NATIONAL INDIAN GAMING COMMISSION 

2002 ANNUAL FOIA REPORT

I. Basic Information Regarding Report 

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

about the report. 

Gregory A. Smith 

FOIA/PA Officer 

National Indian Gaming Commission 

1441 L Street, N.W., Suite 9100 

Washington, D.C. 20005 

Telephone number: (202) 632-7003 

Fax number: (202) 632-7066 

B. Electronic address for report on the World Wide Web. 

Http://www.nigc.gov/2002foia.htm

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

Contact 

Gregory A. Smith 

FOIA/PA Officer 

National Indian Gaming Commission 

1441 L Street, N.W., Suite 9100 

Washington, D.C. 20005 

Telephone number: (202) 632-7003 

Fax number: (202) 632-7066 

II. How to Make a FOIA Request 

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

http://www.nigc.gov/nigc/foia/foia_request.jsp#MR

A. Names, addresses, and telephone numbers of all individual agency components and 

offices that receive FOIA requests. 

For the name, address, and telephone number of the individual whom 

receives FOIA requests see the above contact information. 

B. Brief description of the agency's response-time ranges. 

Response times are from one day to more than one year in some cases.
C. Brief description of why some requests are not granted. 

Requests for information are not granted if the information sought falls 

within FOIA exemptions (b)(4), (b)(5), (b)(6), and (b)(7); the information 

requested is protected by federal statute or falls under the jurisdiction of 

another authority, and when no responsive records are located. 

III. Definitions of Terms and Acronyms Used in the Report (to be included in each report) 

A. Agency-specific acronyms or other terms. 

NIGC National Indian Gaming Commission 

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 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 (nonexpedited) 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 in 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 "perfected" FOIA request). 

13. "Perfected" request -- a FOIA request for records which adequately 

describes the records sought, which has been received by the FOIA office of 

the 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. 

IV. Exemption 3 Statutes 

A. List of Exemption 3 statutes relied on by agency during current fiscal year. 

1. Brief description of type(s) of information withheld under each statute. 
IGRA, 25 U.S.C. § 2716(a) provides that except as provided in 

subsection (b), of this section, the Commission shall preserve any and 

all information received pursuant to this chapter as confidential 

pursuant to the provisions of paragraph (4) and (7) of section 552(b) 

of Title 5. 

Information withheld under this statute would include financial 

information such as tribal gaming revenue reports and audits. 

2. Statement of whether a court has upheld the use of each statute. If so, then cite 

example. 

None

V. Initial FOIA/PA Access Requests 

 A. Numbers of initial requests. 

1. Number of requests pending as of end of preceding fiscal year _ 68____ 

2. Number of requests received during current fiscal year 82___ 

3. Number of requests processed during current fiscal year _65_ ____ 

4. Number of requests pending as of end of current fiscal year 85__ 

(Enter this number also in Line VII.B.1.) 

B. Disposition of initial requests. 

 

1. Number of total grants 23 ____ 

2. Number of partial grants 19 ___

3. Number of denials _3_________ 

 a. number of times each FOIA exemption used 

 (counting each exemption once per request) 

(1) Exemption 1 _______0_______ 

(2) Exemption 2 _______0_______ 

(3) Exemption 3 _______0_______ 

(4) Exemption 4 ______ 10______

(5) Exemption 5 _______2 ____ 

(6) Exemption 6 _______8 ____ 

(7) Exemption 7(A) ____0_______ 

(8) Exemption 7(B) ___ 0_ _____ 

(9) Exemption 7(C) ____1______
(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) ____20___

a. no records _______6________

b. referrals ________3_______

c. request withdrawn _____4_____

d. fee-related reason ______0______

e. records not reasonably described _____0_____ 

f. not a proper FOIA request for some other reason ______6_______

g. not an agency record _______0________ 

h. duplicate request ________0_______ 

i. other (specify) _____1____ Proof of identity not provided 

 

VI. Appeals of Initial Denials of FOIA/PA Requests 

A. Numbers of appeals. 

1. Number of appeals received during fiscal year ______4________

2. Number of appeals processed during fiscal year _____4_____

B. Disposition of appeals. (Pending) 

1. Number completely upheld ______4_______ 

2. Number partially reversed ______ 0______

3. Number completely reversed ____0_______

 a. number of times each FOIA exemption used 

 (counting each exemption once per appeal) 

 

(1) Exemption 1 _______0________ 
(2) Exemption 2 _______0________ 

(3) Exemption 3 _______0________ 

(4) Exemption 4 _______3______

(5) Exemption 5 _______0_______ 

(6) Exemption 6 _______0_______ 

(7) Exemption 7(A) _____0_______ 

(8) Exemption 7(B) _____0_______ 

(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) ___0____

 a. no records ______0_________ 

 b. referrals _______0______

 c. request withdrawn ______0_________ 

 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_________ 
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 _____28___ 

b. median number of days to process ___20__

2. Complex requests. 

a. number of requests processed ____33____

b. median number of days to process ___180__

 

3. Requests accorded expedited processing. 

a. number of requests processed _____4_____

b. median number of days to process ____30___ 

B. Status of pending requests. 

1. Number of requests pending as of end of current fiscal year _85__

 (Enter this number from Line V.A.4.) 

2. Median number of days that such requests were pending as of that date _ 90__ 

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

As a means to continuously improve timeliness of FOIA performance and 

reduce the backlog, NIGC hired a legal assistant to assist with the processing 

of FOIA/PA requests on a full-time basis. NIGC also installed a customized 

electronic database system for tracking requests and to help NIGC personnel 

manage the backlog. Of the eight requests for expedited treatment received, 

NIGC granted and processed four and reduced the median processing time 

from 45 to 30 days. The median time for processing complex requests 

declined from 184 in FY01 to 180 days in FY02. Although the number of 

simple requests declined by 36% for FY02, the median time for processing 

these requests increased by four days due to the learning curve resulting 

from training required for NIGC personnel assisting with the FOIA/PA 

processing. This transition period for installing the electronic database 
system and training NIGC personnel invoked a 20% increase in the backlog 

from FY01 to FY02. Overall, the FOIA performance for FY02 reduced the 

median time for processing by 19% from FY01. 

In an effort to further improve timeliness of FOIA performance and reduce 

the backlog, NIGC will continue to customize the electronic database system, 

revise record retention practices, closely examine incoming requests, and 

review ways to shorten the turnaround response time on searches conducted. 

IX. Costs/FOIA Staffing 

A. Staffing levels. 

1. Number of full-time FOIA personnel 2____ 

2. Number of personnel with part-time or occasional FOIA duties (in total 

 work-years) _____.5____ 

3. Total number of personnel (in work-years) ____2.5____ 

B. Total costs (including staff and all resources). 

1. FOIA processing (including appeals) __$160,000.00____ 

2. Litigation-related activities (estimated) $40,000.00 __ 

3. Total costs _$200,000.00____ 

4. Comparison with previous year(s) (including percentage of change) (optional) 

 C. Statement of additional resources needed for FOIA compliance (optional) 

X. Fees 

A. Total amount of fees collected by agency for processing requests _$350.00 __

B. Percentage of total costs ____<1%________ 

XI. FOIA Regulations (Including Fee Schedule) 

NIGC FOIA regulations and fee schedule can be found in chapter 25 

of the C.F.R. sec. 517. NIGC Privacy Act regulations can be found in 

chapter 25 of the C.F.R. sec. 515. A paper copy of these regulations 

can be obtained by contacting the FOIA Officer (see section I(A) of 
this report) or electronically at 

http://www.nigc.gov/nigcControl?option=LAWS_REGS.