health and Human Services

OPDIVs - Operating Divisions of HHS

OS - Office of the Secretary, HHS

OASPA - Office of the Assistant Secretary for Public Affairs, HHS

AoA - Administration on Aging

ACF - Administration for Children and Families

AHRQ - Agency for Healthcare Research and Quality

ATSDR - Agency for Toxic Substances and Disease Registry 

CDC - Centers for Disease Control and Prevention

FDA - Food and Drug Administration

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HRSA - Health Resources and Services Administration 

IHS - Indian Health Service

NIH - National Institutes of Health

OIG – Office of the Inspector General

OPHS - Office of Public Health and Science 

PHS - Public Health Service

PRO - Professional Review Organization

PSC - Program Support Center

SAMHSA - Substance Abuse and Mental Health Services Administration

2. Basic terms (from FOIA UPDATE, Summer 1997):

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 

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 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 requesters 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 - Median Number – the middle, not average, number. For example, of 3, 7, and 

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14, the median number is 7.

k. 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 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 satisfies the requirements 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 statute for an agency to respond to a FOIA request (ordinarily 

twenty working days from receipt of a perfected FOIA request). 

3. Include the following concise descriptions of the 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 reasonably be expected to endanger the life or physical safety of any individual.

h. Exemption 8: information relating to the supervision of financial institutions 

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i. Exemption 9: geological information on wells 

IV. EXEMPTION 3 STATUTES: N/A

V. FOIA REQUESTS 

A. Numbers of initial requests (line 1 + line 2 - line 3 = line 4): 

1. Number of requests pending as of start of fiscal year: 1

2. Number of requests received in fiscal year: 10

3. Number of requests processed in fiscal year: 11

4. Number of requests pending as of end of fiscal year: 0

Received, Processed and Pending FOIA Requests

Number of 

Requests 

Pending as of 

Start of Fiscal 

Year

Number of 

Requests 

Received in 

Fiscal Year

Number of 

Requests 

Processed in 

Fiscal Year

Number of 

Requests 

Pending as of 

End of Fiscal 

Year

AOA 1 10 11 0

B. (1) Disposition of FOIA Requests:

1. Number of full grants: 6

2. Number of partial grants: 1

3. Number of full denials based on Exemptions: 0

4. Number of Full Denials Based on Reasons Other than Exemptions 

(Total): 4

a. No records: 2

b. Referrals: 2

c. Request withdrawn: 

d. Fee-related reason: 

e. Records not reasonably described: 

f. Improper FOIA request for some other reason: 

g. Not an agency record: 

h. Duplicate request: 

i. Other (specify): 

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Disposition of all FOIA Requests – All Processed Requests

Number of Full Denials Based on Reasons Other than Exemptions

Number

of Full 

Grants 

Number 

of Partial 

Grants/ 

Partial 

Denials

Number 

of Full 

Denials 

Based on 

Exemptio

ns

No 

Records

All 

Records 

Referred 

to 

Another 

Compone

nt or 

Agency

Request 

Withdra

wn

Fee-Related 

Reason

Records not 

Reasonably 

Described

Impr

oper 

FOIA 

Requ

est for 

Other 

Reaso

n

Not 

Age

ncy 

Rec

ord

Duplicate 

Request

Other 

*Explain 

in chart 

below”

TOTAL

AOA 6 1 2 2

B. (2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than 

Exemptions” from Section V, B (1) Chart 

Component

Description of “Other” Reasons 

for Denials from Chart B (1) & 

Number of Times Those Reasons 

Were Relied upon

TOTAL

AOA N/A

B. (3) Disposition of FOIA Requests - Number of times exemptions applied

Exemption 1:

Exemption 2:

Exemption 3: 

Exemption 4: 1

Exemption 5: 

Exemption 6: 1

Exemption 7(A):

Exemption 7(B):

Exemption 7(C):

Exemption 7(D):

Exemption 7(E):

Exemption 7(F):

Exemption 8: 0

Exemption 9: 0

Page 5 of 9
Disposition of FOIA Requests – Number of Times Exemptions Applied

Ex. 

1 

Ex. 

2 

Ex. 

3 

Ex. 

4 

Ex.

5 

Ex. 

6 

Ex. 

7(A) 

Ex. 

7(B) 

Ex. 

7(C) 

Ex. 

7(D) 

Ex. 

7(E) 

Ex. 

7(F) 

Ex. 

8 

Ex. 

9 

AOA 1 1

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS

A. Received, Processed and Pending Administrative Appeals 0

Number of appeals pending as of start of Fiscal Year

1. Number of appeals received in Fiscal Year: 

2. Number of appeals processed in Fiscal Year: 

3. Number appeals pending as of end of Fiscal Year

B.Disposition of Administrative Appeals – All Processed Appeals 0

1. Number affirmed on appeal

2. Number partially affirmed and partially reversed/remanded on appeal

3. Number completely reversed/remanded on appeal

4. Number of appeals closed for other reasons

C. (1) Reasons for denial on Appeal – Number of Times Exemptions applied N/A

Exemption 1:

Exemption 2:

Exemption 3:

Exemption 4:

Exemption 5:

Exemption 6:

Exemption 7

Exemption 7(A): 

Exemption 7(B): 

Exemption 7(C): 

Exemption 7(D): 

Exemption 7(E): 

Exemption 7(F): 

Exemption 8: _0

Exemption 9: 0

C. (2) Reasons for denial on Appeal – Reasons other than exemptions N/A

a. No records:

b. Referrals:

c. Request withdrawn:

d. Fee-related reason:

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e. Records not reasonably described: 

f. Improper request for other reason: 

g. Not an agency record: 

h. Duplicate request: 

i. Request in litigation:

j. Appeal based solely on denial of request for expedited processing:

C. (3) Reasons for denial on Appeal – Other N/A

Administrative closures, records previously released to appellant

C. (4) Response time for administrative appeals N/A

a. Median number of days:

b. Average number of days:

c. Lowest Number of days:

d. Highest number of days:

C. (5) Ten Oldest Pending Appeals (See Chart) N/A

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS

A. Processed Requests – Response Time for All Processed Perfected Requests

SIMPLE COMPLEX EXPEDITED PROCESSING

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

AOA 4 5 1 15

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

SIMPLE COMPLEX EXPEDITED PROCESSING

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

AOA 4 5 1 15

C. Processed Requests – Response Time in Day Increments

Complex Requests

1–20 

Days

21 – 40 

Days

41 – 60 

Days

61 – 80 

Days

81-

100 

Days

101-

120 

Days

121-

140 

Days

141-

160 

Days

161-

180 

Days

181-

200 

Days

201-

300 

Days

301-

400 

Days

401+ 

Days TOTAL

AOA 11

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D. Pending Requests – All Pending Perfected Requests

SIMPLE COMPLEX EXPEDITED PROCESSING

E. Pending Requests – Ten Oldest Pending Perfected Requests

10th Oldest

Request And 

Number of 

Days 

Pending

9th 8th 7th 6th 5th 4th 3rd 2nd Oldest 

Request

And Number 

of Days 

Pending

AOA 0 0 0 0 0 0 0 0 0 0

B. REQUESTS FOE EXPEDITED PROCESSING AND REQUESTS FOR 

FEE WAIVER N/A

A. Requests foe Expedited Processing 0

B. Requests for Fee Waiver 0

C. FOIA PERSONNEL AND COSTS

Personnel Costs

Number of Full-Time 

FOIA Employees

Number of 

Equivalent “FullTime Employees”

Total Number of 

Full-Time FOIA 

Staff

Processing Costs LitigationRelated 

Costs

Total Costs

AOA 0 .040 .040 $2576 $2576

D. FEES COLLECTED FOR PROCESSING REQUESTS $O

XI. FOIA REGULATIONS

http://www.hhs.gov/foia/45cfr5.html

XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS

A. Backlogs of FOIA Requests and Administrative Appeals

Number of Backlogged 

Requests as of End of 

Fiscal Year 

Number of Backlogged 

Appeals as of End of 

Fiscal Year 

AOA 0 0

B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations N/A

C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and 

Pending at Your Agency N/A

Number

Pending

Median 

Number 

Of Days

Average

Number 

Of Days

Number

Pending

Median

Number

Of Days

Average

Number

Of Days

Number

Pending

Median

Number

Of Days

Average

Number

Of Days

AOA 0 0 0

Page 8 of 9
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 

During Fiscal 

Year from Last 

Year’s Annual 

Report

Number Received 

During Fiscal 

Year from 

Current Annual 

Report

Number 

Processed During 

Fiscal Year from 

Last Year’s 

Annual Report 

Number 

Processed During 

Fiscal Year from 

Current Annual 

Report

AOA 14 10 15 11

E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report –

Appeals Received, Processed, and Backlogged N/A

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