National Indian Gaming Commission

2014 Annual FOIA Report

I. Basic Information Regarding Report

Any questions concerning this report should be directed to:

AnDrea C. Choate’

FOIA/PA and Records Management Assistant

National Indian Gaming Commission

90 K St., NE, Suite 200

Washington, D.C. 20002

Telephone number: (202) 632-7003

Fax number: (202) 632-7066

This report is available on the NIGC Web site:

http://www.nigc.gov/Reading_Room/Freedom_of_Information_Act/FOIA_Annual_Re

ports.aspx

To obtain a copy of the report in paper form contact:

AnDrea C. Choate’

FOIA/PA and Records Management Assistant

National Indian Gaming Commission

90 K St., NE, Suite 200

Washington, D.C. 20002

Telephone number: (202) 632-7003

Fax number: (202) 632-7066

II. Making a FOIA Request

For basic information on how to make a FOIA request, visit our Web site at:

http://www.nigc.gov/Reading_Room/Freedom_of

Information_Act.aspx

Address of office that receives FOIA requests:

FOIA requests are centralized and written requests should be addressed to:

AnDrea C. Choate’

FOIA/PA and Records Management Assistant

National Indian Gaming Commission

90 K St., NE, Suite 200

Washington, D.C. 20002

Telephone number: (202) 632-7003

Fax number: (202) 632-7066

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Type of Agency records responsive to FOIA exemptions:

Responsive documents include Bulletins, Commission Final Decisions, 

Management Contracts, Enforcement Actions, Gaming Ordinances, 

Proprietary Interest Matter, and Game Classification Opinions.

Brief description of why some requests are not granted:

Requests for information are not granted if the information sought falls 

within one of the FOIA exemptions; the information requested falls 

under the jurisdiction of another authority; or no responsive records

are located.

III. Acronyms, Definitions, and Exemptions

Agency-specific acronyms or other terms:

FOIA Freedom of Information Act

NIGC National Indian Gaming Commission

PA Privacy Act

Basic terms, expressed in common terminology:

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 processed 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 is 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.

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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 firstparty requests where an agency determines that it must search 

beyond it 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.

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 relatively minimal review are placed in one processing 

track and more voluminous and complex request 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 a expedited basis when a requester satisfies 

the requirements for expedited processing as set forth in 

the statute and in agency regulations.

ii. Simple Requests – a FOIA request that an agency using 

multi-track processing places in its fastest (nonexpedited) track based on the low volume and/or 

simplicity of the records requested.

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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).

Description of 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 matter 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 

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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.

i. Exemption 9 – geological information on wells.

IV. Exemption 3 Statutes 

Exemption 3 Statutes Relied upon to Withhold Information

List of all Exemption 3 statutes relied upon and the number of times:

Exemption 3 was relied upon one time during the course of 

Fiscal Year 2014. 

Provide a brief description of the types of information withheld under 

each statute:

Information pertaining to the nature and location of certain 

archeological resources. 

Indicate whether a court has upheld the use of the statute by 

providing a citation to a court decision:

Hornbostel 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).

V. FOIA Requests

A. 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

Agency Overall 33 52 75 10

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B. (1) Disposition of FOIA Requests – All Processed Requests:

Number 

of Full 

Grants

Number 

of Partial 

Grants/ 

Partial 

Denials

Number of 

Full Denials 

Based on 

Exemptions

Number of Full Denials Based on Reasons Other than Exemptions

TOTAL

No 

Records

All Records 

Referred to 

Another 

Component 

or Agency

Request 

Withdrawn

FeeRelated 

Reason

Records not 

Reasonably 

Described

Improper 

FOIA 

Request for 

Other 

Reason

Not Agency 

Record

Duplicate 

Request

Other 

*Explain 

in chart 

below

Agency 

Overall 12 33 3 16 1 10 0 0 0 0 0 0 75

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) & Numbers of 

Times Those Reasons Were 

Relied Upon

Total

Agency N/A 0

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B. (3) 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

Agency 

Overall

0 0 1 18 15 16 1 0 14 0 5 0 0 0

VI. Administrative Appeals of Initial Determinations of 

FOIA Requests 

A. Received, Processed and Pending Administrative Appeals:

Number of 

Appeals Pending 

as of Start of 

Fiscal Year

Number of 

Appeals Received 

in Fiscal Year

Number of 

Appeals Processed 

in Fiscal Year

Number of 

Appeals Pending 

as of End of Fiscal 

Year 

0 2 1 1

B. Disposition of Administrative Appeals – All Processed Appeals:

Number 

Affirmed 

on Appeal

Number Partially 

Affirmed & 

Partially Reversed 

/ Remanded on 

Appeal

Number 

completely 

Reversed / 

Remanded on 

Appeal

Number of 

Appeals Closed 

for Other 

Reasons

Total

1 0 0 0 1

*After reviewing its database, the agency adjusted its number of appeals pending as 

of the start of Fiscal Year 2011.

C. (1) Reasons for Denial on Appeal – 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

0 0 0 0 0 1 0 0 0 0 0 0 0 0

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C. (2) Reasons for Denial on Appeal – Reasons Other than Exemptions:

No 

Records

Records 

Referred 

at Initial 

Request 

Level

Request 

Withdrawn

Fee –

Related 

Reason

Records 

not 

Reasonably 

Described

Improper 

Request 

for Other 

Reasons

Not 

Agency 

Record

Duplicate 

Request or 

Appeal

Request in 

Litigation

Appeal 

Based 

Solely on 

Denial of 

Request 

for 

Expedited 

Processing

Other 

*Explain in 

Chart 

below

0 0 0 0 0 0 0 0 0 0 0

C. (3) Reasons for Denial on Appeal – ‘Other’ Reasons from Section VI, C (2) Chart:

Description of ‘Other’ Reasons for 

Denial on Appeal from Chart C (2) 

& Number of Times Those Reasons 

Were Relied Upon

Total

N/A 0

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C. (4) Response Time for Administrative Appeals:

C. (5) Ten Oldest Pending Administrative Appeals:

10th

Oldest 

Appeal

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

Oldest 

Appeal

Date of 

Receipt 

of Ten 

Oldest 

Appeals

n/a n/a n/a n/a n/a n/a n/a n/a n/a 09/8/14

Number 

of Days 

Pending 

0 0 0 0 0 0 0 0 0 8

Median Number 

of Days

Average 

Number of Days

Lowest Number 

of Days

Highest Number 

of Days

20.00 20.00 20.00 20.00

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VII. FOIA Request: 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

Agency 

Overall

45 119 1 730 211.5 302 56 836 n/a n/a n/a n/a

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

Agency 

Overall

77 167 1 730 351.5 411 56 836 n/a n/a n/a n/a

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C. Processed Requests – Response Time in Day Increments:

Simple 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 

Agency 

Overall

22 7 8 4 3 3 1 0 1 0 4 5 5 63

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 

Agency 

Overall

0 0 2 2 0 0 1 0 1 0 2 0 4 12

Requests Granted Expedited Processing

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 

Agency 

Overall

0 0 0 0 0 0 0 0 0 0 0 0 0 0

D. Pending Requests – All Pending Perfected Requests:

SIMPLE COMPLEX EXPEDITED PROCESSING

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

Agency 

Overall

4 109 158.25 6 141 156.33 0 n/a n/a

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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

Agency 

Overall 09/17/14

9

09/16/14

10

07/15/14

55

07/07/14

61

03/14/14

137

03/05/14

 145

2/18/14

157

12/19/13

196

03/07/13

396

02/20/13

405

VIII. Requests For Expedited Processing and Requests For Fee Waiver 

A. Requests for Expedited Processing

B. Request for Fee Waiver

Number Granted Number Denied Median Number 

of Days to 

Adjudicate

Average Number 

of Days to 

Adjudicate

Number 

Adjudicated 

Within Ten 

Calendar Days

Agency Overall 0 2 10 10 1

Number Granted Number Denied Median Number of 

Days to Adjudicate

Average Number of 

Days to Adjudicate

Agency Overall 0 0 n/a n/a

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IX. FOIA Personnel and Costs 

Personnel Costs

Number of 

‘Full-Time 

FOIA 

Employees’

Number of 

‘Equivalent 

Full-Time 

FOIA 

Employees’

Total 

Number 

of ‘FullTime 

FOIA 

Staff’

Processing 

Costs

Litigation 

Related 

Costs

Total Costs

Agency 

Overall 1 1.083 2.083 204,300 0.00 204,300.00

X. Fees Collected For Processing Requests

Total Amount of 

Fees Collected

Percentage of 

Total Costs

Agency Overall 4.80 0.00

XI. FOIA Regulations 

NIGC FOIA regulations and fee schedule can be found in 25 CFR § 517. A 

paper copy of this regulation can be obtained by contacting the FOIA Officer 

(see section 1 of this report) or electronically at the following:

http://www.nigc.gov/Portals/0/NIGC%20Uploads/foia/nigcfoiaregs51906.pdf

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

Agency Overall

8 0

13
B. Consultations on FOIA Requests – Received, Processed, and Pending 

Consultations:

Number of 

Consultations 

Received from 

Other Agencies 

that were 

Pending at the 

NIGC as of 

Start of the 

Fiscal Year

Number of 

Consultations 

Received from 

Other Agencies 

During the 

Fiscal Year

Number of 

Consultations 

Received from 

Other Agencies 

that were 

Processed by 

the NIGC 

During the 

Fiscal Year

Number of 

Consultations 

Received from 

Other Agencies 

that were 

Pending at the 

NIGC as of End

of the Fiscal 

Year

Agency Overall 0 0 0 0

C. Consultations on FOIA Requests – Ten Oldest Consultations Received 

from Other Agencies and Pending at the NIGC:

Agency 

Overall

10th Oldest 

Consultation 

and Number 

of Days 

Pending

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

Oldest 

Consultation 

and Number 

of Days 

Pending

0 0 0 0 0 0 0 0 0 0

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

Agency Overall 50 52 45 75

Number of 

Backlogged 

Requests as of End 

of Fiscal Year From 

Previous Annual 

Report

Number of 

Backlogged 

Requests as of End 

of the Fiscal Year 

From Current 

Annual Report

Agency Overall 28 8

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E. Comparison of Number of Administrative Appeals from Previous and 

Current Annual Report – Appeals Received, Processed, and Backlogged

Number of Appeals Received Number of Appeals 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

Agency Overall 3 2 3 1

Number of Backlogged 

Appeals as of End of 

Fiscal Year From 

Previous Annual Report

Number of Backlogged 

Appeals as of End of 

the Fiscal Year From 

Current Annual Report

Agency Overall 0 0

F. Discussion of Other FOIA Activities (Optional)

N/A

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