HHS Fiscal Year 1998 Freedom of Information Annual Report
I. AGENCY:
- U.S. Department of Health and Human Services (HHS) REPORT PREPARED BY: Rosario Cirrincione
TITLE: Director, Freedom of Information and Privacy Acts Division, Office of the Assistant Secretary for Public Affairs, HHS
ADDRESS: Room 645F, 200 Independence Avenue, S.W., Washington, D.C. 20201
PHONE NUMBER: (202) 690-7453ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB: www.hhs.gov/foia/reports/98anlrpt.html
Copies of the annual reports of several individual HHS Operating Divisions can be found at:Agency for Health Care Policy and Research (AHCPR): www.ahcpr.gov/info/info.htm
Centers for Disease Control and Prevention (CDC): www.cdc.gov/od/foia/foi.htm
Food and Drug Administration (FDA): www.fda.gov/foi/foia2.htm
Health Care Financing Administration (HCFA):cms.hhs.gov/foip/default.htm
Health Resources and Services Administration (HRSA): www.hrsa.gov/Newsroom/efoia.htm
National Institutes of Health (NIH): www.nih.gov/od/foia/index.htm
Program Support Center (PSC) and Office of Public Health and Science OPHS): www.psc.govADDRESS FOR PAPER COPIES OF THIS REPORT:
Freedom of Information/Privacy Acts Division
U.S. Department of Health and Human Services
Hubert H. Humphrey Building
200 Independence Avenue, S.W.
Washington, DC 20201 - HOW TO MAKE A FOIA REQUEST:
- Please see HHS FOIA Reference Guide at: www.hhs.gov/about/infoguid.html (Copy attached to paper report).
- Names, addresses, and telephone numbers of all individual agency components and offices that process FOIA requests:
HHS Freedom of Information Officer
Room 645-F, Hubert H. Humphrey Building
200 Independence Avenue S.W.
Washington, D.C. 20201
Telephone: (202) 690-7453Administration for Children and Families (ACF)
Freedom of Information Officer
Room 645-F, Hubert H. Humphrey Building
200 Independence Avenue, S.W.
Washington, D.C. 20201
Telephone: (202) 690-7453Administration on Aging (AoA)
Freedom of Information Officer
330 Independence Avenue, S.W.
Telephone: (202) 619-0073Agency for Health Care Policy and Research (AHCPR)
Freedom of Information Officer
Executive Office Center
2191 East Jefferson Street
Rockville, MD 20852
Telephone: (301) 594-1362 ext. 1353Centers for Disease Control and Prevention (CDC) and/or
Agency for Toxic Substances and Disease Registry (ATSDR)
Freedom of Information Officer
1600 Clifton Rd NE
Atlanta, Georgia 30333
Telephone: (404) 639-2388Food and Drug Administration (FDA)
Freedom of Information Officer
Room 12-A-16, Parklawn Building
5600 Fishers Lane
Rockville MD 20857
Telephone: (301) 827-6567Health Care Financing Administration (HCFA)
Freedom of Information Officer
Room N2-20-16, North Building
Baltimore, MD 21244
Telephone: (410) 786-5352Health Resources and Services Administration (HRSA)
Freedom of Information Officer
Room 1134, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-2865Indian Health Service (IHS)
Freedom of Information Officer
Twinbrook Metro Plaza
12300 Twinbrook Parkway, Suite 450
Rockville, MD 20857
Telephone: (301) 443-1116National Institutes of Health (NIH)
Freedom of Information Officer
Room 2B39, Building 31
9000 Rockville Pike
Bethesda, MD 20892
Telephone: (301) 496-5633Program Support Center (PSC)
Freedom of Information Officer
Room 13-C-24, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-5252Substance Abuse and Mental Health Services Administration (SAMHSA)
Freedom of Information Officer
Room 12-C-15, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-8956- Brief description of agency's response time range(s):
Because individual operating divisions (OPDIVS) have authority to release or deny their own records, and vary greatly in terms of the size and volume of FOIA requests processed, their is no overall HHS time range. Individual OPDIV response times can range from same day response to over a year, depending on the complexity of the request.- Brief description of why some requests are not granted:
Documents requested were protected by an exemption and release would have caused harm to the interest protected by the exemption.
- DEFINITIONS OF TERMS AND ACRONYMS USED IN REPORT:
- Agency-specific acronyms or other terms:
HHS - U.S. Department of Health and Human Services
OPDIVs - Operating Divisions of HHS
OS - Office of the Secretary, HHS
OASPA - Office of the Assistant Secretary for Public Affairs, HHS
AoA - Administration on Aging
ACF - Administration for Children and Families
AHCPR - Agency for Health Care Policy and Research
ATSDR - Agency for Toxic Substances and Disease Registry
CDC - Centers for Disease Control and Prevention
FDA - Food and Drug Administration
HCFA - Health Care Financing Administration (Medicare and Medicaid)
HRSA - Health Resources and Services Administration
IHS - Indian Health Service
NIH - National Institutes of Health
PRO - Professional Review Organization
PSC - Program Support Center
SAMHSA - Substance Abuse and Mental Health Services Administration - Basic terms (from FOIA UPDATE, Summer 1997):
- FOIA/PA request - Freedom of Information/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 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 (non-expedited) track based on the volume and/or simplicity of the 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 response to a FOIA request.
- Partial grant - an agency 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 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 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 eight.
- Agency-specific acronyms or other terms:
- EXEMPTION 3 STATUTES:
- List of Exemption 3 statutes relied on by the agency during report year:
5 U.S.C. Appendix 6; 15 U.S.C. 3710a(c)(7); 18 U.S.C. 208; 41 U.S.C. 253b(m);
41 U.S.C. 423; 42 U.S.C. 242m(d); 42 U.S.C. 300aa12(d)(4)(A);
42 U.S.C. 1320c9;42 U.S.C. 11137(b).- Brief description of type(s) of information withheld under each statute:
5 U.S.C. Appendix 6 - Ethics in Government Act of 1989, prohibits release of confidential reports by employees whose positions are covered by the Act.
15 U.S.C. 3710a(c)(7) - Federal Technology Transfer Act of 1986; prohibits the release of confidential commercial information obtained from a private sector partner.
18 U.S.C. 208 - Ethics in Government Act; prohibits release of financial disclosure forms/personal financial interest.
41 U.S.C. 253b(m) - National Defense Authorization Act; prohibits release of contractor proposals not incorporated into agency contracts.
41 U.S.C. 423 - Procurement Integrity Act of 1988;_ prohibits release of information that would identify organizations who have submitted proposals prior to the issuance of an award and the disclosure of unfunded grant applications.
42 U.S.C. 242m(d) - Public Health Service Act; prohibits release of health information identifiable to an individual or establishment.
42 U.S.C. 300aa12(d)(4)(A) - National Childhood Vaccine Injury Compensation Act; prohibits release of information submitted to a special master or court proceeding without the express consent of the person submitting the information.
42 U.S.C. 1320c9 - Social Security Act; prohibits release of data or information acquired by a professional review organization (PRO) in the exercise of its duties and functions.
42 U.S.C. 11137(b) - Health Care Quality Improvement Act of 1986 and the National Practitioners Data Bank; Prohibits release of adverse reports of a physician's conduct or practice.
- Has a court upheld the use of each statute? If so, cite example:
- No.
- INITIAL FOIA/PA ACCESS REQUESTS (Include all requests, 3rd or 1st party):
- Numbers of initial requests (line 1 + line 2 - line 3 = line 4):
- Number of requests pending at close of preceding fiscal year: 20073
- Number of requests received during reporting fiscal year: 65954
- Number of requests processed during reporting fiscal year: 67367
- Number of requests pending at close of reporting fiscal year: 18739
(Enter this number also as Line VII.B.1.) - Number of requests pending at close of preceding fiscal year: 20073
- Number of requests received during reporting fiscal year: 65954
- Number of requests processed during reporting fiscal year: 67367
- Number of requests pending at close of reporting fiscal year: 18739
(Enter this number also as Line VII.B.1.)
- Number of requests pending at close of preceding fiscal year: 20073
- Number of requests received during reporting fiscal year: 65954
- Number of requests processed during reporting fiscal year: 67367
- Number of requests pending at close of reporting fiscal year: 18739
(Enter this number also as Line VII.B.1.)
- Disposition of Initial Requests:
- Number granted in full: 57539
- Number granted in part: 697
- Number of full and partial denials: 9772 (includes item 4, below)
- Number of times each FOIA exemption was used:
Exemption 1 - 0000
Exemption 2 - 17
Exemption 3 - 60
Exemption 4 - 318
Exemption 5 - 230
Exemption 6 - 1285
Exemption 7 - 175
Exemption 8 - 0000
Exemption 9 - 0000
- Number of times each FOIA exemption was used:
- Other reasons for non-disclosure (total) 7877
- no records 2449
- referrals 503
- request withdrawn 3226
- fee-related reason 70
- records not reasonably described 28
- not a proper FOIA request for some other reason 1220
- not an agency record 22
- duplicate request 194
- other (specify) 181 (Glomar; materials more readily available from other sources, e.g. internet, libraries, etc.)
- Numbers of initial requests (line 1 + line 2 - line 3 = line 4):
- APPEALS OF INITIAL DENIALS OF FOIA/PA REQUESTS (include all access requests whether first or third party):
- Numbers of Appeals:
- Number of appeals received during the fiscal year 149
- Number of appeals processed during the fiscal year 162
- Number of appeals received during the fiscal year 149
- Number of appeals processed during the fiscal year 162
- Number of appeals received during the fiscal year 149
- Number of appeals processed during the fiscal year 162
- Disposition of Appeals:
- Number completely upheld 112
- Number partially reversed 7
- Number completely reversed 43
- Number of times each FOIA exemption used (counting each exemption used once per appeal)
Exemption 1 0
Exemption 2 0
Exemption 3 5
Exemption 4 6
Exemption 5 12
Exemption 6 18
Exemption 7 19
Exemption 7(A) 2
Exemption 7(B) 0
Exemption 7(C) 12
Exemption 7(D) 5
Exemption 7(E) 0
Exemption 7(F) 0
Exemption 8 0
Exemption 9 0
- Number of times each FOIA exemption used (counting each exemption used once per appeal)
- Other reasons for non-disclosure (total) 56
- no records 11
- referrals 2
- request withdrawn 36
- fee-related reason 6
- records not reasonably described 0
- not a proper FOIA request for some other reason 0
- not an agency record 0
- duplicate request 0
- other (specify) 1 (Glomar)
- Numbers of Appeals:
- COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS:
- Median Processing Time for Requests Processed During the Year.
- (Not all HHS components used multiple track systems. For the reports of those that did, please see the individual annual reports of the FDA, HCFA, and the PSC).
- Simple Requests (if multiple tracks used):
- number of requests processed _____
- median number of days to process _____
- Complex Requests (specify for any and all tracks used):
- number of requests processed _____
- median number of days to process _____
- Requests Accorded Expedited Processing:
- number of requests processed: 55
- median number of days to process: 17
- Simple Requests (if multiple tracks used):
- Status of Pending Requests (if multiple tracks are being used, report for each track as well as totals).
- Number of requests pending as of the end of the fiscal year covered in this report (from Line V.A.4): 18739
- Median number of days that such requests were pending as of that date: Medians vary greatly from OPDIV to OPDIV. Among those OPDIVS with pending requests at the end of the fiscal year, medians ranged from 51 days to 270 days.
- COMPARISONS WITH PREVIOUS YEARS(S) (Optional):
- COSTS/FOIA STAFFING:
- Staffing levels:
- Number of full-time FOIA personnel 107
- Number of personnel with part-time or occasional FOIA duties (in total work-years 87
- Total number of personnel (in work years) 194
- Total costs (including staff and all resources):
- FOIA processing (including appeals) $10,770,399
- Litigation-related activities (estimated) $206,663
- Total costs $10,977,062
- Comparison with previous year(s) (including percentage of change) (optional) ______
- Staffing levels:
- FEES:
- Total amount of fees collected by agency for processing requests: $1,295,672
- Percentage of total costs: 12%
- FOIA REGULATIONS (including fee schedule):
The FOIA regulation implementing the 1996 amendments to the Freedom of Information Act are currently under review at the Office of Management and Budget. Until such time as the revised regulation is published as a new final rule, the current HHS FOIA regulation can be found at 45 CFR Part 5, here (Copy attached to paper report).