OIP Guidance May 2008 2 1 2009-02-02T16:40:00Z 2010-06-29T19:32:00Z 2010-06-29T19:32:00Z 1 5492 31311 260 73 36730 11.0000 Annual Report Guidance Outline & Template A ll 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, t itle, address, and telephone number of person(s) to be cont acted with questions about the R eport. Renee Barley FOIA Officer Office of the General Counsel Court Services and Offender Supervision Agency 633 Indiana Avenue, NW Room 1220 Washington , DC 20004 (202) 220-5355 2 . Provide an electronic link for access to the Report on the agency Web site. www.csosa.gov Explain h ow to obtain a copy of the R eport in paper form. Contact the FOIA Officer at the address provided above. II. MAKING A FOIA REQUEST 1 . Provide n ames, addresses, and telephone numbers of all individual agency components that receive FOIA requests. See information provided in “Basic Information” above. 2 . Provide a b rief 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. III. Acronyms , Definitions, AND EXEMPTIONS 1 . Provide any agency-specific acronyms or terms used in this Report . 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 qu antity 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 . Com ponent – 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 . F OIA R equest – 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 top ic of interest. FOIA request s also include requests made b y 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 FO I A a s 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 A ct 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 P rocessing – a s ystem in which simple requests r equiring relatively minimal review are placed in one processing track and more voluminous and complex requests are plac ed 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 P rocessing – an agency will process a FOIA request on an e xpedited basis when a requester satisfies the requirements for expedited pr ocessing as set forth in the statute and in agency regulations. ii . Simple Re quest – 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 R equest – 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 Gr ant /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 o r 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 u pon to Withhold Information 1 . List all Exemption 3 statutes relied upon to withhold information a nd 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 uph eld the use of the statute by providing a citation to a court decision. Statute Type of Information Withheld Case Citation Number of Times Relied u pon p er Component T otal Number of Times Relied u pon by Agency 42 USC 290dd-3 Drug treatment None CSOSA 2 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 Re port . 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 i n Fiscal Year Number of Requests Pending a s of End of Fiscal Year CSOSA 38 654 624 68 AGENCY OVERALL 38 654 624 68 PAGE 1 PAGE 34 B. (1) Disposition of FOIA R equests – All Processed Requests 1. Provide the num ber 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 t han 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 t han Exemptions No Records All Records Referred to Another Component or Agency Request Withdrawn Fee-Related Reason Records not Reasonably Described Improper FOIA Request for Other Reason Not Agency Record Duplicate Request Other *Explain in chart below TOTAL CSOSA 18 556 0 0 0 50 0 0 0 0 0 0 624 AGENCY OVERALL 18 556 0 0 0 50 0 0 0 0 0 0 624 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” c olumn in Section V, B (1), provide below de scriptions of the “other” reasons for full denials and the number of times each reason was relied upon. ( The numbers i n the “T otal ” c olumn must match the numbers in the “ Other ” column from Section V, B (1). ) Component Description of “ Other ” Reasons for Denial s from Chart B (1) & Number of Times Those Reasons Were Relied u pon T OTAL CSOSA Description # Description # 0 Description # Description # B. (3) Dis position of FOIA Requests – Number of Times Exemptions A pplied 1. For each request, report all exemptions applied; h owever , count each exemption only once per request. E xample : 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, c ount Ex emptions 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 CSOSA 0 10 2 1 18 560 3 0 560 2 16 169 0 0 AGENCY OVERALL 0 10 2 1 18 560 3 0 560 2 16 169 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 a s 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 i n Fiscal Year Number of Appeals Pending a s of End of Fiscal Year 0 1 1 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” c olumn 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 affirm ed n or reverse d /remand ed ( 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, t he 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 1 0 0 1 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 a nd also based on a reason or reasons presented in C hart s 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 1 0 0 0 0 0 C . (2) Reasons for Denial on Appeal – Reasons Other t han Exemptions 1. Provide the number of administrative a ppeals r esulting in denial for reasons o ther than exemptions , as described in the eleven columns below . No Re cords Records Referred at Initial Request Level Request Withdrawn Fee-Related Reason Records not Reasonably Described Improper Request for Other Reasons Not Agency Record Duplicate Request or Appeal Request in Litigation Appeal Based Solely on Denial of Request for Expedited Processing Other * Explain in chart below 0 0 0 0 0 0 0 0 0 0 0 C. (3 ) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C (2) Chart Description of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied u pon TOTAL Description # Descrip tion # 0 1. If you uti lized 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 “T otal” 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 12 15 19 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 Number of Days Pending # 10 th Oldest Appeal 9 th 8 th 7 th 6 th 5 th 4 th 3 rd 2 nd 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 r a nge in number of days to p rocess a ll perfected r equests. 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 CSOSA Agency tracking system did not capture new reporting requirements. System will be upgraded to capture this information for future Annual Reports. 18 53 0 0 0 0 AGENCY OVERALL 18 53 0 Processed Requests – Response Time for Perfected Requests in W hich Information Was Granted 1. P rovide the median, average and rang e in number of days to process all perfected requests in w hich information was g r anted . (“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 CSOSA Agency tracking system did not capture new reporting requirements. System will be upgraded to capture this information for future Annual Reports. AGENCY OVERALL C . Processed Requests – Response Time in Day Increments 1. P rovide the number of perfected requests processed in each of th e 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 mu lti-track system, at a minimum create a separate chart for requests which have been granted expedited processing. b. In sert the sum of the thirteen columns in the “Total” column to reflect the total number of req uests 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 CSOSA Agency tracking system did not capture new reporting requirements. System will be upgraded to capture this information for future Annual Reports. AGENCY OVERALL 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 CSOSA Agency tracking system did not capture new reporting requirements. System will be upgraded to capture this information for future Annual Reports. AGENCY OVERALL Requests G ranted Expedited Processing 1-20 Days 21-40 Days 41-60 Days 61-80 Days 81-100 Days 101-120 Days 121-140 Days 141-160 Days 161-180 Days 181-200 Days 201-300 Days 301-400 Days 401+ Days TOTAL CSOSA N/A AGENCY OVERALL N/A D. Pending Requests – All Pending Perfected Requests Simple Complex Expedited PROCESSING Number Pending Median Number of Days Average Number of Days Number Pending Median Number of Days Average Number of Days Number Pending Median Number of Days Average Number of Days CSOSA 68 AGENCY Agency tracking system did not capture new reporting requirements. System will be upgraded to capture this information for future Annual Reports. OVERALL 68 1. Provide the number of perfected requests pending as of the end of the fiscal year, and the median and average nu mber 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. Agency Overall 10 th Oldest Request and Number of Days Pending 9 th 8 th 7 th 6 th 5 th 4 th 3 rd 2 nd Oldest Request and Number of Days Pending Date Number of Days 10 th Oldest Request and Number of Days Pending 9 th 8 th 7 th 6 th 5 th 4 th 3 rd 2 nd Oldest Request and Number of Days Pending CSOSA Date Number of Days 10/8/08 62 10/8/08 62 10/1/08 62 9/26/08 65 9/26/08 65 9/26/08 65 9/26/08 65 9/12/08 75 9/12/08 75 Pending Requests – Ten Oldest Pending Perfected Requests 1. Provide the dat es of receipt of the ten oldest per fected r equests pending as of the end of the fiscal year , and the number of days those requests had been pending . VIII . RE QUESTS 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