INSTITUTE OF MUSEUM AND LIBRARY SERVICESFREEDOM OF INFORMATION ACT (FOIA)ANNUAL REPORT FISCAL YEAR 2009TABLE OF CONTENTSBasic Information Regarding ReportHow to Make a FOIA RequestAcronyms, Definitions and ExemptionsExemptions 3 StatutesFOIA RequestsAdministrative Appeals of Initial Determinations of FOIA RequestsFOIA Requests: Response Time For Processed and Pending RequestsRequests for Expedited Processing and Requests for Fee WaiverFOIA Personnel and CostsFees Collected for Processing RequestsFOIA Regulations (Including Fee Schedule)Backlogs, Consultations, and Comparisons I. BASIC INFORMATION REGARDING REPORT 1. Name, title, address, and telephone number of person(s) to be contacted with questions about the Report Mamie BittnerNancy E. Weiss, General Counsel or Director of Policy, Planning, Mae L. Ridges, Paralegal Specialist Research and CommunicationsOffice of the General Counsel Institute of Museum and Library Services Institute of Museum and Library Service 1800 M Street, 9th Floor, NW1800 M Street, 9th Floor, NW Washington, DC 20036Washington, DC 20036 (202) 653-4630(202) 653-4787 2. Electronic link for access to the report on the agency Web site. http://www.imls.gov/about/foia.shtm 3. How to obtain a copy of the Report in paper form. Mae L. Ridges Office of the General Counsel Institute of Museum and Library Services 1800 M Street, 9th Floor, NW Washington, DC 20036 (202) 653-4642MAKING A FOIA REQUEST. Names, addresses, and telephone numbers of all individuals that receive FOIA requests For basic information on how to make a FOIA request, visit our Web site at: http://www.imls.gov/about/foia.shtm2. Brief description of why some requests are not granted.The primary reason for not fully granting requests for which records are located is that disclosure would result in unwarranted invasions of personal privacy or confidential financial information that is privileged. Generally, small, separable portions of the records are withheld in those instances. In other cases, records do not exist that respond to the request. At IMLS the most common exemptions used are Exemption 4: Trade secrets and commercial or financial information. Specifically, portions of some grant proposal may have privileged financial information which has been submitted by the grantee for agency use only. Exemption 5: Inter-agency or intra-agency memoranda or letters protected through the deliberative process privilege, the attorney work-product privilege and the attorney-client privilege. This exemption is used when there is a clear showing that a particular document was generated to assist the agency staff in the process of arriving at an agency decision but was not generated to represent or become part of the final agency decision. Exemption 6: Personnel, medical and similar files which would constitute a clearly unwarranted invasion of personal privacy. This exemption is used to protect the release of personal information which may be included in an agency grant or document that if released would subject an individual to an unwarranted invasion of personal privacy.III. ACRONYMS, DEFINITIONS AND EXEMPTIONS Agency-specific acronyms or other terms. IMLS - Institute of Museum and Library Services Basic terms expressed in common terminology.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 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.)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 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. 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. 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 statute for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request). Description of 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 privilegesf.Exemption 6: information involving matters of personal privacyg.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 individualh.Exemption 8: information relating to the supervision of financial institutionsi.Exemption 9:geological information on wells EXEMPTION 3 STATUTESThere were no Exemption 3 statutes used by the agency during fiscal year 2009.V.A. FOIA Requests – RECEIVED, PROCESSED AND PENDING FOIA REQUESTS Number 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 Year AGENCY OVERALL 3 41 39 5V.B. (1). DISPOSITION OF FOIA REQUESTS – All PROCESSED REQUESTS Number of Full GrantsNumber of Partial Grants/ Partial Denials Number of Full Denials Based on ExemptionsNumber of Full Denials Based on Reasons Other than Exemptions No RecordsAll Records Referred to Another Component or AgencyRequest Withdrawn Fee-Related ReasonRecords not Reasonably DescribedImproper FOIA Request for Other Reason Not Agency RecordDuplicate Request Other*Explain in chart belowTOTALAGENCY OVERALL1217030200050039V.B.(2). DISPOSITION OF FOIA REQUESTS – “OTHER” REASONS FOR “FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTIONS” Description of “Other” Reasons for Denials from Chart B(1) and Number of Times Reasons Were Relied uponTOTALAGENCY OVERALL00V.B.(3). DISPOSITION OF FOIA REQUESTS – NUMBER OF TIMES EXEMPTIONS APPLIED Ex.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.9AGENCY OVERALL000150200000000VI.A. ADMINISTRATIVE Appeals of Initial DETERMINATIONS of FOIA Requests – RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS Number 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 Year 0 00 0VI.B. 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 ReasonsTOTAL00000VI.C.(1). REASONS FOR DENIAL ON APPEAL – NUMBER OF TIMES EXEMPTIONS APPLIED Ex.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.90 0000000000000VI.C.(2). REASONS FOR DENIAL ON APPEAL – REASONS OTHER THAN EXEMPTIONS No RecordsRecords Referred at Initial Request LevelRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordDuplicate Request or AppealRequest in Litigation Appeal Based Solely on Denial of Request for Expedited ProcessingOther*Explain in chart below00000000000VI.C.(3). REASONS FOR DENIAL ON APPEAL – “OTHER” REASONS Description of “Other” Reasons for Denial on Appeal from Chart C(2) and Number of Times Those Exemptions Were Relied UponTOTAL00VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALSMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days0000VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS AGENCY OVERALL10th Oldest Appeal and Number of Days Pending9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Appeal and Number of Days PendingNAN/AN/AN/AN/AN/AN/AN/AN/AN/A0 000000000VII.A. FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED and PeRFECTED Requests SimpleComplexExpedited processingMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysAGENCY OVERALL1112.71386564.544850000VII.B. PROCESSED REQUEST – RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANTED SimpleComplexExpedited PROCESSINGMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysAGENCY OVERALL12135306564.544850000VII.C. PROCESSED REQUEST – RESPONSE TIME IN DAY INCREMENTS SIMPLE REQUEST1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTAL AGENCY OVERALL3340000000000037COMPLEX REQUESTS1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTAL AGENCY OVERALL00101000000002VII.C. PROCESSED REQUEST – RESPONSE TIME IN DAY INCREMENTS REQUESTS GRANTED EXPEDITED PROCESSING1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTAL AGENCY OVERALL00000000000000VII.D. PENDING REQUESTS – ALL PENDING PREFECTED REQUESTSSimpleComplexExpedited PROCESSINGNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysAGENCY OVERALL525.8000000VII.E. PENDING REQUESTS – TEN OLDEST PENDING PERFECTED REQUESTSAGENCY OVERALL10th Oldest Request and Number of Days Pending9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Request and Number of Days PendingNAN/AN/AN/AN/A9/28/099/28/099/28/099/15/099/14/090 000022 2 1112VIII.A. REQUESTS FOR EXPEDITED PROCESSING Number Granted Number DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar DaysAGENCY OVERALL00000 VIII.B. REQUESTS FOR FEE WAIVER Number Granted Number DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateAGENCY OVERALL0000IX.FOIA PERSONNEL AND COSTS PERSONNELCosts (in dollars)Number of “Full-Time FOIA Employees”Number of “Equivalent Full-Time FOIA Employees”Total Number of “Full-Time FOIA Staff”Processing CostsLitigation-Related CostsTotal CostsAGENCY OVERALL0.15.15$14, 245.00$0.00$14, 245.00X.FEES COLLECTED FOR PROCESSING REQUESTSTotal Amount of Fees Collected(in dollars)Percentage of Total CostsAGENCY OVERALL$0.000 %XI.FOIA REGULATIONShttp://www.imls.gov/about/foia.shtmXII.A. BACKLOGS OF FOIA REQUESTS AND ADMINISTRATIVE APPEALSNumber of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal YearAGENCY OVERALL00XII.B. CONSULTATIONS ON FOIA REQUESTS – RECEIVED, PROCESSED, AND PENDING CONSULTATIONS Number of Consultations Received from Other Agencies that Were Pending 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 During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending as of End of the Fiscal Year AGENCY OVERALL 0 0 0 0XII.C. CONSULTATIONS ON FOIA REQUESTS – TEN OLDEST PENDING CONSULTATIONS RECEIVED FROM OTHER AGENCIESAGENCY OVERALL10th Oldest Consultation and Number of Days Pending9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation and Number of Days PendingNAN/AN/AN/AN/AN/AN/AN/AN/AN/A0 000000000XII.D. COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT – RECEIVED AND PROCESSED REQUESTSNUMBER OF REQUESTS RECEIVEDNUMBER OF REQUESTS PROCESSED Number 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 ReportAGENCY OVERALL4441339Number 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 ReportAGENCYOVERALL00XII.E. COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT – BACKLOGGED APPEALSNUMBER 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 ReportAGENCYOVERALL0000Number 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 ReportAGENCYOVERALL00