NATIONAL SCIENCE FOUNDATIONFREEDOM OF INFORMATION ACT REPORTFOR OCTOBER 1, 2007 THROUGH SEPTEMBER 30, 2008I. BASIC INFORMATION:A. Point of Contact:Leslie A. Jensen, NSF FOIA OfficerOffice of the General Counsel4201 Wilson Blvd, Room 1265Arlington, VA 22230(703) 292-5065B. Electronic Address for report: The FY 2008 FOIA Report for the National Science Foundation (NSF) will be available as one of the choices under the References section of the FOIA page on the NSF web site: http://www.nsf.gov/policies/foia.jsp. C. Paper Copies of report: Paper copies can be requested from the Point of Contact listed above.II. HOW TO MAKE A FOIA REQUEST:NSF policy is to make the fullest possible disclosure of information and records to any requester, without unnecessary expenses or delay. NSF’s “Public Information Handbook” is available electronically as one of the choices under the References section of the FOIA page on the Foundation’s web site: http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf07135.There are four basic agency requirements for making a FOIA request:(1) request must be in writing (mailed correspondence, fax, or email) and include the requester’s mailing address;(2) the envelope and letter content must identify the request as a FOIA request;(3) the request must provide enough detail to allow identification of the requested records; and(4) the request must include agreement to pay fees chargeable under NSF’s fee schedule.A. Agency Components: Requests for records of the agency should be sent to the NSF FOIA Officer, Office of the General Counsel, Room 1265, 4201 Wilson Blvd, Arlington, VA 22230. Phone: 703-292-5065, Fax: 703-292-9041. Email: foia@nsf.gov. Requests for documents maintained by the Office of the Inspector General should be addressed directly to the OIG, FOIA, Room 1135, 4201 Wilson Blvd, Arlington, VA 22230. Phone: 703-292-7100. Email: oig@nsf.govB. NSF response-time ranges:The agency generally manages to respond to FOIA requests within three to four weeks for records that can be found at the agency (allowing for time to contact submitters of potentially proprietary information). Response times over 20 working days are generally the result of difficulty in contacting the submitter for clearance, need to track and retrieve documents from off-site storage at the Federal Records Center, voluminous number of potentially responsive records, or need to consult among agency components.C. Why some requests are not granted:Requests for records may not be granted if the records do not exist; if records have been transferred to the ownership of the National Archives and Records Administration (NARA); if records contain predecisional information that if released would cause harm to NSF’s decision-making processes; if records contain personal and/or proprietary information; if records contain information compiled for law enforcement purposes; or if the requester asked for information specifically prohibited from disclosure by other statutes.III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS: Agency-specific terms and acronyms: NSF - National Science Foundation – The National Science Foundation was established by Congress to promote progress in science and engineering. The agency does so primarily through grants and cooperative agreements with colleges, universities, K-12 school systems, businesses, information science organizations and other research institutions throughout the U.S. Basic terms: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. 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.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.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. 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.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.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 requestors 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.)Full Grant – an agency decision to disclose all records in full in response to a FOIA request.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.Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.Multi-Track Processing – a system in which simple requests requiring relative 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 satisfied the requirement 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.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.Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.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.Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects. Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.Time Limits – the time period in the statue for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request). 3. Nine FOIA exemptions:a. Exemption 1: classified national defense and foreign relations informationb. Exemption 2: internal agency rules and practicesc. Exemption 3: information that is prohibited from disclosure by another federal lawd. Exemption 4: trade secrets and other confidential business informatione. Exemption 5: inter-agency or intra-agency communications that are protected by legal privilegesExemption 6: information involving matters of personal privacyExemption 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 be reasonably be expected to endanger the life or physical safety of any individual.Exemption 8: information relating to the supervision of financial institutions.Exemption 9: geological information on wells.IV. EXEMPTION 3 STATUTES:Exemption 3 statutes relied on by NSF during current fiscal year:During Fiscal Year 2008 NSF used Exemption (b)(3) in 7 instances: Exemption 3 was applied in 7 instances to withhold contractor proposal information not set forth or incorporated by reference into the final contract, in accordance with the changes made to 41 U.S.C. 253b, section 303B, by the National Defense Authorization Act of 1997 (Public Law 104-201).Statute Rule41 U.S.C. § 253bType of Information WithheldBusiness Proposal Documents not incorporated in contractsCase CitationHornbostle v. U.S. Dept. of Interior, 305 F. Supp. 2d 21 (D.D.C. 2003)Exemption 3 was applied in 18 instances to withhold patent pending applications in accordance with 35 U.S.C. § 122.Statute Rule35 U.S.C. § 122Type of Information WithheldConfidential status of applications; publication of patent applicationsCase CitationIrons and Sears v. Dann, 606 F.2d 1215, 1220 (D.C. Cir. 1979), cert. denied., 444 U.S. 1075 (1980); Lee Pharmaceuticals v. Keeps, 577 F.2d 610, 615-617 (9th Cir. 1978), cert. denied, 439 U.S. 1073 (1979)StatuteType of Information WithheldCase CitationNumber of Times Relied upon per ComponentTotal Number of Times Relied upon by Agency41 U.S.C. § 253bBusiness Proposal Documents not incorporated in contractsHornbostle v. U.S. Dept. of Interior, 305 F. Supp. 2d 21 (D.D.C. 2003)OIG: 1NSF: 6735 U.S.C. § 122Confidential status of applications; publication of patent applicationsIrons and Sears v. Dann, 606 F.2d 1215, 1220 (D.C. Cir. 1979), cert. denied., 444 U.S. 1075 (1980); Lee Pharmaceuticals v. Keeps, 577 F.2d 610, 615-617 (9th Cir. 1978), cert. denied, 439 U.S. 1073 (1979)OIG: 0NSF: 1818V. FOIA REQUESTS:A. Received, Processed and Pending FOIA Requests (Perfected and non-perfected)Column 1 + Column 2 - Column 3 = Column 4Number of Requests Pending as of Start of Fiscal YearNumber of Requests Received in Fiscal YearNumber of Requests Processed in Fiscal yearNumber of Requests Pending as of End of Fiscal YearOIG039372NSF23143151Agency Overall23533523B. (1) Disposition of FOIA Requests – All Processed RequestsNumber of Full GrantsNumber of Partial Grants/Partial DenialsNumber of Full Denials Based On ExemptionsNumber of Full Denials Based on Reasons Other than ExemptionsNo RecordsAll Records Referred to Another Component or AgencyRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper FOIA Request for Other ReasonNot Agency RecordDuplicate RequestOther*Explain in chart belowTotalOIG4215321137NSF32234351543145315B. (2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B(1) ChartAgency OverallDescription of “Other” Reasons for Denials from Chart B(1) & Number of times Those Reasons Were Relied uponTotalOIGPrivacy Act Exemption1NSFRecords provided directly to requester from submitterRecords publicly availableSuspended, requester never responded to request for information221B. (3) Disposition of FOIA Requests – Number of Times Exemptions AppliedEx.1Ex.2Ex.3Ex.4Ex.5Ex.6Ex.7(A)Ex.7(B)Ex.7(C)Ex.7(D)Ex.7(E)Ex.7(F)Ex.8Ex.9OIG111222522NSF2248712203AgencyOverall3258814225522VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTSA. Received, Processed and Pending Administrative Appeals Column 1 + Column 2 - Column 3 = Column 4Number of Appeals Pending as of Start of Fiscal YearNumber of Appeals Received in Fiscal YearNumber of Appeals Processed in Fiscal YearNumber of Appeals Pending as of End of Fiscal Year010100B. Disposition of Administrative Appeals – All Processed AppealsNumber Affirmed on AppealNumber Partially Affirmed & Partially Reversed/Remanded on AppealNumber Completely Reversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTAL720110C. (1) Reasons for Denial on Appeal – Number of Times Exemptions AppliedEx. 1Ex.2Ex.3Ex.4Ex.5Ex.6Ex.7(A)Ex.7(B)Ex.7(C)Ex.7(D)Ex.7(E)Ex.7(F)Ex.8Ex.922612C. (2) Reasons for Denial on Appeal – Reasons Other than ExemptionsNo RecordsRecords Referred at Initial Request LevelRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordDuplicate Request or AppealRequest in LitigationAppeal Based Solely on Denial of Request for Expedited ProcessingOther *Explain in chart below1C. (3) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C(2) ChartDescription of “Other” Reasons for Denial on Appeal from Chart C(2) & Number of Times Those Reasons Were Relied UponTotal00C. (4) Response time for Administrative AppealsMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days2016.4620C. (5) Ten Oldest Pending Administrative Appeals10th Oldest Appeal9th8th7th6th5th4th3rd2ndOldest AppealDate of Receipt of Ten Oldest Appeals0000000000Number of Days Pending0000000000VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTSA. Processed Requests – Response Time for All Processed Perfected RequestsSimpleExpedited ProcessingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysOIG1312.31330000NSF17.521.1212290000Agency Overall1620.2612290000B. Processed Requests – Response Time for Perfected Requests in Which Information Was GrantedSimpleExpedited ProcessingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysOIG1311.91330000NSF1923.1812290000Agency Overall1822.2212290000C. Processed Requests – Response Time in Day IncrementsSimple Requests1-20Days21-40Days41-60Days61-80Days81-100Days101-120 Days121-140Days141-160Days161-180Days181-200Days201-300Days301-400Days401+DaysTOTALOIG 322NSF202812251111AgencyOverall234832251111Requests Granted Expedited Processing1-20Days21-40Days41-60Days61-80Days81-100Days101-120 Days121-140Days141-160Days161-180Days181-200Days201-300Days301-400Days401+DaysTOTALOIG00000000000000NSF00000000000000AgencyOverall00000000000000D. Pending Requests – All Pending Perfected RequestsSimpleExpedited ProcessingNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysOIG29.59.5000NSF1272272000Agency Overall313597000E. Pending Requests – Ten Oldest Pending Perfected Requests10th Oldest Request and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Request and Number of Days PendingOIG9/17/0899/16/0810NSF8/27/0727210th Oldest Request and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Request and Number of Days PendingAgency Overall9/17/0899/16/08108/27/07272VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVERA. Requests for Expedited ProcessingNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar DaysOIG00000NSF00000Agency Overall00000B. Requests for Fee WaiverNumber Granted (Partial)Number DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateOIG0000NSF0000Agency Overall0000IX. FOIA PERSONNEL AND COSTSA. PersonnelB. Costs Column 1 + Column 2 = Column 3 PersonnelCostsNumber of “Full-Time” FOIA Employees”Number of “Equivalent Full-Time FOIA Employees”Total Number of “Full-Time FOIA Staff”Processing CostsLitigation-Related CostsTotal CostsOIG00.160.16$20,278.000$20,278.00NSF03.63.6$275,061.000$275,061.00Agency Overall03.763.76$295,339.000$295,339.00X. FEES COLLECTED FOR PROCESSING REQUESTSTotal Amount of Fees CollectedPercentage of Total CostsOIG$48.070.24NSF$4,579.681.66Agency Overall$4,627.751.57XI. FOIA REGULATIONSNSF FOIA regulations are published at 45 C.F.R. 612, available electronically athttp://www.access.gpo.gov/nara/cfr/waisidx_05/45cfr612_05.html.XII. BACKLOGS, CONSULTATIONS, AND COMPARISONSA. Backlogs of FOIA Requests and Administrative AppealsNumber of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal YearOIG00NSF10Agency Overall10 B. Consultations on FOIA Requests – Received, Processed and Pending Consultations Column 1 + Column 2 - Column 3 = Column 4Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of Start of the Fiscal YearNumber of Consultations Received from Other Agencies During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Processed by Your Agency During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal YearOIG0000NSF1120Agency Overall1120C. Consultations On FOIA Requests – Ten Oldest Consultations Received From Other Agencies And Pending At Your Agency10th Oldest Consultation and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Consultation and Number of Days Pending0000000000000000000010th Oldest Consultation and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Consultation and Number of Days PendingAgency Overall0000000000D. Comparison Of Numbers Of Requests From Previous And Current Annual Report – Requests Received, Processed And BackloggedNumber of Requests ReceivedNumber of Requests ProcessedNumber Received During Fiscal Year from Last Year’s Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year’s Annual ReportNumber Processed During Fiscal Year from Current Annual Report* 340NSF 314*343315OIG 39OIG 37Agency Overall* Only reporting Agency overall as Component was not broken out in the 2007 Annual Report353343352Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Requests as of End of the Fiscal Year from Current Annual ReportOIG00NSF21Agency Overall21E. Comparison Of Numbers Of Administrative Appeals From Previous And Current Annual Report – Appeals Received, Processed, And BackloggedNumber of Appeals ReceivedNumber of Appeals ProcessedNumber Received During Fiscal Year from Last Year’s Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year’s Annual ReportNumber Processed During Fiscal Year from Current Annual ReportOIG* This component was not reported separately in 2007 Annual Report33NSF4747Agency Overall410410Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Appeals as of End of the Fiscal Year from Current Annual ReportOIG00NSF00Agency Overall00 PAGE 1PAGE 5 PAGE 14 NATIONAL SCIENCE FOUNDATIONNSF USERpgartner22008-12-30T18:32:00Z2010-09-20T13:20:00Z2010-09-20T13:20:00ZNormal.dotm517358118863Microsoft Office Word415744falseTitle1NATIONAL SCIENCE FOUNDATIONNational Science Foundationfalse22400false3801121605http://www.access.gpo.gov/nara/cfr/waisidx_05/45cfr612_05.html2752544305http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf071351245187005http://www.nsf.gov/policies/foia.jspfalse12.0000