HHS Fiscal Year 2003 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/03anlrpt.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/
Office of Public Health and Science (OPHS): www.psc.gov/aos/foia/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 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
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
Office of Communications and Knowledge Transfer, Room 2222
540 Gaither Road
Rockville, MD 20850
Telephone: (301) 427-1866Centers 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): There is no overall time range 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. Individual OPDIV response times 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.
Processed Request or Appeal - A request or appeal for which an agency has taken 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 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 number, not the average. 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)
Brief description of type(s) of information withheld under each statute: (See chart)
Has a court upheld the use of each statute? If so, cite example: (See chart below)
- 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: 19,151 (does not include 157 requests closed retroactively by NIH for FY 2002
- Number of requests received during reporting fiscal year: 146,257
- Number of requests processed during reporting fiscal year: 144,143
- Number of requests pending at close of reporting fiscal year: 21,265 (This number should match Line VII.B.1.)
- Disposition of Initial Requests:
- Number granted in full: 133,487
- Number granted in part: 636
- Number of full denials: 1500
- Number of times each FOIA exemption was used:
Exemption 1: 0000
Exemption 2: 37
Exemption 3: 37
Exemption 4: 301
Exemption 5: 178
Exemption 6: 1764
Exemption 7
Exemption 7(A): 78
Exemption 7(B): 1
Exemption 7 (C): 52
Exemption 7 (D): 17
Exemption 7 (E): 2
Exemption 7 (F): 0
Exemption 8: 0000
Exemption 9: 0000
4. Other reasons for non-disclosure (total): 8520
- no records: 2950
- referrals: 394
- request withdrawn: 2622
- fee-related reason: 707
- records not reasonably described: 67
- not a proper FOIA request for some other reason:1060
- not an agency record: 14
- duplicate request: 138
- other (specify): 568 (Glomar; administrative closures; and materials more readily available from other sources, e.g. internet, libraries, etc.)
VI. APPEALS OF INITIAL DENIALS OF FOIA/PA REQUESTS (include all access requests whether first or third party, See chart):
A. Numbers of Appeals:
1. Number of appeals received during the fiscal year: 178
2. Number of appeals processed during the fiscal year: 187B. Disposition of Appeals:
1. Number completely upheld: 52
2. Number partially reversed: 20
3. Number completely reversed: 18
a. Number of times each FOIA exemption used (counting each exemption used once per appeal)Exemption 1: 0
Exemption 2: 1
Exemption 3: 1
Exemption 4: 17
Exemption 5: 9
Exemption 6: 12
Exemption 7Exemption 7(A): 3
Exemption 7(B): 0
Exemption 7(C): 1
Exemption 7(D): 3
Exemption 7(E): 0
Exemption 7(F): 0Exemption 8: 0
Exemption 9: 04. Other reasons for non-disclosure (total): 97
a. no records: 31
b. referrals:1
c. request withdrawn: 55
d. fee-related reason : 5
e. records not reasonably described: 0
f. not a proper FOIA request for some other reason: 0
g. not an agency record: 1
h. duplicate request: 0
i. other (specify): 4 (administrative closures, material more readily available from other sources, e.g., internet, libraries, etc.VII. COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS: (See chart)
A. Median Processing Time for Requests Processed During the Year: (Some OPDIVs do not use multiple tracks-see attached)
1. Simple Requests (if multiple tracks used):
a. number of requests processed: 34,950 (See chart)
b. median number of days to process: (See chart)
2. Complex Requests (includes total of complex requests and single-track systems):
3. Requests Accorded Expedited Processing:
a. number of requests processed: 16
b. median number of days to process: (See chart)
B. Status of Pending Requests (if multiple tracks are being used, report for each track as well as totals).
1. Number of requests pending as of the end of the fiscal year covered in this report (from Line V.A.4): 21,265
2. Median number of days that such requests were pending as of that date: Medians vary greatly from OPDIV to OPDIV. (See chart)
VIII. COMPARISONS WITH PREVIOUS YEAR(S): (Optional):
A. Comparison of numbers of requests received: Increased by 39.2%, from 105,068 to 146,257
B. Comparison of numbers of requests processed: Increased by 39.7%, from 103,163 to 144,143
C. Comparison of median numbers of days requests were pending as of end of fiscal year: See chart for Section VII
D. Other statistics significant to components: The HHS began collecting information on requests for expedited processing as of April 2003. The HHS received 66 requests for expedited processing, of which 16 were granted.
E. Other narrative statements describing agency efforts to improve timeliness of FOIA performance and to make records available to the public (e.g., backlog-reduction activities; public availability of new categories of records):
IX. COSTS/FOIA STAFFING: (See chart)
A. Staffing levels:
1. Number of full-time FOIA personnel: 180
2. Number of personnel with part-time or occasional FOIA duties (in total work-years): 79.224
3. Total number of personnel (in work years): 259.22
B. Total costs (including staff and all resources):
1. FOIA processing (including appeals): $15,263,798
2. Litigation-related activities (estimated): $291,233
3. Total costs: $15,555,031
4. Comparison with previous year(s) (including percentage of change) (optional):
X. FEES: (See chart below)
A. Total amount of fees collected by agency for processing requests: $708,885
B. Percentage of total costs: 5%
XI. 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.
IV. Exemption 3 Statutes
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
42 U.S.C. 242m(d) 308(d)
National Death Index, information regarding fatalities
No
42 U.S.C. 1320©(9)
Information created or required by a Peer Review organization in the exercise of its duties and functions
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 physician’s conduct or practice
No
V. Initial FOI/PA Access Requests
V.A. Numbers of Initial Requests
(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
292
979
909
362
AOA
0
10
10
0
CMS
3,812
24,953
25,692
3,073
OASPH
269
464
505
228
AHRQ
6
53
50
9
CDC
136
1,245
1,209
172
FDA
14,097
18,094
15,656
16,535
HRSA
37
353
356
34
IHS
20
91,118
91,094
44
NIH
403 (2)
8,866
8,500
769
SAMHSA
79
122
162
39
PHS Total
15,047
120,315
117,532
17,830
HHS Total
19,151
146,257
144,143
21,265
(1)Figures include Privacy Act records requests
(2) Does not include 157 additional “pending” requests closed retroactively for FY 2002V.B. Disposition of Initial Requests
Number of Total Grants
Number of Partial Grants
Number of Full Denials
Total of Other Reasons for Nondisclosure
OS
216
191
29
473
AOA
7
0
0
3
CMS
21,164
60
1,327
3,141
OASPH
237
34
50
184
AHRQ
27
1
0
22
CDC
725
122
10
352
FDA
11,560
45
37
4,014
HRSA
291
24
12
29
IHS
91,047
20
0
27
NIH
8,208
17
7
268
SAMHSA
5
122
28
7
PHS Total
112,100
385
144
4,903
HHS Total
133,487
636
1,500
8,520
V.B.3. Exemptions Claimed Under the FOIA (1)
(2)
(3)
(4)
(5)
(6)
(7A)
(7B)
(7C)
(7D)
(7E)
(7F)
OS
1
1
96
31
132
32
0
27
0
0
0
AOA
0
0
0
0
0
0
0
0
0
0
0
CMS
12
19
21
58
1385
2
0
5
1
2
0
OASPH
2
3
7
14
29
12
0
9
9
0
0
AHRQ
0
0
1
0
0
0
0
0
0
0
0
CDC
20
12
38
30
88
0
0
0
0
0
0
FDA
2
0
42
6
10
27
1
9
7
0
0
HRSA
0
0
17
18
10
0
0
0
0
0
0
IHS
0
0
13
4
6
1
0
0
0
0
0
NIH
0
2
9
11
16
4
0
2
0
0
0
SAMHSA
0
0
57
6
88
0
0
0
0
0
0
PHS Total
24
17
184
89
247
44
1
20
16
0
0
HHS Total
37
37
301
178
1764
78
1
52
17
2
0
(1) No claims for exemption (1), (8), or (9).
V.B.4. Other Reasons for Nondisclosure (Total)
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
113
252
71
4
1
8
2
7
15
AOA
2
1
0
0
0
0
0
0
0
CMS
1003
32
380
652
46
808
2
2
216
OASPH
72
44
55
2
0
1
1
0
9
AHRQ
5
4
9
0
1
3
0
0
0
CDC
216
10
45
17
0
2
3
3
56
FDA
1397
39
1936
12
0
235
1
125
269
HRSA
21
2
2
0
1
1
2
0
0
IHS
2
2
11
4
3
2
0
0
3
NIH
117
6
110
16
15
0
3
1
0
SAMHSA
2
2
3
0
0
0
0
0
0
PHS Total
1832
109
2171
51
20
244
10
129
337
HHS Total
2950
394
2622
707
67
1060
14
138
568
VII. Compliance With Time Limits/Status of Pending Requests
A. Median Processing Time for Requests Processed During the YearAHRQ
AOA
CDC
CMS
FDA
HRSA
IHS
NIH
OS
PHS
SAMHSA
1. a. Number of Simple Requests (Where multiple tracks used)
0
0
0
(1)
24,530
10,021
0
0
0
0
52
(2)
0
b. Median Days to Process
0
0
0
9
19
0
0
0
0
10
0
2.a. Number of Complex Requests (Where multiple tracks used)
0
0
0
1,148
1,011
0
0
0
0
409
0
b. Median Days to Process
0
0
0
84
363
0
0
0
0
60
0
3. a. Number of Expedited Requests
0
0
0
14
2
0
0
0
0
0
0
b. Median Days to Process
0
0
0
76
16
0
0
0
0
0
0
c. Number of Expedited Requests Denied
16
0
11
5
14
4
0
0
0
0
0
d. Total Number of Expedited Requests
16
0
11
19
16
4
0
0
0
0
0
4. a. Number of Single Track Requests
50
10
906
0
4622
356
91094
8500
909
0
162
b. Median Days to Process
30
3.5
42
0
44
22
32
172
40
(3)
0
54
(1) Does not include 303 access requests logged on manual systems
(2) Does not include 44 additional OAPHS requests referred to other organizations
(3) Based on sampleB. Status of Pending Requests
AHRQ
AOA
CDC
CMS
FDA
HRSA
IHS
NIH
OS
PHS
SAMHSA
1. Number of Requests Pending
9
0
172
2168
(1)16535
34
44
769
362
228
39
2. Number of Median Days of Pending Requests as of September 30, 2003
60
0
24
7
216
(2)14
32
169
110
(3)10
(4)60
905
(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
IX. Costs/FOIA Staffing, and
X. Fees
Staffing Levels
Costs (Estimated)
Fees
Full-Time Staff
Staff With Part-Time or Occasional FOIA Duties (In Total Work-years)
Staff (In Work-Years)
FOIA Processing
Litigation-Related Activities
Total Costs
Total Fees Collected
% of Costs
OS
5
0.00
5.00
$ 410,000
$151,997
$ 561,997
$ 12,184
2
AOA
0
0.04
0.04
2,576
0
2,576
0
0
CMS
74
15.20
89.20
2,185,341
51,508
2,236,849
215,104
10
OAPHS
3
0.75
3.75
219,518
17,757
237,275
6,991
3
AHRQ
1
0.25
1.25
50,810
0
50,810
583
1
CDC
4
0.00
4.00
295,502
0
295,502
29,009
9
FDA
75
16.26
91.26
9,775,335
69,280
9,844,615
388,737
4
HRSA
2
0.50
2.50
173,771
0
173,771
7,575
4
HIS
2
13.00
15.00
352,785
0
352,785
1,700
1
NIH
14
32.47
46.47
1,736,875
691
1,737,566
42,329
2
SAMHSA
0
.75
.75
61,285
0
61,285
4,673
8
PHS Total
101
63.98
164.98
$12,665,881
$87,728
$12,753,609
$481,597
3
HHS Total
180
79.22
259.22
$15,263,798
$291,233
$15,555,031
$708,885
5
- Numbers of initial requests (line 1 + line 2 - line 3 = line 4):