Freedom of Information Activities

HHS Freedom of Information Annual Report—FY 2010

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Annual report on Freedom of Information Act (FOIA) requests and activities by the Department of Health & Human Services (HHS) Agency for Health Care Policy and Research (AHRQ).

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I. Basic Information Regarding Report

1. Name, title, address, and telephone number of person(s) to be contacted with questions about the Report.

Nancy Comfort
Freedom of Information Officer
540 Gaither Road
Rockville, MD 20850
(301) 427-1866

2. Electronic address for this report on the World Wide Web:

http://www.ahrq.gov/foia/foiaindx.htm#Reports

3. Address for paper copies of this report

Contact Nancy Comfort at the address or telephone number listed above, or the link shown: http://www.ahrq.gov/foia/instruct.htm.

** Copies of the annual reports of a number of individual HHS Operating Divisions can be found by contacting the responsible component shown in Section II below, or by locating a FOIA link at the following Web sites:

Administration on Aging (AOA): http://www.aoa.gov/AoARoot/Site_Utilities/FOIA/
Administration for Children and Families (ACF): http://www.acf.hhs.gov/acf_foia.html
Agency for Healthcare Research and Quality (AHRQ): http://www.ahrq.gov/news/foia.htm
Centers for Disease Control and Prevention (CDC): http://www.cdc.gov/od/foia/
Centers for Medicare & Medicaid Services (CMS): http://www.cms.hhs.gov/foia/
Food and Drug Administration (FDA): http://www.fda.gov/RegulatoryInformation/foi/
Health Resources and Services Administration (HRSA): http://www.hrsa.gov/foia/
Indian Health Service (IHS): http://www.ihs.gov/AdminMngrResources/FOIA/
National Institute of Health (NIH): http://www.nih.gov/icd/od/foia/
Office of Inspector General (OIG): http://oig.hhs.gov/foia/
Office of Public Health and Science (OPHS): http://www.psc.gov/foia/
Substance Abuse and Mental Health Services Administration: http://www.samhsa.gov/foia/

II. How to Make a FOIA Request

Requests may be submitted electronically at: foiarequests@ahrq.hhs.gov.

1. HHS and OPDIV Freedom of Information Officers/FOIA Requester Service Centers:

   Health and Human Services (HHS)
   Freedom of Information Officer
   Mary E. Switzer Building, Room 2206
   330 C Street, S.W.
   Washington, D.C. 20201
   Phone: 202-690-7453

   Administration for Children and Families (ACF)
   Freedom of Information Officer
   901 D Street, S.W.
   7th Floor West
   Aerospace Building
   Washington, D.C. 20447
   Phone: 202-401-9215

   Administration on Aging (AOA)
   Freedom of Information Officer
   Washington, D.C. 20201
   Phone: 202-357-3540

   Centers for Medicare & Medicaid Services (CMS)
   Freedom of Information Officer
   North Building, Room N2-20-06
   7500 Security Boulevard
   Baltimore, Maryland 21244
   Phone: 410-786-5353

   Office of Inspector General (OIG)
   Freedom of Information Officer
   Cohen Building, Suite 1062
   330 Independence Ave, S.W.
   Washington, D.C. 20201
   Phone: 202-619-2541

   Office of Public Health and Science (OPHS)
   Freedom of Information Officer
   Room 17-66, Parklawn Building
   5600 Fishers Lane
   Rockville, MD 20857
   Phone: 301-443-5252

   Agency for Healthcare Research and Quality (AHRQ)
   Freedom of Information Officer
   540 Gaither Road
   The Eisenberg Building, Room 3129
   Rockville, Maryland 20850
   Phone: 301-427-1866

   Centers for Disease Control and Prevention (CDC) and/or
   Agency for Toxic Substances and Disease Registry (ATSDR)
   Freedom of Information Officer
   1600 Clifton Road, N.E., MS D-54
   Atlanta, Georgia 30333
   Phone: 404-498-1580

   Food and Drug Administration (FDA)
   Freedom of Information Officer
   Parklawn Building, Room 6-30
   5600 Fishers Lane
   Rockville, Maryland 20857
   Phone: 301-827-6567

   Health Resources and Services Administration (HRSA)
   Freedom of Information Officer
   Parklawn Building, Room 14-15
   5600 Fishers Lane
   Rockville, Maryland 20857
   Phone: 301-443-3376

   Indian Health Service (IHS)
   Freedom of Information Officer
   12300 Twinbrook Parkway, Suite 450
   Twinbrook II, Metro Plaza Building
   Rockville, Maryland 20857
   Phone: 301-443-1116

   National Institutes of Health (NIH)
   Freedom of Information Officer
   Building 31, Room 5B35
   9000 Rockville Pike
   Bethesda, Maryland 20892
   Phone: 301-496-5633

   Substance Abuse and Mental Health Services Administration (SAMHSA)
   Freedom of Information Officer
   1 Choke Cherry Road, Room 8-1042
   Rockville, Maryland 20857
   Phone: 240-276-2137

2. 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. Information withheld may include home addresses and phone numbers, social security numbers, medical records, proprietary business records, investigatory records, that if released may interfere with open investigations, and drafts of documents.

III. Acronyms, Definitions, and Exemptions

1. 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
   AHRQ—Agency for Healthcare Research and Quality
   ATSDR—Agency for Toxic Substances and Disease Registry
   CDC—Centers for Disease Control and Prevention
   FDA—Food and Drug Administration
   HRSA—Health Resources and Services Administration
   IHS—Indian Health Service
   NIH—National Institutes of Health
   OIG—Office of the Inspector General
   OPHS—Office of Public Health and Science
   PHS—Public Health Service
   PRO—Professional Review Organization
   PSC—Program Support Center
   SAMHSA—Substance Abuse and Mental Health Services Administration

2. Basic terms (from FOIA UPDATE, Summer 1997):

   1. 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.
   2. 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.
   3. 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.
   4. 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 report data for both the agency overall and for each principal component of the agency.
   5. Consultation—the procedure whereby the agency responding to a FOIA request first forwards a record to another agency for its review because that 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.
   6. 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.
   7. 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.)
   8. Full Grant—an agency decision to disclose all records in full in response to a FOIA request.
   9. 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.
   10. Median Number—Median Number—the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
   11. 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.
       1. Expedited 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.
       2. 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.
       3. 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.
   12. 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.
   13. Pending Request or Pending Administrative Appeal—a request or administrative appeal for which an agency has not taken final action in all respects.
   14. 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.
   15. Processed Request or Processed Administrative Appeal—a request or administrative appeal for which an agency has taken final action in all respects.
   16. Range in Number of Days—the lowest and highest number of days to process requests or administrative appeals.
   17. 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).

3. Concise descriptions of the nine FOIA exemptions:

   1. Exemption 1: classified national defense and foreign relations information.
   2. Exemption 2: internal agency rules and practices.
   3. Exemption 3: information that is prohibited from disclosure by another federal law.
   4. Exemption 4: trade secrets and other confidential business information.
   5. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges.
   6. Exemption 6: information involving matters of personal privacy.
   7. Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production of those records.
      1. Could reasonably be expected to interfere with enforcement proceedings.
      2. Would deprive a person of a right to a fair trial or an impartial adjudication.
      3. Could reasonably be expected to constitute an unwarranted invasion of personal privacy.
      4. Could reasonably be expected to disclose the identity of a confidential source.
      5. Would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions.
      6. Could reasonably be expected to endanger the life or physical safety of any individual.
   8. Exemption 8: information relating to the supervision of financial institutions.
   9. Exemption 9: geological information on wells.

IV. Exemption 3 Statutes

Statute	Type of Information Withheld	Case Citation	Number of Times Relied upon per Component	Total Number of Times Relied upon by Agency
Public Health Service Act 42 U.S.C. 299c-3(c) and (d)	Research data in databases		2	2

V. FOIA Requests

1. Received, Processed, and Pending FOIA Requests:

Component	Number of Requests Pending as of Start of Fiscal Year	Number of Requests Received in Fiscal Year	Number of Requests Processed in Fiscal Year	Number of Requests Pending as of End of Fiscal Year
OS
ACF
AOA
CMS
OIG
OPHS/PSC
AHRQ	11	57	61	7
CDC
FDA
HRSA
IHS
NIH
SAMHSA
HHS Total

2. (1) Disposition of all FOIA Requests—All Processed Requests:

Component	Number of Full Grants	Number of Partial Grants/ Partial Denials	Number of Full Denials Based on Exemptions	Number of Full Denials Based on Reasons Other than Exemptions									Total
				No Records	All Records Referred to another Component or Agency	Request Withdrawn	Fee-Related Reason	Records not Reasonably Described	Improper FOIA Request for Other Reason	Not Agency Record	Duplicate Request	Other "Explain in chart below"
OS
ACF
AOA
CMS
OIG
OPHS/PSC
AHRQ	12	23	2	12	4	4	0	1	1	0	2	0	61
CDC
FDA
HRSA
IHS
NIH
SAMHSA
HHS Total

2. (2) Disposition of FOIA Requests—Other Reasons for "Full Denials Based on Reasons Other than Exemptions" from Section V, B (1):

Component	Description of "Other" Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied upon	Total
OS
ACF
AOA
CMS
OIG
OPHS/PSC
AHRQ
CDC
FDA
HRSA
IHS
NIH
SAMHSA
HHS Total

2. (3) Disposition of FOIA Requests—Number of times exemptions applied:

Component	Ex. 1	Ex.2	Ex.3	Ex.4	Ex.5	Ex.6	Ex. 7(A)	Ex. 7(B)	Ex. 7(C)	Ex. 7(D)	Ex. 7(E)	Ex. 7(F)	Ex. 8	Ex. 9
OS	0												0	0
ACF	0												0	0
AOA	0												0	0
CMS	0												0	0
OIG	0												0	0
OPHS/PSC	0												0	0
AHRQ	0	0	2	25	0	14	0	0	0	0	0	0	0	0
CDC	0												0	0
FDA	0												0	0
HRSA	0												0	0
IHS	0												0	0
NIH	0												0	0
SAMHSA	0												0	0
HHS Total	0												0	0

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