Annual Report Guidance Outline & Template

All agencies must prepare their Annual FOIA Report in accordance with the outline and 

template presented below, and must report data both for each principal component of the 

agency and for the agency overall. Instructions and guidance points are included beneath 

each template heading. 

I. BASIC INFORMATION REGARDING REPORT 

1. Provide name, title, address, and telephone number of person(s) to be 

contacted with questions about the Report. 

Mery Skolochenko 

Program Assistant 

Federal Mediation and Conciliation Service 

2100 K Street, N.W. 

Washington, D.C. 20427 

Tel. No. (202) 606-5444 

2. Provide an electronic link for access to the Report on the agency Web site. 

www.fmcs.gov/foia/foia.htm 

3. Explain how to obtain a copy of the Report in paper form. 

Send a written request to: 

Federal Mediation and Conciliation Service 

Office of the General Counsel 

2100 K Street, N.W. 

Washington, D.C. 20427 

II. MAKING A FOIA REQUEST 

1. Provide names, addresses, and telephone numbers of all individual agency 

components that receive FOIA requests. 

FOIA requests should be sent to: Federal Mediation and Conciliation Service, 

Office of the General Counsel, 2100 K Street, N.W., Washington, D.C., 20427. 

The telephone number for the Office of General Counsel is (202) 606-5444. 

The formal rules for the making of FOIA requests to the Federal Mediation and 

Conciliation Service are set forth in Chapter 12 of Volume 29 of the Code of 

Federal Regulations. This multiple-volume set is available in all law libraries 
2

and federal depository libraries. These regulations also can be accessed at 

www.fmcs.gov/foia/foia.htm on the World Wide Web. 

2. The FMCS’ primary responsibility is to mediate collective bargaining 

negotiations and to otherwise assist in the development of improved workplace 

relations. 

Under Section 8(d)(1) of the National Labor Relations Act, 29 U.S.C. § 158(d)(1), 

employers or the representative of their employees, who are covered by a collective 

bargaining agreement, must provide written notice to the other party 60 days prior 

to the expiration date of a proposed termination or modification of the agreement. 

Section 8(d)(3) of the National Labor Relations Act requires the parties to the 

agreement to notify the FMCS of the upcoming contract expiration by filing a 

Notice to Mediation Agencies (F-7 form) in order to provide FMCS with a timely 

opportunity to proffer its mediation services. 

The great majority of inquiries to FMCS under the Freedom of Information Act 

(FOIA) are requests for copies of the Notices to Mediation Agencies or for Work 

Stoppages information. 

FMCS’ denial of a request under FOIA was based on Exemption 6, involving 

matters of personal privacy. 

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS 

1. Provide any agency-specific acronyms or terms used in this Report. 

FMCS used for the Federal Mediation and Conciliation Service. 

2. Include the following definitions of terms used in this Report: 

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 
3

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 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 – the middle, not average, number. For example, 

of 3, 7, and 14, the median number is 7. 
4

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 (nonexpedited) 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). 
5

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 

i. Exemption 9: geological information on wells 

 
6

IV. EXEMPTION 3 STATUTES 

A. Exemption 3 Statutes Relied upon to Withhold Information 

1. List all Exemption 3 statutes relied upon to withhold information 

and the number of times they were relied upon. For each request, 

report all statutes relied upon; however, count each statute only once 

per request. 

2. Provide a brief description of the types of information withheld 

under each statute. 

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

providing a citation to a court decision. 

Statute Type of Information 

Withheld Case Citation 

Number of Times 

Relied upon 

per Component 

Total Number of 

Times Relied upon 

by Agency 

None None None 

Component A # 

Component B # 

None 

 

Component A # 

Component B # 
7

V. FOIA REQUESTS 

 For charts in Section V, include all “purported” FOIA requests, both perfected 

and non-perfected. Non-perfected requests are further reflected in various 

columns in Chart V, B (1) below. 

A. Received, Processed and Pending FOIA Requests 

1. Provide the numbers of received, processed, and pending requests as 

described in Columns 1 through 4. 

2. The number in Column 1 must match the number of “Requests 

Pending as of End of Fiscal Year” from last year’s Annual FOIA 

Report. 

 3. The sum of Columns 1 and 2 minus the number in Column 3 must 

equal the number in Column 4. 

 Column 1 Column 2 Column 3 Column 4 

 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 

Component A 

 1 107 107 3 

Component B 

 

 

AGENCY 

OVERALL 

 1 107 107 3 
B. (1) Disposition of FOIA Requests – All Processed Requests 

1. Provide the number of request dispositions as described in the columns below. Select only 

each request. 

2. Report a request in one of the nine “Full Denial Based on Reasons Other than Exemptions

request cannot be counted in one of the first three columns. 

3. The numbers in the “Total” Column on the right must match the numbers in Section V, A, 

of Requests Processed in Fiscal Year”). 

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 Exem

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 

Agenc

Recor

Comp. A 

81 2 0 13 0 1 3 1 0 6 

Comp. B AGENCY OVERALL 

81 2 0 13 0 1 3 1 0 6 
9

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

on Reasons Other than Exemptions” from Section V, B (1) Chart 

1. If you utilized the “Other” column in Section V, B (1), provide 

below descriptions of the “other” reasons for full denials and the 

number of times each reason was relied upon. (The numbers in the 

“Total” column must match the numbers in the “Other” column 

from Section V, B (1).) 

B. (3) Disposition of FOIA Requests – Number of Times Exemptions Applied 

1. For each request, report all exemptions applied; however, count 

each exemption only once per request. Example: Given a request 

in which Exemption 2 applies to one portion of the request, 

Exemption 5 applies to three portions of the request, and 

Exemption 6 applies to eight portions of the request, count 

Exemptions 2, 5, and 6 once each. Do not count Exemption 5 

three times and Exemption 6 eight times. 

 

Component 

Description of “Other” Reasons 

for Denials from Chart B (1) 

& Number of Times Those 

Reasons Were Relied upon 

TOTAL 

Component A 

Description # 

Description # None 

Component B 

Description # 

Description # None 

 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 

Component A 

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

 

Component B 

 

AGENCY 

OVERALL 

0 0 0 0 0 1 0 0 0 0 0 0 0 0 
10

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF 

FOIA REQUESTS

 If more than one component in the agency adjudicates administrative appeals, 

provide information for each appellate component, as well as for the agency 

overall. 

A. Received, Processed and Pending Administrative Appeals 

 1. Provide the number of administrative appeals received, processed, 

and pending as described in Columns 1 through 4. 

 2. The sum of Columns 1 and 2 minus the number in Column 3 must 

equal the number in Column 4. 

 3. Starting with Fiscal Year 2009, the number in Column 1 must 

match the number of “Appeals Pending as of End of Fiscal Year” 

from the previous year’s Annual FOIA Report. 

Column 1 Column 2 Column 3 Column 4 

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 0 0 0 
11

B. Disposition of Administrative Appeals – All Processed Appeals 

1. Provide the number of administrative appeal adjudications as 

described in the columns below. (The number in the “Total” 

column must match the number in Section VI, A, Column 3 

(“Number of Appeals Processed in Fiscal Year”). 

 a. In the “Number of Appeals Closed for Other Reasons” 

column, report the number of appeals which neither 

affirmed nor reversed/remanded (either entirely or 

partially) the FOIA request determination, but rather those 

which the agency closed for other reasons, (e.g., the request 

was in litigation, the appeal was a duplicate appeal, the 

appeal was premature, etc.) 

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 

0 0 0 0 0 

C. (1) Reasons for Denial on Appeal – Number of Times Exemptions Applied 

 Note: If an administrative appeal results in the denial of information 

based on exemptions and also based on a reason or reasons presented 

in Charts C (2) and C (3) below, report that appeal in all applicable 

charts.

1. For each administrative appeal, report all exemptions applied; 

however, count each exemption only once per appeal. 

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 0 0 0 0 0 0 0 0 0 
C. (2) Reasons for Denial on Appeal – Reasons Other than Exemptions 

1. Provide the number of administrative appeals resulting in denial for reasons other than exe

in the eleven columns below. 

C. (3) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C (2) Chart 

1. If you utilized the “Other” column in Section VI, C (2), provide below descriptions of the 

the number of times each reason was relied upon. (The numbers in the “Total” column mu

in the “Other” column from Section VI, C (2).) 

No 

Records 

Records 

Referred 

at Initial 

Request 

Level 

Request 

Withdrawn 

FeeRelated 

Reason 

Records 

not 

Reasonably 

Described 

Improper 

Request 

for Other 

Reasons 

Not 

Agency 

Record 

Duplicate 

Request 

or 

Appeal 

Request 

in 

Litigation

0 0 0 0 0 0 0 0 0 

Description of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times 

Those Reasons Were Relied upon 

TOTAL 

Description # Description # 

0 
C. (4) Response Time for Administrative Appeals 

1. Provide the median, average, and range in number of days to respond to administrative app

 C. (5) Ten Oldest Pending Administrative Appeals 

1. Provide the dates of receipt of the ten oldest pending administrative appeals, and the numb

Median Number 

of Days 

Average Number 

of Days 

Lowest Number 

of Days 

Highest Num

of Days 

0 0 0 0 

Date of Receipt of Ten Oldest Appeals Date None 

None None None None None None None No

Number of Days Pending # None 

None None None None None None None No

10th Oldest 

Appeal 9th 8th 7th 6th 5th 4th 3rd 2nd
VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS

 For charts in Section VII, include response times for only perfected requests. Begin counting days fro

of the perfected request. 

 If using a multi-track processing system, report response times separately for each track, (as exemplif

this Section). If not using a multi-track processing system, at a minimum, report separately requests wgranted expedited processing. 

 Note: Chart A must reflect the response times for all processed perfected requests. Chart B is a sub-s

must reflect the response times only for those perfected requests in which information was granted, e

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

1. Provide the median, average and range in number of days to process all perfected requests

SIMPLE COMPLEX EXPE

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 

AN

o

Component A 

8 8 1 20 2 

Component B AGENCY OVERALL 

8 8 1 20 2 
B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted 

1. Provide the median, average and range in number of days to process all perfected requests 

was granted. (“Granted” refers to full grants and partial grants.) 

SIMPLE COMPLEX EXP

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 

Component A 

8 8 1 20 2 

Component B AGENCY OVERALL 

8 8 1 20 2 
C. Processed Requests – Response Time in Day Increments 

1. Provide the number of perfected requests processed in each of the thirteen designated time in

number of requests processed within 20 days in the first column, the number processed within second column, etc.) a. If using a multi-track system, create separate charts as presented below to report the in

track. If not using a multi-track system, at a minimum create a separate chart for requgranted expedited processing. 

b. Insert the sum of the thirteen columns in the “Total” column to reflect the total numbe

for each of the tracks. 

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 

201-30

Days 

Comp. A 

107 0 0 0 0 0 0 0 0 0 0 

Comp. B AGENCY OVERALL 

107 0 0 0 0 0 0 0 0 0 0 
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 

201-30

Days 

Comp. A 

0 0 0 0 0 0 0 0 0 0 0 

Comp. B AGENCY OVERALL 

0 0 0 0 0 0 0 0 0 0 0 
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 

201-3

Day

Comp. A 

9 0 0 0 0 0 0 0 0 0 0 

Comp. B AGENCY OVERALL 

9 0 0 0 0 0 0 0 0 0 0 
19

D. Pending Requests – All Pending Perfected Requests 

1. Provide the number of perfected requests pending as of the end of 

the fiscal year, and the median and average number of days those 

requests had been pending. If an agency is unable to determine 

whether all of its pending requests are perfected, the agency must 

include all pending requests and include a footnote that it has done 

so. 

E. Pending Requests – Ten Oldest Pending Perfected Requests 

1. Provide the dates of receipt of the ten oldest perfected requests 

pending as of the end of the fiscal year, and the number of days 

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 

Component A 

3 8 8 0 0 0 0 0 0 

Component B 

 

AGENCY 

OVERALL 

3 8 8 0 0 0 0 0 0 

Agency 

Overall 

10th Oldest 

Request and 

Number of 

Days Pending

9

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

Oldest 

Request 

and 

Number 

of Days 

Pending

Date 

Number of 

Days

0 0 0 0 0 0 9/30/08 

3 days 

9/18/08 

19 days 

9/16/08 

12 days 

10th Oldest 

Request and 

Number of 

Days Pending 

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

Oldest 

Request 

and 

Number 

of Days 

Pending 

Component A 

Date 

Number of 

Days 0 

0 0 0 0 0 9/30/08 

3 days 

9/18/08 

19 days 

9/16/08 

12 days 

Component B 

Date 

Number of 

Days

 
20

those requests had been pending. 
21

VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER 

 Section VIII now reflects new mandatory reporting requirements and is no longer an optional 

Section. 

 Provide information for adjudicated requests for expedited processing or adjudicated requests 

for a fee waiver, i.e., requests for expedited processing or requests for a fee waiver which were 

granted or denied. Do not include requests for expedited processing or requests for a fee 

waiver which became moot for various reasons and, as a result, were neither granted nor 

denied.

A. Requests for Expedited Processing 

1. Include requests for expedited processing made both at the initial request level and, 

when applicable, at the administrative appeal level. 

2. Calculating days: Count calendar days starting from the day you receive the 

request for expedited processing through the day you provide notice to the 

requester of your determination to grant or deny the request for expedited 

processing. 

3. Note: The response time portion of this new reporting requirement captures the 

time taken to decide whether to grant or deny a request for expedited processing. 

This does not cover the FOIA requests which have already been granted expedited 

status, placed in the “expedited processing” track, and reported elsewhere in this 

Report. Rather, this new requirement reflects the time taken to make a 

determination (i.e., adjudicate) whether a request for expedited processing should 

be granted or denied. The FOIA requires agencies to determine within ten calendar

days whether a request satisfies the standards for expedited processing. 

 

Number 

Granted 

 

Number 

Denied 

Median 

Number of 

Days to 

Adjudicate 

Average 

Number of 

Days to 

Adjudicate 

Number 

Adjudicated 

Within Ten 

Calendar Days

Component A 

9 0 2 1 9 

Component B 

 

AGENCY 

OVERALL 

9 0 2 1 9 
22

B. Requests for Fee Waiver 

1. Include requests for a waiver of fees made both at the initial request level and, 

when applicable, at the administrative appeal level. 

2. Calculating days: Unlike requests for expedited processing, the period of time to 

adjudicate a fee waiver request does not necessarily begin with receipt of the fee 

waiver request itself, nor does it necessarily conclude with a separate letter sent to 

the requester. As a result, count each working day spent considering whether to 

grant or deny the request for a fee waiver. Do not include additional days that may 

precede consideration of the fee waiver request, e.g., days the request waits in a 

processing queue, processing time which precedes commencement of the 

adjudication of the fee waiver request, etc., or any days that succeed the 

adjudication, such as days spent processing the request after the adjudication is 

made, etc. (Accordingly, establish a tracking procedure that captures the distinct 

number of days taken to adjudicate a fee waiver request.) 

 

 

Number 

Granted 

 

Number 

Denied 

Median 

Number of 

Days to 

Adjudicate 

Average 

Number of 

Days to 

Adjudicate 

Component A 

0 0 0 0 

Component B 

 

AGENCY 

OVERALL 

0 0 0 0 
23

IX. FOIA PERSONNEL AND COSTS 

 Provide the number of “Full-Time FOIA Staff” by adding the number of “Full-Time FOIA 

Employees” and the number of “Equivalent Full-Time FOIA Employees,” as described below. 

Also provide costs expended by the agency both for processing and litigating FOIA requests. 

A. Personnel 

1. A “full-time FOIA employee” is a full-time employee who performs FOIA duties 

100% of the time. The number of such employees should be reported in Column 1 

of the chart below. 

2. An “equivalent full-time FOIA employee” is created by adding together the 

percentages of time dedicated to FOIA duties by employees performing less than 

full-time FOIA duties. Each time 100% is reached, the time expended is counted 

as one “equivalent full-time FOIA employee.” The number of such “equivalent” 

employees should be reported in Column 2 of the chart below. 

3. Employees performing less than full-time FOIA duties are either a) part-time 

employees who perform FOIA duties all, or part, of the time, or b) full-time 

employees who perform FOIA duties less than 100% of the time. 

4. The following examples illustrate how to calculate the number of “equivalent fulltime FOIA employees.” 

a. Example #1: Assume three full-time employees with part-time or 

occasional FOIA duties. If Employee #1 performs FOIA duties 50% of the 

time, and Employees #2 and #3 each perform FOIA duties 25% of the time, 

together they perform 100% (50+25+25) FOIA duties. Therefore, the FOIA 

duties of these three employees are the equivalent of 1 “full-time FOIA 

employee,” because a “full-time FOIA employee” is equal to 100%. This 

component would report “1” in Column 2 of the chart below. 

b. Example #2: Assume six full-time employees with part-time or occasional 

FOIA duties. If Employees #1, #2, #3 and #4 each perform FOIA duties 

50% of the time, Employee #5 performs FOIA duties 75% of the time, and 

Employee #6 performs FOIA duties 10% of the time, together they perform 

285% (50x4 + 75+10) FOIA duties. Because a “full-time FOIA employee” 

is equal to 100%, the FOIA duties of these six employees are the equivalent 

of 2.85 “full-time FOIA employees.” This component would report “2.85” 

in Column 2 of the chart below. 

c. Example #3: Assume Employee #1 is a part-time employee who works 

twenty hours/week and performs FOIA duties half of his time. As a parttime employee who works twenty hours/week, the most FOIA work 

Employee #1 could perform is 50%. Because Employee #1 performs FOIA 

duties only half of his already part-time schedule, he performs 25% FOIA 

duties (i.e., half of the 50% maximum). Assume Employee #2 is a part-time 

employee who works thirty-two hours/week and performs FOIA duties all
24

of her time. As a part-time employee who works thirty-two hours/week, the 

most FOIA work Employee #2 could perform is 80%. Because Employee 

#2 performs FOIA duties all of her time, she performs 80% FOIA duties. 

Together, the two employees perform 105% (25+80) FOIA duties. 

Therefore, their combined FOIA duties are the equivalent of 1.05 “full-time 

FOIA employees,” and this component would report “1.05” in Column 2 of 

the chart below. 

B. Costs 

1. Processing Costs: Add together all costs expended by the agency for processing 

FOIA requests at the initial request and administrative appeal levels. Include 

salaries of FOIA personnel, overhead, and any other FOIA-related expenses. (An 

agency’s budget will often be a useful resource for this information.) 

 2. Litigation Costs: Add together all costs expended by the agency in litigating FOIA 

requests. Include salaries of personnel involved in FOIA litigation, litigation 

overhead, and any other FOIA litigation-related expenses. (As with Processing 

Costs, an agency’s budget will often be a useful resource for this information.) 

PERSONNEL COSTS 

Number of 

“Full-Time 

FOIA 

Employees” 

Number of 

“Equivalent 

Full-Time 

FOIA 

Employees” 

Total 

Number of 

“Full-Time 

FOIA Staff”

(The sum 

of Columns 

1 & 2)

Processing 

Costs 

(At initial 

request and 

appeal levels)

LitigationRelated 

Costs 

Total 

Costs 

Component A 

0 0.55 0.55 $61,000 0 $61,000 

Component B 

 

AGENCY 

OVERALL 

0 0.55 0.55 $61,000 0 $61,000 

Column 1 Column 2 
25

X. FEES COLLECTED FOR PROCESSING REQUESTS 

 Report the dollar amount of fees collected from FOIA requesters for processing their requests. 

Also report the percentage of total processing costs (from the “Processing Costs” column in 

the Section IX chart) that those fees represent. In calculating the amount of fees collected, 

include fees received from a FOIA requester for search, review, document duplication, and any 

other direct costs permitted by agency regulations. 

Total Amount of Fees 

Collected Percentage of Total Costs 

Component A 

$75.00 0.12% 

Component B 

 

AGENCY 

OVERALL 

$75.00 0.12% 

XI. FOIA REGULATIONS 

 Agencies must provide an electronic link to their FOIA regulations, including their fee 

schedule.
26

XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS 

A. Backlogs of FOIA Requests and Administrative Appeals 

1. Provide below the number of FOIA requests and administrative appeals that were 

pending beyond the statutory time period as of the end of the fiscal year. (Such 

requests and appeals are considered “backlogged.”) 

2. Note: The statutory time period is ordinarily twenty working days from receipt of a 

perfected request, see 5 U.S.C. § 552(a)(6)(A)(i), but may be extended up to ten 

additional working days when “unusual circumstances” are present, see id. 

§ 552(a)(6)(B)(i). 

 

3. Discuss/explain the backlog here (optional). 

Number of Backlogged 

Requests as of End of 

Fiscal Year 

Number of Backlogged 

Appeals as of End of 

Fiscal Year 

Component A 

0 0 

Component B 

 

AGENCY 

OVERALL 

0 0 
27

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

 The consultation portions of the Annual Report require information about 

 consultations received from other agencies, not sent to other agencies. 

1. Provide the number of consultations received from other agencies, those processed, 

and those pending as described in Columns 1 through 4. 

2. The number in Column 1 must match the number of “Consultations Received from 

Other Agencies That Were Pending at Your Agency as of End of the Fiscal Year” 

from last year’s Annual Report. 

3. The sum of Columns 1 and 2 minus the number in Column 3 must equal the 

number in Column 4. 

 Column 1 Column 2 Column 3 Column 4 

 

Number of 

Consultations Received 

from Other Agencies 

that Were Pending at 

Your Agency 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 

Your Agency During 

the Fiscal Year

Number of 

Consultations Received 

from Other Agencies 

that Were Pending at 

Your Agency as of 

End of the Fiscal Year 

Component A 

 0 0 0 0 

Component B 

 

 

AGENCY 

OVERALL

 0 0 0 0 
28

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

Agencies and Pending at Your Agency 

1. Provide the dates of receipt of the ten oldest consultations received from other 

agencies pending at your agency as of the end of the fiscal year. 

10th Oldest 

Consultation 

and Number 

of Days 

Pending 

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

Oldest 

Consultation 

and Number 

of Days 

Pending 

Component A 

Date 

Number of 

Days 0 

0 0 0 0 0 0 0 0 

Component B 

Date 

Number of 

Days

 

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

Date 

Number of 

Days

0 0 0 0 0 0 0 0 0 
29

D. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests 

Received, Processed, and Backlogged 

 

1. Provide the number of requests received and the number of requests processed 

during the fiscal year from last year’s Annual Report and the number of those 

received and processed during the fiscal year from the current Annual Report. 

2. The numbers in Columns 1 and 2 must match the “Number of Requests Received 

in Fiscal Year” from Section V, A of the Annual Report from last year and from 

this year respectively. The numbers in Columns 3 and 4 must match the “Number 

of Requests Processed in Fiscal Year” from Section V, A of the Annual Report 

from last year and from this year respectively. 

 

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 

Component A 

91 107 91 107 

Component B 

 

AGENCY 

OVERALL 

91 107 91 107 

Column 1 Column 2 Column 3 Column 4 
30

3. Starting with the Annual Report for Fiscal Year 2009, provide the number of 

backlogged requests as of the end of the fiscal year from the previous Annual 

Report and the number of backlogged requests as of the end of the fiscal year from 

the current Annual Report. 

a. The numbers in Columns 1 and 2 must match the “Number of Backlogged 

Requests as of End of Fiscal Year” from Section XII, A of the previous 

Annual Report and of the current Annual Report respectively. 

Number of Backlogged Requests 

as of End of the Fiscal Year from 

Previous Annual Report 

Number of Backlogged Requests 

as of End of the Fiscal Year from 

Current Annual Report 

Component A 

0 0 

Component B 

 

AGENCY 

OVERALL 

0 0 

Column 1 Column 2 
31

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

Report – Appeals Received, Processed, and Backlogged 

1. Provide the number of administrative appeals received and the number of 

administrative appeals processed during the fiscal year from last year’s Annual 

Report and the number of those received and processed during the fiscal year from 

the current Annual Report. 

2. The numbers in Columns 1 and 2 must match the “Number of Administrative 

Appeals Received in Fiscal Year” from Section VI, A of the Annual Report from 

last year and from this year respectively. The numbers in Columns 3 and 4 must 

match the “Number of Administrative Appeals Processed in Fiscal Year” from 

Section VI, A of the Annual Report from last year and from this year respectively. 

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 

Component A 

2 0 2 0 

Component B 

 

AGENCY 

OVERALL 

2 0 2 0 

Column 1 Column 2 Column 3 Column 4 
32

3. Starting with the Annual Report for Fiscal Year 2009, provide the number of 

backlogged administrative appeals as of the end of the fiscal year from the previous 

Annual Report and the number of backlogged administrative appeals as of the end 

of the fiscal year from the current Annual Report. 

a. The numbers in Columns 1 and 2 must match the “Number of Backlogged 

Appeals as of End of Fiscal Year” from Section XII, A of the previous 

Annual Report and of the current Annual Report respectively. 

F. Discussion of Other FOIA Activities (Optional) 

1. Provide here any further information about the agency’s efforts to improve FOIA 

administration. 

Column 1 Column 2 

Number of Backlogged Appeals 

as of End of the Fiscal Year from 

Previous Annual Report 

Number of Backlogged Appeals as 

of End of the Fiscal Year from 

Current Annual Report 

Component A 

0 0 

Component B 

 

AGENCY 

OVERALL 

0 0 
33

Submitting the Annual Report

All agencies are required by the FOIA to submit their Annual FOIA Reports to the Department of Justice 

by no later than February 1 of each year. The FOIA also requires agencies to make their reports available 

electronically. The Department of Justice, in turn, is required to make all agency Annual FOIA Reports 

available at a single access point on the Web. 

Upon completion of its Annual FOIA Report, each agency should first forward the Report to the Office of 

Information and Privacy (OIP) for its review prior to posting it electronically. Reports should be 

submitted to OIP no later than January 5th of each year to permit adequate review time. Once cleared by 

OIP, the Annual Report can be posted on the agency’s FOIA Web site and it will also be included on the 

Department of Justice’s centralized Annual FOIA Report link on the Web. As agencies post their new 

Report each year, they should maintain their previous Reports on their Web site for a period of at least 

seven years. 

For questions about the Report, contact Bertina Adams at 202-514-3642.