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Freedom of Information Activities (FOIA)
Annual Report
of the Social Security Administration (SSA) for 2000
- Basic Information Regarding SSA's Report
- 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
- Electronic address for a copy of this report on SSA's website: http://www.socialsecurity.gov/foia/
- 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 .
- How to Make a FOIA Request
- 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/
- 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.
- 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).
- Definitions of Terms and Acronyms Used in the Report
- Agency specific acronyms or other terms.
- SSA - Social Security Administration
- SSN - Social Security number
- Basic terms, expressed in common terminology.
- 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.)
- Initial Request - a request to a Federal agency for access
to records under the Freedom of Information Act.
- 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.
- 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.
- 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).
- 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.
- 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.
- 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.
- Grant - an agency decision to disclose all records in
full in response to a FOIA request.
- 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.
- 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).
- 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).
- "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.
- 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).
- Median Number - the middle, not average, number. For
example, of 3, 7, and 14, the median number is 7.
- 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.
- Exemption 3 Statutes
- List of exemption 3 statutes relied on by Agency during fiscal
year.
- 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.
- 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.
- 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).
- Initial FOIA/PA Access Requests
-
Total number of initial FOIA/PA requests received: 262,450
- Number of requests pending as of end of preceding year: 22,979
- Number of requests received during fiscal year 2000: 262,450
- Number of requests processed during fiscal year 2000: 258,342
- Number of requests pending as of end of fiscal year 2000: 27,087
- Disposition of initial requests.
- Number of total grants: 248,374
- Number of partial grants: 5,166
- Number of denials: 3,416
- Number of times each FOIA exemption is used:
- National defense and foreign policy: 0
- Internal personnel rules and practices: 5
- Records exempted by other statutes (26 U.S.C.6103
Exemption 3 statutes(s) used) 224
- Trade secrets and confidential commercial
or financial information: 30
- Internal memoranda: 27
- Clearly unwarranted invasion of personal
privacy: 8,506
- (A) Interference with Enforcement Proceedings: 0
(B) Prejudicial Pretrial Publicity: 0
(C) Personal Information: 14
(D) Confidential Sources: 0
(E) Techniques and Procedures: 0
(F) Physical Safety: 0
- Records on financial institutions: 0
- Records on wells: 0
- Total other reasons for non-disclosure: 916
- No record: 291
- Referrals: 0
- Request withdrawn: 173
- Fee-related reason: 143
- Insufficient identifying information: 239
- Not FOIA jurisdiction: 40
- Not an Agency record: 0
- Duplicate request: 0
- Other: 30
- Request for Procedural Information: 470
- Appeals of Initial Denials of FOIA/PA Requests
- Number of Appeals
|
Regular
Appeals |
Appeals
for Expedited Processing |
- Appeals received during fiscal year
|
88 |
0 |
- Appeals processed during fiscal year
|
75 |
0 |
- Median number of days to process
|
73 |
0 |
- Disposition of Appeals
- Number completely upheld 38
- Number partially reversed 8
- Number completely reversed 9
- Number of times each FOIA exemption is
used:
- National defense and foreign policy 0
- Internal personnel rules and practices 0
- Records exempted by other statutes
(26 U.S.C.6103 Exemption 3 statutes(s)used) 3
- Trade secrets and confidential commercial
or financial information 0
- Internal memoranda 1
- Clearly unwarranted invasion of personal
privacy 43
- (A) Interference with Enforcement Proceedings 0
(B) Prejudicial Pretrial Publicity 0
(C) Personal Information 1
(D) Confidential Sources 0
(E) Techniques and Procedures 0
(F) Physical Safety 0
- Records on financial institutions 0
- Records on wells 0
- Total other reasons for non-disclosure 20
- No record 7
- Referrals 0
- Request withdrawn 6
- Fee-related reason 7
- Insufficient identifying information 0
- Not FOIA jurisdiction 0
- Not an Agency record 0
- Duplicate request 0
- Other 0
- Compliance With Time Limits/Status of Pending Requests
- Median processing time for requests processed during the year.
- Fast track
- Number of requests processed 4456
- median number of days to process 45
- Simple requests
- Number of requests processed 2875
- median number of days to process 29
- Complex requests
- Number of requests processed 679
- median number of days to process 42
- Requests accorded expedited processing.
- Number of requests processed 0
- median number of days to process 0
- Simple requests for Social Security Number Applications & other
Office of Earnings Operations records
- Number of requests processed 191,981
- median number of days to process 11
- Simple requests handled by non-FOIA staff
- Number of requests processed 58,351
- median number of days to process not available
NOTE: Simple requests handled by personnel in SSA's 1500 field offices
and various central office locations whose FOIA responsibilities are limited.
Processing statistics were not kept. Most responses were immediate and
typically covered public documents such as agency operating instructions
or Privacy Act requests by individuals for access to records about themselves.
- Status of pending requests.
- Fast track
- Number of requests pending 709
- median number of days pending 50.1
- Simple requests
- Number of requests pending 278
- median number of days pending 83.1
- Complex requests
- Number of requests pending 215
- median number of days pending 83.6
- Requests accorded expedited processing.
- Number of requests pending 0
- median number of days pending 0
- Simple requests for Social Security Number Applications
- Number of requests pending 25,885
- median number of days pending 11
- Comparisons with Previous Year
- Comparison of Requests Processed
The initial requests processed increased from 134,609 in FY
1999 to 258,342 in FY 2000. The costs to process
these requests increased from $4,421,154 in FY 1999 to $16,218,513 in FY
2000.
The growth in the number of requests is part of a trend covering the
past several years. The increase in the number of requests over this
period of time is primarily due to the popularity of SSA documents, particularly
the Form SS-5, Application for Social Security Number, among genealogists.
The genealogy hobby is growing in the United States and is causing continuing
increases in SSA FOIA requests.
The significant increase in costs to process these requests is partly
caused by the large number of requests, but is more attributable to a
change in the way these costs are calculated. In prior years, SSA calculated
only the direct costs of providing FOIA services. Starting with this
year's report, indirect costs are also being included in the cost calculations.
- Agency efforts to improve timeliness
The timeliness of SSA's responses, as compared to last year, is better
in one category, unchanged in another category, and worse in two categories.
The majority of FOIA requests are handled within the statutory time limits.
Due to the very large increases in the number of FOIA requests received
over the past several years, SSA has been challenged to find ways to
process this work within acceptable timeframes. During this past year,
SSA has made significant progress toward obtaining a new, state- of-the-art,
FOIA processing system that, when acquired and implemented, should offer
significant efficiencies in handling FOIA workloads. Contract award is
expected late in FY 2001 and system installation is expected
during FY 2003.
- Costs/FOIA Staffing
- Staffing levels
- No. of Full-time FOIA Personnel 21
- No. of Personnel with part-time or occasional FOIA duties
(Work Years) 121.5
- Total No. of FOIA Personnel (Work Years) 142.5
- Total costs (including staff and all resources)
- FOIA processing (including appeals) $16,144,739
- Litigation-related activities $73,774
- Total costs $16,218,513
- Comparison with previous FY 99 Total $4,421,154
- Fees
- Total amount of fees collected by agency for processing requests $2,487,319
- Percentage of total costs .15
- FOIA Regulations
See attached 20
CFR, Part 402. This is available electronically at http://www.socialsecurity.gov/foia/
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