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2010 Annual Report Guidance Outline

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 
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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. Provide a brief description of why some requests are not granted and an overview of certain general categories of the 

agency’s records to which the FOIA exemptions apply.

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 representatives 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 party providing notice to also 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 requests under FOIA as based on Exemption 6, involving matters of personal privacy, and Exemptions 4 and 

5 pertaining to the mediator privilege.

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.
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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., “firstparty” 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.)
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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.
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o. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an 

agency has taken final action in all respects.

p. Range in Number of Days – the lowest and highest number of days to process requests or administrative 

appeals. 

q. Time Limits – the time period in the statute for an agency to respond to a FOIA request (ordinarily twenty

working days from receipt of a perfected FOIA request).

3. Include the following concise descriptions of the nine FOIA exemptions:

a. Exemption 1: classified national defense and foreign relations information

b. Exemption 2: internal agency rules and practices

c. Exemption 3: information that is prohibited from disclosure by another federal law

d. Exemption 4: trade secrets and other confidential business information

e. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges

f. Exemption 6: information involving matters of personal privacy

g. Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production 

of those records (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive 

a person of a right to a fair trial or an impartial adjudication, (C) could reasonably be expected to constitute an 

unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose the identity of a 

confidential source, (E) would disclose techniques and procedures for law enforcement investigations or 

prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or (F) could 

reasonably be expected to endanger the life or physical safety of any individual

h. Exemption 8: information relating to the supervision of financial institutions
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i. Exemption 9: geological information on wells

IV. EXEMPTION 3 STATUTES

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.

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.

Statute Type of Information 

Withheld Case Citation

Number of Times

Relied upon 

per Component

Total Number of 

Times Relied upon 

by Agency

N/A N/A N/A N/A 0
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3. The sum of Columns 1 and 2 minus the number in Column 3 must equal the number in Column 4.

B. 

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 

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

0 142 141 1

AGENCY 

OVERALL

0 142 141 1

Column 1 Column 2 Column 3 Column 4
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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”).

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 

Records

All Records 

Referred to 

Another 

Component 

or Agency

Request 

Withdrawn

 

FeeRelated 

Reason

Records 

not 

Reasonably 

Described

Improper 

FOIA 

Request 

for Other 

Reason

 

Not 

Agency 

Record

Duplicate 

Request

 

Other

*Explain 

in chart 

below

TOTAL

68 1 0 31 1 6 1 3 0 24 6 0 141

AGENCY 

OVERALL

68 1 0 31 1 6 1 3 0 24 6 0 141
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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

N/A Description # 0
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VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUEST

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. 

 Ex.

1

Ex.

2

Ex. 

3

Ex. 

4

Ex. 

5

Ex. 

6

Ex. 

7(A)

Ex. 

7(B)

Ex. 

7(C)

Ex. 

7(D)

Ex. 

7(E)

Ex. 

7(F)

Ex.

8

Ex.

9

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

AGENCY 

OVERALL

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

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 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 1 1 0

Column 1 Column 2 Column 3 Column 4
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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 1 0 0 0 0 0 0 0 0

0 0 0 0 0 1 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.

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

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

 

Appeal 

Based Solely 

on Denial of 

Request for 

Expedited 

Processing

Other

*Explain 

in chart 

below

0 0 0 0 0 0 0 0 0 0 0
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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).)

Description of “Other” Reasons for Denial on 

Appeal from Chart C (2) & Number of Times 

Those Reasons Were Relied upon

TOTAL

Description # 0

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

10 10 10 10
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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 

Receipt of

Ten Oldest 

Appeals

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of 

Days 

Pending

# 0 0 0 0 0 0 0 0 0

10th Oldest 

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

Oldest 

Appeal
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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, in either full or in part.

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 EXPEDITED PROCESSING

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

6 6 1 21 0 0 0 0 2 2 1 2

AGENCY 

OVERALL

6 6 1 21 0 0 0 0 2 2 1 2
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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

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

6 6 1 21 0 0 0 0 2 2 1 2

AGENCY 

OVERALL

6 6 1 21 0 0 0 0 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.) 
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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 

Days

21-40 

Days

41-60 

Days

61-80 

Days

81-100 

Days

101-120 

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+ 

Days TOTAL 

141 1 0 0 0 0 0 0 0 0 0 0 0 142

AGENCY 

OVERALL

141 1 0 0 0 0 0 0 0 0 0 0 0 142
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Complex Requests

1-20 

Days

21-40 

Days

41-60 

Days

61-80 

Days

81-100 

Days

101-120 

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+ 

Days TOTAL 

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

AGENCY 

OVERALL

0 0 0 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

201-300 

Days

301-400 

Days

401+ 

Days

TOTA

L 

40 0 0 0 0 0 0 0 0 0 0 0 0 40

AGENCY 

OVERALL

40 0 0 0 0 0 0 0 0 0 0 0 0 40
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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. 

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

1 15 15 0 0 0 0 0 0

AGENCY 

OVERALL

1 15 15 0 0 0 0 0 0

Agency 

Overall

10th Oldest 

Request and 

Number of 

Days Pending

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

Oldest 

Request 

and 

Number 

of Days 

Pending
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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.

Date

Number of 

Days

0 0 0 0 0 0 0 0 10

10th Oldest 

Request and 

Number of 

Days Pending

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

Oldest 

Request 

and 

Number 

of Days 

Pending

Date

Number of 

Days

N/A N/A N/A N/A N/A N/A N/A N/A 10
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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

18 8 2 2 18

AGENCY 

OVERALL

18 8 2 2 18
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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

0 0 0 0

AGENCY 

OVERALL

0 0 0 0
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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 for both 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 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 
24

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.) 

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

0 0.55 0.55 $65,000 0 $65,000

AGENCY 

OVERALL 0 0.55 0.55 $65,000 0 $65,000
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

$23.00 0.04%

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). 

Column 1 Column 2

Number of Backlogged Requests as 

of End of Fiscal Year

Number of Backlogged 

Appeals as of End of Fiscal 

Year

0 0

AGENCY OVERALL 0 0
26

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. 

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 

0 1 1 0

AGENCY 

OVERALL 0 1 1 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.

Column 1 Column 2 Column 3 Column 4
27

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

N/A N/A N/A N/A N/A N/A N/A N/A N/A

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

N/A N/A N/A N/A N/A N/A N/A N/A N/A
28

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.

Column 1 Column 2 Column 3 Column 4

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

133 142 133 141

AGENCY 

OVERALL 133 142 133 141

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.

Column 1 Column 2
29

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

0 0

AGENCY

OVERALL 0 0
30

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.
31

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

0 1 0 1

AGENCY

OVERALL

0 1 0 1

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.

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

0 0

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.

Column 1 Column 2 Column 3 Column 4