NATIONAL SCIENCE FOUNDATION

FREEDOM OF INFORMATION ACT REPORT

FOR OCTOBER 1, 2009 THROUGH SEPTEMBER 30, 2010

I.  BASIC INFORMATION:

A.  Point of Contact:

Leslie A. Jensen, NSF FOIA Officer
Office of the General Counsel
4201 Wilson Blvd, Room 1265
Arlington, VA   22230
(703) 292-5065

B.  Electronic Address for report: The FY 2010 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)  the 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.gov

B.  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:

  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 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 is 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 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.

  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 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 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 be 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

Status

Type of Information Withheld

Case Citation

Number of Times Relied upon per Component

Total Number of Times Relied upon by Agency

35 U.S.C. §122

(Patent Act)

Patent pending applications

Irons & Sears v. Dann, 606 F.2d 1215, 121921 (D.C. Cir. 1979).

NSF # 22
OIG # 0

22

41 U.S.C.§253b(m)(1)

(National Defense

Authorization Act for Fiscal Year 1997)

Proposal documents not incorporated  into contracts

Hornbostel v. U.S. Dep't of the Interior, 305 F. Supp. 2d 21, 30 (D.D.C. 2003), summary affirmance granted, No. 03-5257, 2004

WL 1900562 (D.C. Cir. Aug. 25, 2004).

NSF # 6
OIG # 0

6

 

V. FOIA REQUESTS

A. Received, Processed and Pending FOIA Requests

 

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

NSF

16

412

377

51

OIG

0

88

88

0

Agency Overall

16

500

465

51

B. (1) Disposition of FOIA Requests - All Processed Requests

 

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

Fee-Related Reason

Records not Reasonably Described

Improper FOIA Request for Other Reason

Not Agency Record

Duplicate Request

Other *Explain in chart below

TOTAL

NSF

55

247

13

25

1

20

2

5

1

0

1

7

377

OIG

7

70

7

1

1

0

0

0

2

0

0

0

88

Agency Overall

62

317

20

26

2

20

2

5

3

0

1

7

465


B. (2) Disposition of FOIA Requests - "Other" Reasons for "Full Denials Based on Reasons Other than Exemptions" from Section V, B (1) Chart

 

Description of "Other" Reasons for Denials from Chart B(1) & Number of Times Those Reasons Were Relied upon

TOTAL

NSF

Records are old and staff was unable to locate.

too broad.

records retired to NARA

records previously provided under case 10-226F

unable to locate records.

staff unable to locate file.

unable to locate records

[1]

[1]

[1]

[1]

[1]

[1]

[1]

7

OIG

 

0

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

 

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

NSF

0

0

29

109

29

244

0

0

0

0

0

0

0

0

OIG

0

3

0

1

1

71

3

0

71

0

0

0

0

0

Agency Overall

0

3

29

110

30

315

3

0

71

0

0

0

0

0

 

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS

A. Received, Processed and Pending Administrative Appeals

 

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

NSF

0

6

5

1

OIG

0

0

0

0

Agency Overall

0

6

5

1

B. Disposition of Administrative Appeals - All Processed Appeals

 

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

NSF

4

1

0

0

5

OIG

0

0

0

0

0

Agency Overall

4

1

0

0

5

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

 

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

NSF

0

0

0

2

3

2

0

0

0

0

0

0

0

0

OIG

0

0

0

0

0

0

0

0

0

0

0

0

0

0

Agency Overall

0

0

0

2

3

2

0

0

0

0

0

0

0

0

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

 

No Records

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

NSF

1

0

0

1

0

0

0

0

0

0

1

OIG

0

0

0

0

0

0

0

0

0

0

0

Agency Overall

1

0

0

1

0

0

0

0

0

0

1

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

NSF

denied expedited processing.  fee waiver denial[1]

1

OIG

 

0

C. (4) Response Time for Administrative Appeals

 

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

NSF

20

19

19

20

OIG

0

0

0

0

Agency Overall

20

19

19

20

C. (5) Ten Oldest Pending Administrative Appeals

   

10th Oldest Appeal

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

NSF

Perfected Date of Ten Oldest Appeals

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

9/8/2010

Number of Days Pending

0

0

0

0

0

0

0

0

0

17

OIG

Perfected Date of Ten Oldest Appeals

N/A

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

0

Agency Overall

Perfected Date of Ten Oldest Appeals

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

9/8/2010

Number of Days Pending

0

0

0

0

0

0

0

0

0

17

 

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS

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

 

SIMPLE

EXPEDITED

 

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

NSF

20

20

1

138

20

30

7

66

OIG

14

13

2

21

25

25

25

25

Agency Overall

17

19

1

138

25

29

7

66

B. Processed Requests - Response Time for Perfected Requests in Which Information Was Granted

 

SIMPLE

EXPEDITED

 

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

NSF

20

21

1

95

0

0

0

0

OIG

14

13

2

21

0

0

0

0

Agency Overall

18

20

1

95

0

0

0

0

C. Processed Requests - Response Time in Day Increments

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

NSF

235

118

14

6

3

0

1

0

0

0

0

0

0

377

OIG

87

1

0

0

0

0

0

0

0

0

0

0

0

88

Agency Overall

322

119

14

6

3

0

1

0

0

0

0

0

0

465

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

TOTAL

NSF

0

0

0

0

0

0

0

0

0

0

0

0

0

0

OIG

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

D. Pending Requests - All Pending Perfected Requests

 

SIMPLE

EXPEDITED

 

Number Pending

Median Number of Days

Average Number of Days

Number Pending

Median Number of Days

Average Number of Days

NSF

51

38

34

0

0

0

OIG

0

0

0

0

0

0

Agency Overall

51

38

34

0

0

0

E. Pending Requests - Ten Oldest Pending Perfected Requests

   

10th Oldest Request and Number of Days Pending

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request and Number of Days Pending

NSF

Perfected Date of Ten Oldest Requests

7/21/2010

7/21/2010

7/21/2010

7/15/2010

7/14/2010

7/14/2010

7/14/2010

6/29/2010

6/21/2010

2/12/2010

Number of Days Pending

51

51

51

55

56

56

56

66

72

161

OIG

Perfected Date of Ten Oldest Requests

0

0

0

0

0

0

0

0

0

0

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Agency Overall

Perfected Date of Ten Oldest Requests

7/21/2010

7/21/2010

7/21/2010

7/15/2010

7/14/2010

7/14/2010

7/14/2010

6/29/2010

6/21/2010

2/12/2010

Number of Days Pending

51

51

51

55

56

56

56

66

72

161


 

VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER

A. Requests 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

NSF

0

4

7

22

2

OIG

0

0

0

0

0

Agency Overall

0

4

7

22

2

B. Requests for Fee Waiver

 

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

NSF

1

4

19

28

OIG

0

0

0

0

Agency Overall

1

4

19

28

 

IX. FOIA PERSONNEL AND COSTS

B. Costs

 

PERSONNEL

COSTS

 

Number of "Full-Time FOIA Employees"

Number of "Equivalent Full-Time FOIA Employees"

Total Number of "Full-Time FOIA Staff"

Processing Costs

Litigation-Related Costs

Total Costs

NSF

0

3.6

3.6

359,913.00

0

359,913.00

OIG

0

0.27

0.27

38,455.00

0

38,455.00

Agency Overall

0

3.87

3.87

398,368.00

0

398,368.00

 

X. FEES COLLECTED FOR PROCESSING REQUESTS

 

Total Amount of Fees Collected

Percentage of Total Costs

NSF

2728.14

0.7

OIG

900.00

2.3

Agency Overall

3628.14

0.9

 

XI. FOIA REGULATIONS

http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=/ecfrbrowse/Title45/45cfr612_main_02.tpl

 

XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS

A. Backlogs of FOIA Requests and Administrative Appeals

 

Number of Backlogged Requests as of End of Fiscal Year

Number of Backlogged Appeals as of End of Fiscal Year

NSF

24

0

OIG

0

0

Agency Overall

24

0

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

 

Number of Consultation Received from Other Agencies that Were Pending at NSF 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 NSF as of End of the Fiscal Year

NSF

0

1

1

0

OIG

0

0

0

0

Agency Overall

0

1

1

0

C. Consultations on FOIA Requests - Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency

   

10th Oldest Consultation and Number of Days Pending

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Consultation

NSF

Oldest Consultation and Number of Days Pending

N/A

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

0

OIG

Oldest Consultation and Number of Days Pending

N/A

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

0

Agency Overall

Oldest Consultation and Number of Days Pending

N/A

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

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.

 

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

NSF

318

412

302

377

OIG

77

88

77

88

Agency Overall

395

500

379

465

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.

 

Number of Backlogged Requests as of End of the Fiscal year from Previous 2009 Annual Report

Number of Backlogged Requests as of End of the Fiscal Year from Current 2010 Annual Report

NSF

0

24

OIG

0

0

Agency Overall

0

24

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.

 

NUMBER OF APPEALS RECEIVED

NUMBER OF APPEALS PROCESSED

 

Number Received During Fiscal Year from 2009 Annual Report

Number Received During Fiscal Year from 2010 Annual Report

Number Processed During Fiscal Year from 2009 Annual Report

Number Processed During Fiscal Year from Current 2010 Annual Report

NSF

3

6

3

5

OIG

4

0

4

0

Agency Overall

7

6

7

5

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.

 

Number of Backlogged Appeals as of End of the Fiscal year from 2009 Annual Report

Number of Backlogged Appeals as of End of the Fiscal Year from Current 2010 Annual Report

NSF

0

0

OIG

0

0

Overall

0

0

F. Discussion of Other FOIA Activities (Optional)

1. The Foundation’s computer processing costs have gone down considerably this FY; however, processing costs have increased due to the increase in FOIA requests from the previous FY.

2. NSF’s backlog consists of 1 case which is pending consultation with a number of other agencies and all 23 other cases from a single frequent requester who insists on a FOIA Case number for each request.  This single requester filed 59 requests in FY 2010.  In accommodating this requester this has skewed NSF’s backlog figure.

3. The majority of NSF FOIA requests are for copies of funded grant proposals.  In each case submitter notifications are required.  This FY NSF processed for release 815 proposals, an increase of over 100 proposals from the previous FY.  This is a dramatic increase of FOIA processing for a small agency.