I. Basic Information
In compliance with the Electronic Freedom of Information Act Amendments
of 1996, the Department of State (hereinafter the "Department")
submits the attached report on the Freedom of Information Act program. This
report addresses the time period for the 2003 fiscal year (October 1, 2002
to September 30, 2003). Questions pertaining to this report may be
addressed to:
Margaret P. Grafeld
Director, Office of Information Programs and Services
A/RPS/IPS, SA-2, Room 5073
U.S. Department of State
Washington, D.C. 20520-6001
Telephone: (202) 261-8300
Fax: (202) 261-8590
This report is available on our web site at http://foia.state.gov/refer.asp. Paper copies may be
requested by contacting A/RPS/IPS at the above address.
II. How to Make A FOIA Request
Freedom of Information Act (hereinafter "FOIA") requests must
be made in writing and submitted by mail or fax (not e-mail) to the Office
of Information Programs and Services (hereinafter "IPS") at the
address indicated. Requesters should clearly mark their request
"Freedom of Information Act Request" on the envelope or on the
subject line of their fax, and include a daytime telephone number at which
they may be reached. Requesters must describe the records sought as clearly
and precisely as possible, and state their willingness to pay applicable
fees or provide justification to support a fee waiver.
In order for a request to be processed, it must be
"perfected." A request is deemed not perfected when unresolved
issues exist, such as when the records sought have not been reasonably
described or there are unresolved fee issues. IPS staff will notify the
requester of any deficiencies of the request, and advise the requester how
to perfect the request.
The Department will respond to requests within 20 working days of
receipt, advising the requester of the date of receipt, the case number
assigned to the request, and whether or not the records sought are under the
Department's control. Whenever possible, the request will be processed
within 20 working days. The Department's policy is to release information
to the maximum extent possible. However, if some information must be
withheld, the requester will be notified of the amount of information
withheld, the basis for the withholding and the procedures for appealing the
withholding. For more information on making a FOIA request, you may visit
our web site at http://foia.state.gov or contact IPS at
the address indicated.
III. Definitions of Terms and Acronyms Used in the Report
A. Agency-Specific Terms
1. A/RPS/IPS -- Deputy Assistant Secretary for Records and Publishing
Services, Office of Information Programs and Services.
B. Basic Terms from the U.S. Department of Justice ("FOIA
Update," Summer 1997).
1. FOIA/PA request -- Freedom of Information Act/Privacy Act request. A
FOIA request is generally a request for access to records concerning a third
party, an organization, or a particular topic of interest. A Privacy Act
request is a request for records concerning oneself; such requests are also
treated as FOIA requests. (All requests for access to records, regardless
of which law is cited by the requester, are included in this report.)
2. Initial Request -- a request to a federal agency for access to
records under the Freedom of Information Act.
3. Appeal -- a request to a federal agency asking that it review at a
higher administrative level a full denial or partial denial of access to
records under the Freedom of Information Act, or any other FOIA
determination such as a matter pertaining to fees.
4. Processed Request or Appeal -- a request or appeal for which an
agency has taken a final action on the request or the appeal in all
respects.
5. 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 in each track are processed on a first-in/first-out basis. A
requester who has an urgent need for records may request expedited
processing (see below).
6. Expedited Processing -- an agency will process a FOIA request on an
expedited basis when a requester has shown an exceptional need or urgency
for the records which warrants prioritization of his or her request over
other requests that were made earlier.
7. Simple Request -- a FOIA request that an agency using multi-track
processing places in its fastest (non-expedited) track based on the volume
and/or simplicity of records requested.
8. Complex Request -- a FOIA request that an agency using multi-track
processing places in a slower track based on the volume and/or complexity of
records requested.
9. Grant -- an agency decision to disclose all records in full in
response to a FOIA request.
10. Partial Grant -- an agency decision to disclose a record in part in
response to a FOIA request, deleting information determined to be exempt
under one or more of the FOIA's exemptions; or a decision to disclose some
records in their entireties, but to withhold others in whole or in part.
11. Denial -- an agency decision not to release any part of a record or
records in response to a FOIA request because all the information in the
requested records is determined by the agency to be exempt under one or more
of the FOIA's exemptions, or for some procedural reason (such as - no record
is located in response to a FOIA request).
12. Time Limits -- the time period in the Freedom of Information Act
for an agency to respond to a FOIA request (ordinarily 20 working days from
proper receipt of a "perfected" FOIA request).
13. "Perfected" Request -- a FOIA request for records which
adequately describes the records sought, which has been received by the FOIA
office of the agency or agency component in possession of the records, and
for which there is no remaining question about the payment of applicable
fees.
14. Exemption 3 Statute -- a separate federal statute prohibiting the
disclosure of a certain type of information and authorizing its withholding
under FOIA subsection (b)(3).
15. Median Number -- the middle, not average, number. For example, of
3, 7, and 14, the median number is 7.
16. 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.
IV. Exemption 3 Statutes
(Statute Cited; Description of type of information withheld;
Has
use of statute been upheld in court?)
Statute: 5 U.S.C. App., § 7(b)
Description: Protects the identity of employees who provide a complaint
or
information to the Inspector General
Upheld in court?: No
Statute: 8 U.S.C. § 1202(f)
Description: Protects records pertaining to the issuance or refusal of
visas to enter the United States
Upheld in court?: Medina-Hincapie v. U.S. Department of State, 700 F.2d
737 (D.C. Cir. 1983)
Statute: 10 U.S.C. § 424
Description: Protects organizational and personnel information for
Defense Intelligence Agency, National Reconnaissance Office, and National
Imagery and Mapping Agency
Upheld in court?: No
Statute: 22 U.S.C. § 2778
Description: Protects information concerning arms export licensing
cases
Upheld in court?: Council for a Livable World Education Fund v. U.S.
Department of State, Docket #96-1807 (D.D.C. November 23, 1998)
Statute: 22 U.S.C. § 4004
Description: Protects Foreign Service employee records
Upheld in court?: No
Statute: 42 U.S.C. § 2011
Description: Protects records defining policy for the development, use
and control of atomic and nuclear energy in private, peaceful and military
matters
Upheld in court?: No
Statute: 50 U.S.C. § 403-g
Description: Protects the nature of the CIA's functions and personnel
under the Central Intelligence Agency Act
Upheld in court?: Minier v. CIA, 88 F. 3d 796 (9th Cir. 1996)
Statute: 50 U.S.C. § 403-3(c)(7)
Description: Protects intelligence sources and methods under the
National Security Act
Upheld in court?: Sims v. CIA, 471 U.S. 159 (1985)
Statute: 50 U.S.C. App. 2411 (c)(1)
Description: Protects confidential information concerning the licensing
procedure under the Export Administration Act
Upheld in court?: Africa Fund v. Mosbacher, Docket #92-289 (S.D.N.Y.
5/26/93)
Statute: 50 U.S.C. § 1701--note
Description: Protects records on arbitration of claims before the
Iran-U.S. Claims Tribunal
Upheld in court?: No
V. Initial FOIA/PA Access Requests
N.B. Statistics reported herein are based on data currently
available and are accurate to the extent possible. However, not all data
required to prepare this report are currently being collected in the
Department's requests tracking system. For example, statistics for the
medians (section VII) are based on the dates that acknowledgement letters
were sent to requesters, and in some cases the dates that requests were
received, not on the dates when the requests were perfected (and thus
processable) or when expeditious processing was granted. An asterisk (as in
section B. 4) indicates additional information concerning the data provided.
Lastly, the Department processes requests incrementally, i.e. segments of
a case are processed as they become available. Requests in which there have
been incremental releases, but which have not been processed to completion
are not reflected in this report. Time is reported in calendar days.
A. Numbers of Initial Requests
1. Number of requests pending as of end of preceding fiscal
year:
5,343
2. Number of requests received and re-opened during current fiscal
year:
received 3,352, re-opened 86
3. Number of requests processed during current fiscal
year:
5,773
4. Number of requests pending as of end of current fiscal
year:
3,008
B. Disposition of Initial Requests
1. Number of total grants: 1,086
2. Number of partial grants: 1,581
3. Number of denials: 220
a. Number of times each FOIA exemption used
Exemption 1: 736
Exemption 2: 125
Exemption 3: 260
Exemption 4: 104
Exemption 5: 409
Exemption 6: 544
Exemption 7 (A): 59
Exemption 7 (B): 3
Exemption 7 (C): 108
Exemption 7 (D): 35
Exemption 7 (E): 30
Exemption 7 (F): 12
Exemption 8: 0
Exemption 9: 0
4. Other reasons for nondisclosure (total):
2,886
a. no records: 1,088
b. referrals: 588
(This statistic reflects cases in which all documents were referred to
another agency for response and cases in which the request itself should be
directed to another agency)
c. request withdrawn: 62
d. fee-related reason*: 0
e. records not reasonably described*: 0
f. not a proper FOIA request for some other reason:
32
g. not an agency record*: 0
h. duplicate request: 36
i. other (specify): 1,080
(This statistic reflects requests which were not perfected or
administratively closed.)
VI. Appeals of Initial Denials of FOIA/PA Requests
A. Number of appeals
1. Number of appeals received during fiscal year:
273
2. Number of appeals processed during fiscal year:
160
B. Disposition of Appeals
1. Number completely upheld: 61
2. Number partially reversed: 70
3. Number completely reversed: 6
a. Number of times each FOIA exemption used
Exemption 1: 105
Exemption 2: 10
Exemption 3: 14
Exemption 4: 0
Exemption 5: 32
Exemption 6: 31
Exemption 7 (A): 4
Exemption 7 (B): 0
Exemption 7 (C): 4
Exemption 7 (D): 2
Exemption 7 (E): 3
Exemption 7 (F): 0
Exemption 8: 0
Exemption 9: 0
4. Other reasons for nondisclosure (total): 23
a. no records: 12
b. referrals: 0
c. request withdrawn: 0
d. fee-related reason: 0
e. records not reasonably described: 0
f. not a proper FOIA request for some other reason:
0
g. not an agency record: 0
h. duplicate request: 0
i. other (specify): 11
1. documents under appeal were duplicates of documents requested by
appellant in another request: 1
2. appellant moved-no forwarding address: 1
3. appellant organization defunct-no forwarding address:
1
4. appeal overtaken by litigation: 2
5. not a valid appeal: 1
6. appeal of other agency documents: 4
7. appellant advised to appeal to other agency: 1
VII. Compliance with Time Limits/Status of Pending Requests
A. A. In accordance with the amended FOIA, the Department has
established multiple-tracks for processing FOIA requests for the public so
as to distinguish simple requests from complex requests. At this time,
requests can be assigned to one of two tracks, the simple/fast track or the
routine/complex track. Requests are assigned to a particular tracking queue
contingent upon the level of effort required to complete the request, the
number and location of searches/record sources, and the estimated volume of
responsive records. Assigning a case to an appropriate track is often
difficult during the initial processing stage of a request. Since the
Department's search function is decentralized, the number and complexity of
responsive documents and the amount of other agency concurrences are unknown
until all searches are returned and the review of the documents has been
completed. As a result, movement between tracks can become very fluid. A
seemingly routine case can quickly become complex as searches are returned
with voluminous documents. This type of case activity blurs the line
between routine and complex cases, thus, making it impossible to create a
complex track under our current system.
As reported last year, in order to improve response times to new and
pending requests and reduce the existing FOIA backlog, additional resources
were allocated to the Department's FOIA program for a two-year period. IPS
continues to target the following initiatives: 1) significantly reduce the
current FOIA backlog over a two-year period by hiring additional temporary
staff; 2) prevent future backlogs of information requests by constructing a
permanent FOIA workforce infrastructure to keep up with the incoming
workload; 3) reduce the diversion of FOIA staff by constructing a permanent
special project workforce infrastructure; and 4) identify and implement
process improvements.
The Department has effectively completed steps to accomplish the
four-targeted initiatives. After year one, students have been recruited
from the metropolitan area colleges and universities to provide additional
support in response to FOIA and other document production demands. Due
Diligence, IPS' task force of civil service and contract employees dedicated
to the two-year backlog project, has been implemented and has accomplished
its first goal by reducing the backlog in excess of 40%. A total of
twenty-three employees have been hired and managers have been selected from
the current IPS staff to build the permanent FOIA infrastructure. The
Department's special project workforce is now in place to prevent the
diversion of resources exclusively dedicated to the FOIA. With the
institution of these first three initiatives, the Department is confident it
will meet the second year goal to reduce the backlog by an additional 40%.
Finally, the focus of the three initiatives at all levels in IPS has
identified areas in which procedural improvements for implementing the FOIA
is necessary. Corrective action is being taken to resolve these issues
which will ultimately streamline the FOIA process and better facilitate our
ability to keep up with the incoming workload and prevent future backlogs of
FOIA requests.
Median processing time for FOIA/PA requests processed during the year:
1. Simple Requests - "Fast Track"
a. number of requests processed: 1,268
valid: 188
invalid: 1,080
b. median number of days to process: 8
2. Routine/Complex Requests
a. number of requests processed: 4,493
b. median number of days to process: 671
3. Requests Accorded Expedited Processing
a. number of requests processed: 12
b. median number of days to process: 196*
*Cases involving ongoing criminal investigations where processing was
suspended and those that were completed during a previous reporting period
are not reflected.
B. Status of Pending Requests
1. Number of FOIA/PA requests pending as of end of current fiscal
year:
3,008
2. Median number of days that such requests were
pending:
312
VIII. Comparisons with previous year(s) (Optional)
A. Comparison of numbers of requests received*
FY 2002 3,134
FY 2003 3,438
Percentage of Change: 9.7% increase
B. Comparison of numbers of requests processed
FY 2002 4,636
FY 2003 5,773
Percentage of Change: 24.5% increase
C. Comparison of median number of days requests were pending as of end
of fiscal year
FY 2002 546
FY 2003 312
Percentage of Change: 42.9% decrease
*This figure also includes cases re-opened in FY 2003.
D. Other statistics significant to Agency:
1. Number of requests for expedited processing: 177
2. Number of requests granted expedited processing: 13
E. Other Narrative Statements:
1. Training
In addition to ongoing FOIA training for both new employees and IPS staff,
training was conducted for FOIA reviewers to inform them of the FOIA
amendment (P.L. 107-306) exempting intelligence communities from releasing
information to foreign governments. The training was conducted in several
sessions and included instruction for new procedures and a model letter to
possible representatives of a foreign government seeking Department
information. Reviewers were also trained in procedural changes regarding
declassification markings for documents under FOIA review consistent with
the amendment to E.O. 12958 on classified national security information.
2. Public Availability of New Categories of Records
As mandated by the 1996 amendments to the Freedom of Information Act
(E-FOIA), IPS has established a web site on the Internet located at http://www.foia.state.gov in part to
make new categories of records publicly available. Since its inception in
March 1998, the site has developed into an information-rich direct source of
Department documents and information. The site encompasses a continuously
growing collection of unique records of international significance, which
have been made available to the public under the FOIA or as special
collections. The site averages 17 million visitors per month, and typically
experiences a huge increase in the number of visits immediately following a
release of special document collections of a large global interest, such as
the 750,000 hits received on the first day that the Argentina collection was
made available. By proactively making declassified record collections
available to the requesting public in our electronic reading room, we
believe we have reduced the amount of direct FOIA cases received per year.
However, this effect is not verifiable.
Special interest collections currently total over 100,000 pages in
addition to a continually expanding FOIA library of previously released
documents. The collections encompass documents relating to human rights
abuses in countries such as Guatemala from 1984 to 1995, Chile during the
Pinochet era and Argentina from 1975 to 1984. Other topics include the
murders of four U.S. churchwomen in El Salvador; the disappearance and
investigation of Amelia Earhart; and the disappearance in Hungary of Swedish
diplomat Raoul Wallenberg during World War II. A collection about the
creation of the OSS and subsequent establishment of the modern-day CIA has
also been added.
The site also provides a number of aids to help users understand the
content of our records and how to access that information; how records are
reviewed and processed for release; why some information may continue to be
withheld; and what users' appeal rights are. The search engine offers both
standard and advanced search capabilities that include full text retrieval
of the documents on the site. In addition, the site provides extensive
links to other sources of Department records or information. In general,
IPS has applied technology to enhance performance and increase the level of
satisfaction for our many customers, who include the general public, the
White House, the Congress, other Federal agencies, the courts, academia,
historians, journalists, attorneys, private interest groups, and the
Department's offices and overseas posts.
IX. Costs/FOIA Staffing
As previously reported, the Department has committed resources to establish a dedicated staff exclusively for processing Department of Justice, General Accounting Office, Congressional Committee and other special document requests. We no longer need to divert staffing resources from the central FOIA processing office for these high visibility cases. With these better-defined staffing roles, we are able to estimate the resources dedicated to FOIA cases more effectively. We have, therefore, refined both our staffing and total costs resources for this reporting period and will continue to do so in future years. The staffing levels reported below also reflect an estimate of those resources in the decentralized FOIA processing bureaus.
Staffing levels
1. Number of full-time FOIA/PA personnel: 104
2. Number of personnel with part-time or occasional FOIA/PA duties (in
work-years):
43.8
3. Total number of personnel (in work-years):
147.8
A. Totals Costs (including staff and all resources- estimates)
1. FOIA/PA processing (including appeals):
$12,107,000
2. Litigation-related activities: $
123,156
3. Total costs: $12,230,156
X. Fees
A. Total amount of fees collected for processing requests: $
16,442.67
B. Percentage of total costs: 0.13%
XI. FOIA Regulations
The Department's FOIA regulations are located at 22 CFR 171. These can
be
found directly at the Government Printing Office's (GPO) website at http://www.gpoaccess.gov/cfr/index.html
or from links at our website at http://foia.state.gov.
The Department's search and review fees are assessed at the following
rates:
Administrative/Clerical (GS-1 through GS-8; or FS-9 through
FS-6):
$8.00/hour
Professional (GS-9 through GS-13; or FS-5 through
FS-3):
$17.00/hour
Executive (GS-14 and above; or FS-2 and above):
$30.00/hour
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