NATIONAL SCIENCE FOUNDATION FREEDOM OF INFORMATION ACT REPORT FOR OCTOBER 1, 2012 THROUGH SEPTEMBER 30, 2013 I.BASIC INFORMATIONa. Point of Contact: Sandra Evans, NSF FOIA Officer Office of the General Counsel 4201 Wilson Blvd, Room 1265 Arlington, VA 22230 (703) 292‐5065b. Electronic Address for report:The FY 2012 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 REQUESTNSF 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 oneof the choices under the Reference Materials section of the FOIA page on the Foundation’s web site:http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf11012. 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; and4. 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 GeneralCounsel, 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 EXEMPTIONS1. Agency‐specific terms and acronyms:a. 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 throughoutthe U.S.2. 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 individuals 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 requestbecause the records are exempt in their entireties under one or more of the FOIAexemptions, 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 inyet 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 basiswhen a requester satisfied the requirement for expedited processing as set forth inthe statute and in agency regulations.ii.Simple Request – a FOIA request that an agency using multi‐track processing placesin its fastest (non‐expedited) track based on the low volume and/or simplicity of therecords requested.iii.Complex Request – a FOIA request that an agency using multi‐track processingplaces in a slower track based on the high volume and/or complexity of the recordsrequested.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 StatutesA. Exemption 3 Statutes Relied upon to Withhold InformationStatuteType of InformationWithheldCase CitationNumber of Times Relied upon per ComponentTotal Number of Times Relied upon by Agency35 U.S.C. § 122Applications for patents; certain information pertaining to applications for patentsIrons & Sears v. Dann, 606 F.2d 1215, 1219‐21 (D.C. Cir. 1979).NSF # 7OIG # 0741 U.S.C. § 4702Contractor proposals that are in the possession or control of an executive agencyand that have not been set forth or incorporated by reference intocontractsSinkfield v. HUD, No. 10‐885, 2012 U.S. Dist. LEXIS35233, at *13‐15 (S.D. Ohio Mar. 15, 2012); 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 WL1900562 (D.C. Cir. Aug. 25, 2004).NSF # 1OIG # 01V.FOIA REQUESTSA. Received, Processed and Pending FOIA RequestsColumn 1+ Column 2‐ Column 3= Column 4Number of Requests Pending as of Start of Fiscal YearNumber of RequestsReceived in Fiscal YearNumber of RequestsProcessed in Fiscal YearNumber of Requests Pending as of End of Fiscal YearNSF70346272144OIG132330AgencyOverall71378305144B. (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 ExemptionsNoRecordsAll Records Referred to Another Component or AgencyRequestWithdrawnFee‐ Related ReasonRecords not Reasonably DescribedImproper FOIA Request for Other ReasonNot Agency RecordDuplicateRequestOther*Explain in chart belowTOTALNSF25176335426001011272OIG320530200000033AgencyOverall28196838428001011305B. (2) Disposition of FOIA Requests ‐ "Other" Reasons for "Full Denials Based on Reasons Other thanExemptions" from Section V, B (1) ChartDescription of "Other" Reasons for Denials from Chart B(1) & Number of Times Those Reasons Were Relied uponTOTALNSFFOIA Request not required. [1]1OIGN/A0B. (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. 9NSF008157916410100000OIG0002719401701000AgencyOverall00815916183501801000VI.ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTSA. Received, Processed and Pending Administrative AppealsNumber of Requests Pending as of Start of Fiscal YearNumber of RequestsReceived in Fiscal YearNumber of RequestsProcessed in Fiscal YearNumber of Requests Pending as of End of Fiscal YearNSF0826OIG0220AgencyOverall01046B. Disposition of Administrative Appeals ‐ All Processed AppealsNumber Affirmed on AppealNumber Partially Affirmed & PartiallyReversed/Remanded on AppealNumber CompletelyReversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTALNSF20002OIG10102AgencyOverall30104C. (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. 9NSF00000000000000OIG00001100100000AgencyOverall00001100100000C. (2) Reasons for Denial on Appeal ‐ Reasons Other than ExemptionsNoRecordsRecords Referred at Initial Request LevelRequestWithdrawnFee‐ 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 belowNSF00000000000OIG00000000000AgencyOverall00000000000C. (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 WereRelied uponTOTALNSFN/A0OIGN/A0C. (4) Response Time for Administrative AppealsMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysNSF19241929OIG17171718Agency Overall18201729C. (5) Ten Oldest Pending Administrative Appeals10th Oldest Appeal9th8th7th6th5th4th3rd2ndOldestAppealNSFPerfected Date ofTen Oldest AppealsN/AN/AN/AN/A3/1/20132/27/201311/27/201211/15/201211/6/201211/2/2012Number of DaysPending0000149151212219225227OIGPerfected Date ofTen Oldest AppealsN/AN/AN/AN/AN/AN/AN/AN/AN/AN/ANumber of DaysPending0000000000AgencyOverallPerfected Date ofTen Oldest AppealsN/AN/AN/AN/A3/1/20132/27/201311/27/201211/15/201211/6/201211/2/2012Number of DaysPending0000149151212219225227VII.FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTSA. Processed Requests ‐ Response Time for All Processed Perfected RequestsSIMPLEEXPEDITEDMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysNSF23331209N/AN/AN/AN/AOIG17211105N/AN/AN/AN/AAgencyOverall21321209N/AN/AN/AN/AB. Processed Requests ‐ Response Time for Perfected Requests in Which Information Was GrantedSIMPLEEXPEDITEDMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysNSF28371209N/AN/AN/AN/AOIG1819151N/AN/AN/AN/AAgencyOverall25351209N/AN/AN/AN/AC. Processed Requests ‐ Response Time in Day IncrementsSimple Requests1‐20Days21‐40Days41‐60Days61‐80Days81‐100Days101‐120Days121‐140Days141‐160Days161‐180Days181‐200Days201‐300Days301‐400Days401+ DaysTOTALNSF1236640231232001200272OIG2642001000000033AgencyOverall1497042231242001200305Requests Granted Expedited Processing1‐20Days21‐40Days41‐60Days61‐80Days81‐100Days101‐120Days121‐140Days141‐160Days161‐180Days181‐200Days201‐300Days301‐400Days401+ DaysTOTALNSF00000000000000OIG00000000000000AgencyOverall00000000000000D. Pending Requests ‐ All Pending Perfected RequestsSIMPLEEXPEDITEDNumberPendingMedian Number ofDaysAverage Number ofDaysNumberPendingMedian Number ofDaysAverage Number ofDaysNSF1441172400N/AN/AOIG0N/AN/A0N/AN/AAgencyOverall1441172400N/AN/AE. Pending Requests ‐ Ten Oldest Pending Perfected Requests10th Oldest Request and Number of Days Pending9th8th7th6th5th4th3rd2ndOldest Request and Number of Days PendingNSFPerfected Date of Ten Oldest Appeals7/21/20107/21/20107/21/20107/21/20107/21/20107/21/20107/21/20107/15/20107/14/20107/14/2010Number of Days Pending802802802802802802802806807807OIGPerfected Date of Ten Oldest AppealsN/AN/AN/AN/AN/AN/AN/AN/AN/AN/ANumber of Days Pending0000000000AgencyOverallPerfected Date of Ten Oldest Appeals7/21/20107/21/20107/21/20107/21/20107/21/20107/21/20107/21/20107/15/20107/14/20107/14/2010Number of Days Pending802802802802802802802806807807VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVERA. Requests for Expedited ProcessingNumberGrantedNumberDeniedMedian Number of Days toAdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within TenCalendar DaysNSF00N/AN/AN/AOIG0110101AgencyOverall0110101B. Requests for Fee WaiverNumberGrantedNumber DeniedMedian Number of Days toAdjudicateAverage Number of Days to AdjudicateNSF00N/AN/AOIG00N/AN/AAgency Overall00N/AN/AIX.FOIA PERSONNEL AND COSTSA. CostsPERSONNELCOSTSNumber of "Full‐TimeFOIA Employees"Number of "Equivalent Full‐Time FOIA Employees"Total Number of"Full‐Time FOIA Staff"ProcessingCostsLitigation‐Related CostsTotalCostsNSF03.53.5280,6500280,650OIG00.160.1622,087022,087AgencyOverall03.663.66302,7370302,737X.FEES COLLECTED FOR PROCESSING REQUESTSTotal Amount of Fees CollectedPercentage of Total CostsNSF$956.790.34%OIG00.00 %Agency Overall$956.790.30%XI.FOIA REGULATIONSAgencies must provide an electronic link to their FOIA regulations, including their fee schedulehttp://www.gpo.gov/fdsys/pkg/FR‐2013‐08‐29/pdf/2013‐21053.pdf.XII.BACKLOGS, CONSULTATIONS, AND COMPARISONSA. Backlogs of FOIA Requests and Administrative AppealsNumber of Backlogged Requests as of End ofFiscal YearNumber of Backlogged Appeals as of End of Fiscal YearNSF1250OIG00Agency Overall1250B. Consultations on FOIA Requests ‐ Received, Processed, and Pending ConsultationsNumber of Consultation Received from Other Agencies that Were Pending at NSF asof 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 NSF During the Fiscal YearNumber of Consultations Received from Other Agencies that Were Pending at NSF as of End of the Fiscal YearNSF0110OIG0000AgencyOverall0110C. Consultations on FOIA Requests ‐ Ten Oldest Consultations Received from Other Agencies andPending at Your Agency10th Oldest Consultation andNumber of Days Pending9th8th7th6th5th4th3rd2ndOldestConsultationNSFOldest Consultation andNumber of Days PendingN/AN/AN/AN/AN/AN/AN/AN/AN/AN/ANumber of Days Pending0000000000OIGOldest Consultation andNumber of Days PendingN/AN/AN/AN/AN/AN/AN/AN/AN/AN/ANumber of Days Pending0000000000AgencyOverallOldest Consultation andNumber of Days PendingN/AN/AN/AN/AN/AN/AN/AN/AN/AN/ANumber of Days Pending0000000000D. Comparison of Numbers of Requests from Previous and Current Annual Report ‐ Requests Received, Processed, and Backlogged1. 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 processedduring the fiscal year from the current Annual Report.Number 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 ReportNSF367346355272OIG61326033AgencyOverall4283784153052. 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 Annual ReportNumber of Backlogged Requests as of End of the FiscalYear from Current Annual ReportNSF36125OIG00AgencyOverall36125E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report ‐Appeals Received, Processed, and Backlogged1. 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 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 ReportNSF4842OIG8282AgencyOverall12101242. 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 currentAnnual Report.Number 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 ReportNSF00OIG00Overall00F.Discussion of Other FOIA Activities (Optional)1. Provide here any further information about the agency's efforts to improve FOIA administration PAGE 1 PAGE 17117341819483Microsoft Office Word016245falseTitle1NSF Freedom of Information Act Report for October 1, 2012 through September 30, 2013false22856falsefalse14.0000NSF Freedom of Information Act Report for October 1, 2012 through September 30, 2013FOIAPDF prepared by K.D., IDB/DPSDuBose, Kelly D.22014-05-01T19:55:00Z2014-05-01T19:55:00Z