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 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 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. 

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

i. Exemption 9: geological information on wells

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 #
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 one column to report each request. 

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

than Exemptions” columns only if the request cannot be counted in one of the first 

three columns.
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 

 

No 

Reco

rds

All 

Reco

rds 

Refer

red 

to 

Anot

her 

Com

pone

nt 

or 

Agen

cy

Requ

est 

With

draw

n

 

FeeRelat

ed 

Reas

on

Reco

rds 

not 

Reas

onabl

y 

Descr

ibed

Impr

oper 

FOIA 

Requ

est 

for 

Othe

r 

Reas

on

 

Not 

Agen

cy 

Reco

rd

Dupli

cate 

Requ

est

 

Othe

r

*Exp

lain 

in 

chart 

below

TOT

AL

Comp. 

A 81 2 0 13 0 1 3 1 0 6 0 0 107

Comp. 

B

AGEN

CY 

OVER

ALL

81 2 0 13 0 1 3 1 0 6 0 0 107

3. The numbers in the “Total” Column on the right must match the numbers in 

Section V, A, Column 3 (“Number of Requests Processed in Fiscal Year”).

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).)

 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
Description #

Component B

Description #

Description #

None

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. 

 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

Com

pone

nt A

0

0

0 0 0

1

0 0

0

0 0 0 0 0

 

Com

pone

nt B 

AG

EN

CY 

OV

ER

ALL

0 0

0 0

0 1 0 0 0 0 0 0 0 0

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.

Column 1 Column 2 Column 3 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. 

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 
• 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 exemptions, as described in the eleven columns below.

No 

Recor

ds

Recor

ds 

Referr

ed at 

Initial 

Reque

st 

Level

Reque

st 

Withd

rawn

FeeRelate

d 

Reaso

n

Recor

ds 

not 

Reaso

nably 

Descri

bed

Impro

per 

Reque

st for 

Other 

Reaso

ns

Not 

Agenc

y 

Recor

d

Duplic

ate 

Reque

st or 

Appea

l

Reque

st in 

Litigat

ion

 

Appea

l 

Based 

Solely 

on 

Denial 

of 

Reque

st for 

Exped

ited 

Proces

sing

Other

*Expla

in 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

Description #

Description #

0

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

descriptions of the “other” reasons 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 VI, C (2).)
C. (4) Response Time for Administrative Appeals

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

administrative appeals.

Median Number of 

Days

Average Number of 

Days

Lowest Number of 

Days

Highest Number of 

Days

0 0 0 0

C. (5) Ten Oldest Pending Administrative Appeals 

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

and the number of days pending.

Date of 

Receip

t of 

Ten 

Oldest 

Appeal

s

Date

None None None None None None None None None None

Numbe

r of 

Days 

Pendin

g

# None None None None None None None None None None

10th

Oldest 

Appeal

9

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

Appeal

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 

from the date of receipt of the perfected request. 

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

exemplified in the charts in this Section). If not using a multi-track processing system, at a 

minimum, report separately requests which have been granted expedited processing. 

• Note: Chart A must reflect the response times for all processed perfected requests. Chart B is a 

sub-set of Chart A and must reflect the response times only for those perfected requests in which 

information was granted, either in full or in part.

• 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 Expedited processing

Medi

an 

Num

ber 

of 

Days

Aver

age 

Num

ber 

of 

Days

Lowe

st 

Num

ber 

of 

Days

High

est 

Num

ber 

of 

Days

Medi

an 

Num

ber 

of 

Days

Aver

age 

Num

ber 

of 

Days

Lowe

st 

Num

ber 

of 

Days

High

est 

Num

ber 

of 

Days

Medi

an 

Num

ber 

of 

Days

Aver

age 

Num

ber 

of 

Days

Lowe

st 

Num

ber 

of 

Days

High

est 

Num

ber 

of 

Days

Com

pone

nt A

8 8 1 20 2 2 1 2

Com

pone

nt B

AGE

NCY 

OVE

RAL

L

8 8 1 20 2 2 1 2

•

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 in which information was granted. (“Granted” refers to full 

grants and partial grants.) 

Simple Complex Expedited 

PROCESSING

Medi

an 

Num

ber 

of 

Days

Aver

age 

Num

ber 

of 

Days

Lowe

st 

Num

ber 

of 

Days

High

est 

Num

ber 

of 

Days

Medi

an 

Num

ber 

of 

Days

Aver

age 

Num

ber 

of 

Days

Lowe

st 

Num

ber 

of 

Days

High

est 

Num

ber 

of 

Days

Medi

an 

Num

ber 

of 

Days

Aver

age 

Num

ber 

of 

Days

Lowe

st 

Num

ber 

of 

Days

High

est 

Num

ber 

of 

Days

Com

pone

nt A

8 8 1 20 2 2 1 2

Com
Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Num

ber 

of 

Days

Com

pone

nt A

8 8 1 20 2 2 1 2

Com

pone

nt B

AGE

NCY 

OVE

RAL

L

8 8 1 20 2 2 1 2

C. Processed Requests – Response Time in Day Increments

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

designated time increments (i.e., report the number of requests processed within 20 

days in the first column, the number processed within 21-40 days in the second 

column, etc.) 

a. If using a multi-track system, create separate charts as presented 

below to report the information for each track. If not using a multi-track 

system, at a minimum create a separate chart for requests which have been 

granted expedited processing. 

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

reflect the total number of requests processed for each of the tracks.

Simple Requests

1-20 

Day

s

21-4

0 

Day

s

41-6

0 

Day

s

61-8

0 

Day

s

81-1

00 

Day

s

101-

120 

Day

s

121-

140 

Day

s

141-

160 

Day

s

161-

180 

Day

s

181-

200 

Day

s

201-

300 

Day

s

301-

400 

Day

s

401+ 

Day

s

TOT

AL 

Com

p. A 107 0 0 0 0 0 0 0 0 0 0 0 0 107

Com

p. B

AG

EN

CY 

OV

ER

ALL

107 0 0 0 0 0 0 0 0 0 0 0 0 107

Complex Requests

1-20 

Day

s

21-4

0 

Day

s

41-6

0 

Day

s

61-8

0 

Day

s

81-1

00 

Day

s

101-

120 

Day

s

121-

140 

Day

s

141-

160 

Day

s

161-

180 

Day

s

181-

200 

Day

s

201-

300 

Day

s

301-

400 

Day

s

401+ 

Day

s

TOT

AL 

Com

p. A 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Com

B
1-20 

Day

s

21-4

0 

Day

s

41-6

0 

Day

s

61-8

0 

Day

s

81-1

00 

Day

s

101-

120 

Day

s

121-

140 

Day

s

141-

160 

Day

s

161-

180 

Day

s

181-

200 

Day

s

201-

300 

Day

s

301-

400 

Day

s

401+ 

Day

s

TOT

AL 

Com

p. A 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Com

p. B

AG

EN

CY 

OV

ER

ALL

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

Requests Granted Expedited Processing

1-20 

Day

s

21-4

0 

Day

s

41-6

0 

Day

s

61-8

0 

Day

s

81-1

00 

Day

s

101-

120 

Day

s

121-

140 

Day

s

141-

160 

Day

s

161-

180 

Day

s

181-

200 

Day

s

201-

300 

Day

s

301-

400 

Day

s

401+ 

Day

s

TOT

AL 

Com

p. A 9 0 0 0 0 0 0 0 0 0 0 0 0 9

Com

p. B

AG

EN

CY 

OV

ER

ALL

9 0 0 0 0 0 0 0 0 0 0 0 0 9

D. Pending Requests – All Pending Perfected Requests

Simple Complex Expedited 

PROCESSING

Numbe

r 

Pendin

g

Median 

Numbe

r of 

Days

Averag

e 

Numbe

r of 

Days

Numbe

r 

Pendin

g

Median 

Numbe

r of 

Days

Averag

e 

Numbe

r of 

Days

Numbe

r 

Pendin

g

Median 

Numbe

r of 

Days

Averag

e 

Numbe

r of 

Days

Compo

nent A 3 8 8 0 0 0 0 0 0

Compo

nent B

AGEN

CY 

OVER

ALL

3 8 8 0 0 0 0 0 0

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. 

Agenc

y 

Overa

ll

10th

Oldest 

Request 

and 

Numbe

r of 

Days 

Pendin

g

9

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

Oldest 

Request 

and 

Numbe

r of 

Days 

Pendin

g

Date

Numbe

r of 

Days

0 0 0 0 0 0

9/30/0

8

3 days

9/18/0

8

19 

days

9/16/0

8

12 

days

10th

Oldest 

Request 

and 

Numbe

r of 

Days 

Pendin

g

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

Oldest 

Request 

and 

Numbe

r of 

Days 

Pendin

g

Comp

onent 

A

Date

Numbe

r of 

Days

0 0 0 0 0 0

9/30/0

8

3 days

9/18/0

8

19 

days

9/16/0

8

12 

days

Comp

onent 

B

Date

Numbe

r of 

Days

• 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 those requests had been 

pending.
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

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

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) parttime 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 full-time 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 

part-time 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

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.) 

PERSONNEL Costs 

Number of 

“Full-Time 

FOIA 

Employees”

Number of 

“Equivalen

t 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
p

B

AGENCY 

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

Column 1 Column 2

 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.)

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.

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). 

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

•

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.

• Provide the number of consultations received from other agencies, those processed, and 

those pending as described in Columns 1 through 4. 

• 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.

• 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 

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 

Consult

ation 

and 

Numbe

r of 

Days 

Pendin

g

9

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

Oldest 

Consult

ation 

and 

Numbe

r of 

Days 

Pendin

g

Comp

onent 

A

Date

Numbe

r of 

Days

0 0 0 0 0 0 0 0 0

Comp

onent 

B

Date

Numbe

r of 

Days
Comp

onent 

B

Numbe

r of 

Days

Agenc

y 

Overa

ll

10th

Oldest 

Consult

ation 

and 

Numbe

r of 

Days 

Pendin

g

9

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

Oldest 

Consult

ation 

and 

Numbe

r of 

Days 

Pendin

g

Date

Numbe

r of 

Days

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

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
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
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.

Column 1 Column 2 Column 3 Column 4

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

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.

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

F. Discussion of Other FOIA Activities (Optional)

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

administration.

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.