HHS Fiscal Year 2002 Freedom of Information Annual Report
- AGENCY: U.S. Department of Health and Human Services
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) 690-7453
ELECTRONIC ADDRESS FOR THIS REPORT ON THE WORLD WIDE WEB: www.hhs.gov/foia/reports/02anlrpt.html
**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 websites:
Administration on Aging (AOA): http://www.aoa.gov/
Agency for Healthcare Research and Quality (AHRQ): http://www.ahrq.gov
Centers for Disease Control and Prevention (CDC): http://www.cdc.gov
Centers for Medicare & Medicaid Services (CMS): http://www.cms.gov
Food and Drug Administration (FDA): http://www.fda.gov
Health Resources and Services Administration (HRSA): http://www.hrsa.gov
Indian Health Service: http://www.ihs.gov
National Institute of Health (NIH): http://www.nih.gov/ADDRESS FOR PAPER COPIES OF THIS REPORT:
Freedom of Information/Privacy Acts Division
U.S. Department of Health and Human Services
Hubert H. Humphrey Building/Room 645-F
200 Independence Avenue, S.W.
Washington, DC 20201 - HOW TO MAKE A FOIA REQUEST: Please see HHS Guide to Information
Resources at www.hhs.gov/about/infoguid.html#foia
A. Names, addresses, and telephone numbers of all individual agency componenets 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
Executive Secretariat
330 Independence Avenue, S.W.
Washington D.C. 20201
Telephone: (202) 357-3540Agency for Healthcare Research and Quality (AHRQ)
Freedom of Information Officer
Suite 501
2101 East Jefferson Street
Rockville, MD 20852
Telephone: (301) 594-6391Centers for Disease Control and Prevention (CDC) and/or
Agency for Toxic Substances and Disease Registry (ATSDR)
Freedom of Information Officer
1600 Clifton Rd, N.E., MSD 54
Atlanta, Georgia 30333
Telephone: (404) 639-7270Centers for Medicare & Medicaid Services
Freedom of Information Officer
7500 Security Boulevard
Room N2-20-16, North Building
Baltimore, Maryland 21244
Telephone (410) 786-5352Food and Drug Administration (FDA)
Freedom of Information Officer
5600 Fishers Lane (HFI-35), Room 12A-16
Rockville, MD 20857
Telephone: (301) 827-6500Health Resources and Services Administration (HRSA)
Freedom of Information Officer
Office of Communications, Room 14-15
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-2865Indian Health Service (IHS)
Freedom of Information Officer
Suite 450
12300 Twinbrook Parkway,
Rockville, MD 20852
Telephone: (301) 443-1116National Institutes of Health (NIH)
Freedom of Information Officer
Room 5B35, Building 31
9000 Rockville Pike
Bethesda, MD 20892
Telephone: (301) 496-5633Office of Public Health and Science (OPHS)
Freedom of Information Officer, Room 17-A-46
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-5252Substance Abuse and Mental Health Services Administration (SAMHSA)
Freedom of Information Officer
Room 13-C-05
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-8956B. Brief description of agency's response time range(s): Becasue 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.
There is no overall HHS time range. Individual OPDIV response time can range from same day response to over a year, depending on the complexity of the request.
C. 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:
A. 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 Services
NIH - National Institutes of Health
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 AdministrationB. 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.
Proceed 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 processingplaces 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 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 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 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 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.
- EXEMPTION 3 STATUTES
A. List of Exemption 3 statutes relied on by the agency during report year: (See chart below)
- Brief description of type(s) of information withheld under each statute: (See chart below)
- Has a court upheld the use of each statute? If so, cite example: (See chart below)
Type of Information Withheld
Case Citation
5 U.S.C. 107(a)(2) Appendix 4
Confidential financial disclosure reports
Meyerhoff v. EPA, 958 F.2nd (9th Cir 1992)
41 U.S.C. 253b (m)
Contractor proposals not incorporated into agency contracts
No
35 U.S.C. 122
Information in a pending or non-issued patent application
No
35 U.S.C. 205
Document as part of a patent application
No
42 U.S.C. 1396r-8(b)(3)(D)
Information disclosed by manufacturers and wholesalers¼in a form which discloses¼prices charged for drugs by such manufacturer or wholesaler
No
42 U.S.C. 300hh-12(c), Section 121 (c)
Bioterrorism related information
No
42 U.S.C. 11137(b)
Adverse reports of a physicians's conduct or practice
No
- INITIAL FOIA/PA ACCESS REQUESTS (Include all requests, 3rd or 1st party): (See chart below)
- Numbers of initial requests (line 1 + line 2 - line 3 = line 4):
- Number of requests pending at close of preceding fiscal year: 17,403 (does not include 114 requests closed retroactively by NIH for FY 2001)
- Number of requests received during reporting fiscal year: 105,068
- Number of requests processed during reporting fiscal year: 103,163
- Number of requests pending at close of reporting fiscal year: 19,308 (This number should match Line VII.B.1.)
Number of Requests Pending as of End of Preceding Year
Number of Requests Received in Current Year
Number of Requests Processed in Current Year
Number of Requests Pending as of End of Current Year
OS (2)
315
945
968
292
AoA
0
8
8
0
CMS
2,746
29,341
28,275
3,812
PSC (3)
14
172
186
0
OASPH
273
461
465
269
AHRQ
8
85
87
6
CDC
61
1,013
938
136
FDA
13,153
19,791
18,847
14,097
HRSA
33
311
307
37
IHS
74
45,403
45,457
20
NIH
631 (4)
7,394
7,465
560
SAMHSA
95
144
160
79
PHS Total
14,328
74,602
73,726
15,204
HHS Total
17,403
105,068
103,163
19,308
- Figures include Privacy Act records access requests not previously included in FOIA reports
- Some OS figures partially based on estimates due to software/system failure
- PSC FOIA operations redelegated to OASPH during FY 2002
- Does not include 114 additional "pending" requests closed retroactively for FY 2001
- Disposition of Initial Requests:
Number of Total Grants
Number of Partial Grants
Number of Full Denials
Total of Other Reasons of Nondisclosure
OS
234
164
21
549
AoA
8
0
0
0
CMS
23,266
155
1,233
3,621
PSC
84
36
6
60
OASPH
277
27
14
147
AHRQ
46
2
1
38
CDC
401
166
30
341
FDA
13,958
72
87
4,730
HRSA
269
20
9
9
IHS
45,415
37
0
5
NIH
7119
22
10
314
SAMHSA
36
45
60
19
PHS Total
67,521
391
211
5,603
HHS Total
91,113
746
1471
9,833
- Number granted in full: 91,113
- Number granted in part: 746
- Number of full denials: 1471
(2)
(3)
(4)
(5)
(6)
(7A)
(7B)
(7C)
(7D)
(7E)
(7F)
OS
1
0
69
45
87
21
1
17
0
0
0
AoA
0
0
0
0
0
0
0
0
0
0
0
CMS
21
3
54
72
1284
4
0
10
3
0
0
PSC
0
3
30
1
8
0
0
0
0
0
0
OASPH
1
2
8
15
20
12
0
10
9
0
0
AHRQ
0
1
1
1
1
0
0
0
0
0
0
CDC
39
13
74
31
106
19
0
0
0
0
0
FDA
3
1
95
9
16
45
0
16
3
1
0
HRSA
1
1
4
11
6
1
0
0
0
0
0
IHS
0
0
11
2
19
0
0
0
0
0
0
NIH
0
3
13
18
25
2
0
2
0
0
0
SAMHSA
0
0
38
10
58
0
0
0
0
0
0
PHS Total
44
21
244
97
251
79
1
28
12
1
0
HHS Total
66
27
397
215
1630
104
1
55
15
1
0
(1) No claims for exemption (1), (8), or (9).
- Number of times each FOIA exemption was used:
Exemption 1 0000
Exemption 2 66
Exemption 3 27
Exemption 4 397
Exemption 5 215
Exemption 6 1630
Exemption 7Exemption 7(A) 104Exemption 8 0000
Exemption 7(B) 1
Exemption 7(C) 55
Exemption 7(D) 15
Exemption 7(E) 1
Exemption 7(F) 0
Exemption 9 0000
- Number of times each FOIA exemption was used:
- Other reasons for non-disclosure (total): 9833
No Records
Referrals
Request Withdrawn
Fee-Related Reason
Records Not Reasonably Described
Not a Proper FOIA Request for Some Other Reason
Not an Agency Record
Duplicate Request
Other
OS
126
290
82
2
1
13
3
16
16
AoA
0
0
0
0
0
0
0
0
0
CMS
946
22
465
1277
55
724
3
1
128
PSC
41
2
15
0
0
0
0
2
0
OASPH
64
33
35
8
0
0
0
2
5
AHRQ
19
2
6
0
0
3
8
0
0
CDC
182
16
36
24
0
15
12
0
56
FDA
1635
34
2086
27
0
226
1
123
598
HRSA
6
2
0
0
0
0
1
0
0
IHS
0
0
0
0
0
0
0
0
5
NIH
145
8
132
11
7
0
6
5
0
SAMHSA
19
0
0
0
0
0
0
0
0
PHS Total
1113
95
2295
70
7
244
28
130
664
HHS Total
3183
409
2857
1349
63
981
34
149
808
- no records: 3183
- referrals: 409
- request withdrawn: 2857
- fee-related reason: 1349
- records not reasonable described: 63
- not a proper FOIA request for some other reason: 981
- not an agency record: 34
- duplicate request: 149
- other (specify): 808 (Glomar; litigation; administrative closures; 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 159
- Number of appeals processed during the fiscal year 161
- Disposition of Appeals:
- Number completely upheld 28
- Number partially reversed 15
- Number completely reversed 23
- Number of times each FOIA exemption used (counting each exemption used once per appeal)Exemption 1 0
Exemption 2 0
Exemption 3 2
Exemption 4 4
Exemption 5 11
Exemption 6 19
Exemption 7Exemption 7(A) 1Exemption 8 0
Exemption 7(B) 0
Exemption 7(C) 1
Exemption 7(D) 0
Exemption 7(E) 0
Exemption 7(F) 0
Exemption 9 0
- Number of times each FOIA exemption used (counting each exemption used once per appeal)
- Other reasons for non-disclosure (total) 95
- no records: 16
- referrals: 1
- request withdrawn: 32
- fee-related reason: 6
- records not reasonable described: 0
- not a proper FOIA request for some other reason: 1
- not an agency record: 0
- duplicate request: 5
- other (specify): 34 (litigation; administrative closures; materials more readily available from other sources, e.g. internet, libraries, etc.)
- Numbers of Appeals:
- COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS: (See chart below)
A. Median Processing Time for Requests Processed During the Year: (Some OPDIVs do not use multiple tracks - see attached)
- Simple Requests (if multiple tracks used):
- number of requests processed: 36,024 (See chart below)
- median number of days to process: (See chart below)
- Complex Requests (includes total of complex requests and single-track systems):
- number of requests processed: 67,100 (See chart below)
- median number of days to process: (See chart below)
- Requests Accorded Expedited Processing:
- number of requests processed: 39 (See chart below)
- median number of days to process: (See chart below)
- Does not include 86 access requests logged on manual systems
- Does not include 33 additional OAPHS requests referred to other organizations
- Based on sample
B. 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): 19,308
- Median number of days that such requests were pending as of that date: Medians vary greatly from OPDIV to OPDIV. (See chart below)
AHRQ
AOA
CDC
CMS
FDA
HRSA
IHS
NIH
OS
PHS
PSC
SAMHSA
1. Number of Requests Pending
6
00
136
2960 (1)
14097
37
20
560
292
269
0
79
2. Number of Median Days of PendingRequests as of September 30, 2002
100
0
86
7
206 (2)
14
32
204
115 (3)
180 (4)
0
9
852 (5)
(6)
- Simple requests only.
- Multi-track median day figures unavailable.
- Based on sample.
- Multi-track median day figures unavailable.
- Complex requests.
- Median day figures unavailable for complex requests.
- Simple Requests (if multiple tracks used):
- COMPARISONS WITH PREVIOUS YEARS(S) (Optional):
A. Other statistics significant to components: The HHS plans to collect information on requests for expedited processing during FY 2003.
- COSTS/FOIA STAFFING: (See chart below)
A. Staffing levels:
- Number of full-time FOIA personnel: 184
- Number of personnel with part-time or occasional FOIA duties (in total work-years): 57.387
- Total number of personnel (in work years): 241.387
B. Total costs (including staff and all resources):
- FOIA processing (including appeals) $14,606,788
- Litigation-related activities (estimated) $206,677
- Total costs $14,813,365
- Comparison with previous year(s) (including percentage of change)(optinal)
- FEES: (See chart below)
A. Total amount of fees collected by agency for processing requests: $711,259
B. Percentage of total costs: 5%
Staffing Levels
Costs (Estimated)
Fees
Number of Full-Time Personnel
Number Staff With Part-Time or Occasional FOIA Duties (In Total Workyears)
Total Number of Personnel (In Work-Years)
FOIA Processing
Litigation-Related Activities
Total Costs
Total Fees Collected
% of Costs
OS
6
0
6
$483,530
$90,118
$573,648
$7,979
1
AoA
0
0.04
0.04
2,576
0
2,576
35
1
CMS
73
13.6
86.6
2,064,384
12,853
2,077,237
103,591
5
PSC
0
1
1
55,215
0
55,215
155
0
OASPH
3
0.75
3.75
197,950
11,327
209,277
2,323
1
AHRQ
1
0.25
1.25
44,875
0
44,875
113
0
CDC
4
0
4
273,940
0
273,940
48,978
18
FDA
72
18.697
90.697
9,092,456
84,044
9,176,500
508,852
6
HRSA
2
0.5
2.5
158,025
0
158,025
4,181
3
IHS
14
1
3
167,953
0
167,953
1,200
1
NIH
20
21.05
41.05
2,023,384
8,335
2,031,719
31,825
2
SAMHSA
0
.5
.5
42,500
0
42,500
2,027
5
PHS total
117
42.747
147.747
$12,001,083
$103,706
$12,104,789
%599,499
5
HHS Total
196
57.387
241.387
$14,606,788
$206,677
$14,813,465
$711,259
5
- FOIA REGULATIONS (including fee schedule):
The FOIA regulation implementing the 1996 amendments to the Freedom of Information Act has been published as a Notice of Proposed Rule Making and public comments have been received. The passage of PL 105-277 requiring OMB to revise circular A-110 will require further revisions to the HHS FOIA Regulation and public comments on those new sections. That effort is currently underway. Until such time as the revised regulation is published as a new final rule, however the current HHS FOIA regulation can be found at 45 CFR Part 5, and at: www.hhs.gov/foia/45cfr5.html.