2001 Annual Report

Freedom of Information Activities (FOIA)
Annual Report of the Social Security Administration (SSA) for 2001

1. Basic Information Regarding SSA's Report
   1. Report Prepared By: Darrell Blevins
      Title: Freedom of Information Officer
      Agency/Component: SSA, Office of Disclosure Policy
      Telephone: 410-965-1727 FAX: 410-966-4304
      
      
      Mailing Address:
      Office of Disclosure Policy
      3-A-6 Operations Building
      6401 Security Blvd.
      Baltimore, MD 21235
       
   2. Electronic address for a copy of this report on SSA's website: http://www.socialsecurity.gov/foia/
   3. To obtain a paper copy of this report write to the address shown above, or phone, fax, or E-Mail to the Office of Disclosure Policy.  E-Mail address: foia.pa.officers@ssa.gov .
2.  How to Make a FOIA Request
   1. Complete information on making a FOIA request is contained in The Code of Federal Regulations (CFR), 20 CFR Part 402. The CFR which is a guide to FOIA requests is available at SSA's Website at http://www.socialsecurity.gov/foia/ 
   2. SSA will try to furnish information as quickly as possible. However, it may take one month or more to locate, retrieve, and review many records. Complex requests and requests for numerous records may take longer.
   3. We generally do not disclose information about living individuals without their written consent, as this would be a clearly unwarranted invasion of personal privacy.  5 U.S.C.552(b)(6).
      We do not disclose tax information about third parties obtained by SSA from the IRS under 5 U.S.C. 552(b)(3).
      Depending upon the nature of the document SSA may withhold documents under the deliberative process privilege, the attorney work product privilege or attorney-client privilege under 5 U.S.C. 552(b)(5).
3. Definitions of Terms and Acronyms Used in the Report
   1. Agency specific acronyms or other terms.
      1. SSA - Social Security Administration
      2. SSN - Social Security number
   2. Basic terms, expressed in common terminology.
      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 (nonexpedited) 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 because 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.
4. Exemption 3 Statutes
   1. List of exemption 3 statutes relied on by Agency during fiscal year.
      1. SSA withholds tax return information, such as third party addresses and employers names and addresses, in situations in which Section 6103 of the Internal Revenue Code is applicable.
      2. The withholding of tax return information has been approved under three different theories. The United States Supreme Court and most appellate courts that have considered the matter have held either explicitly or implicitly that section 6103 of the Internal Revenue Code satisfies subpart (B) of exemption 3.
      3. See e.g., Church of Scientology v. IRS, 484 U.S. 9, 15 (1987); Aronson v. IRS, 973 F.2d 962, 964-65 (1st Cir.1992) (finding that IRS lawfully exercised discretion to withhold street addresses pursuant to 26 U.S.C. section 6103(m)(1)); Long v. IRS, 891 F2d 222, 224 (9th Cir. 1989) (holding that deletion of taxpapers' identification does not alter confidentiality of section 6103 information).
5. Initial FOIA/PA Access Requests

   1. Number of initial FOIA/PA requests

      1. Number of requests pending as of end of preceding year:   27,087
      2. Number of requests received during fiscal year 2000:   263,756
      3. Number of requests processed during fiscal year 2000:   264,055
      4. Number of requests pending as of end of fiscal year 2000:   26,788
   2. Disposition of initial requests.
      1. Number of total grants:   260,271
      2. Number of partial grants:   963
      3. Number of denials:   1,285
         1. Number of times each FOIA exemption is used:
            1. National defense and foreign policy:  0
            2. Internal personnel rules and practices:  10
            3. Records exempted by other statutes (26 U.S.C.6103 Exemption 3 statutes(s) used) 194 
            4. Trade secrets and confidential commercial or financial information:   10
            5. Internal memoranda:   50
            6. Clearly unwarranted invasion of personal privacy:   1,019
            7. (A) Interference with Enforcement Proceedings:  0
               (B) Prejudicial Pretrial Publicity:   0
               (C) Personal Information:  21
               (D) Confidential Sources:  0
               (E) Techniques and Procedures:  0
               (F) Physical Safety:  0
            8. Records on financial institutions:  0
            9. Records on wells:  0
      4. Total other reasons for non-disclosure:  1,536
         1. No record: 174
         2. Referrals:  0
         3. Request withdrawn:  120
         4. Fee-related reason:  143
         5. Insufficient identifying information:  135
         6. Not FOIA jurisdiction:  52
         7. Not an Agency record:  0
         8. Duplicate request:  0
         9. Other: 912
            • Not an agency record
            • Fee related
            • Records not reasonably described
            • Referred in error
            • Unable to contact requester
            • Procedural information

             

6. Appeals of Initial Denials of FOIA/PA Requests 

   Number of Appeals	Regular Appeals
   Appeals received during fiscal year	165
   Appeals processed during fiscal year	155

   2. Disposition of Appeals
      1. Number completely upheld 102
      2. Number partially reversed 16
      3. Number completely reversed 10
         1. Number of times each FOIA exemption is used:
            1. National defense and foreign policy 0
            2. Internal personnel rules and practices 3
            3.  Records exempted by other statutes (26 U.S.C.6103 Exemption 3 statutes(s)used) 2  
            4.  Trade secrets and confidential commercial or financial information  4
            5.  Internal memoranda 10
            6.  Clearly unwarranted invasion of personal privacy 83
            7. (A) Interference with Enforcement Proceedings 1
               (B) Prejudicial Pretrial Publicity 0
               (C) Personal Information 0
               (D) Confidential Sources 0
               (E) Techniques and Procedures 0
               (F) Physical Safety 0
            8. Records on financial institutions 0
            9. Records on wells 0
      4. Total other reasons for non-disclosure 27
         1. No record 0
         2. Referrals 0
         3. Request withdrawn 16
         4. Fee-related reason 3
         5. Insufficient identifying information 0
         6. Not FOIA jurisdiction 0
         7. Not an Agency record 0
         8. Duplicate request 0
         9. Other 8
7. Compliance With Time Limits/Status of Pending Requests
   1. Median processing time for requests processed during the year.
      1. Fast track
         1. Number of requests processed 1,995
         2. median number of days to process 28
      2. Simple requests
         1. Number of requests processed 2,479
         2. median number of days to process 31
      3. Complex requests
         1. Number of requests processed 421
         2. median number of days to process 62
      4. Requests accorded expedited processing.
         1. Number of requests processed 0
         2. median number of days to process 0
      5. Simple requests for Social Security Number Applications & other Office of Earnings Operations records
         1. Number of requests processed 81,631
         2. median number of days to process 13
      6. Simple requests handled by non-FOIA staff
         1. Number of requests processed 177,529
         2. median number of days to process not available

2. Status of pending requests.
   1. Fast track
      1. Number of requests pending 171
      2. median number of days pending 99
   2. Simple requests
      1. Number of requests pending 96
      2. median number of days pending 90
   3. Complex requests
      1. Number of requests pending 136
      2. median number of days pending 84
   4. Requests accorded expedited processing.
      1. Number of requests pending 0
      2. median number of days pending 0
   5. Simple requests for Social Security Number Applications
      1. Number of requests pending 26,385
      2. median number of days pending not available

8. Comparisons with Previous Year 
   
   Compared to last year, collections are lower and processed requests are higher. The increase in requests was anticipated because more people are entaged in genealogical activities and one of the more popular records they request is the application for social security number. Last year, we processed 258,342 requests as compared to 264,055 this year. The increase wasn't as steep as the year before, but people were asking for more records per request.
   
   Costs were reduced because SSA instituted some process efficiencies and centralized some workolads, making it easier to access materials (less handoffs between staffs) and answered some requests more quickly.
   
   In addition, the Agency hired 20 employees to process request for copies of Social Security Number Applications (SS5) on a part-time basis to enable faster processing of this workload.
   
   

9. Costs/FOIA Staffing
   1. Staffing levels
      1. No. of Full-time FOIA Personnel 20
      2. No. of Personnel with part-time or occasional FOIA duties (Work Years) 127
      3. Total No. of FOIA Personnel (Work Years) 147
   2. Total costs (including staff and all resources)
      1. FOIA processing (including appeals) $14,658,998
      2. Litigation-related activities $17,124
      3. Total costs $14,676,122
      4. Comparison with previous FY 99 Total $16,218,513
10. Fees
    1. Total amount of fees collected by agency for processing requests $2,798,000
    2. Percentage of total costs .19
11. FOIA Regulations
    See attached 20 CFR, Part 402. This is available electronically at http://www.socialsecurity.gov/foia/
    
    

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