HHS Fiscal Year 2000
Freedom of Information Annual Report
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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:
http://www.hhs.gov/about/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, D.C. 20201
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HOW TO MAKE A FOIA REQUEST: Please see
HHS Guide to Information Resources
at: www.hhs.gov/about/foia. (Copy attached to paper report).
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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) 690-7453
Administration 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) 690-7453
Administration on Aging (AoA)
Freedom of Information Officer
330 Independence Avenue, S.W.
Washington D.C. 20201
Telephone: (202) 619-2598
Agency for Healthcare Research and Quality (AHRQ)
Freedom of Information Officer
Suite 501
2101 East Jefferson Street
Rockville, MD 20852
Telephone: (301) 594-6391
Centers 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) 639-7270
Food and Drug Administration (FDA)
Freedom of Information Officer
Room 12-A-16, Parklawn Building
5600 Fishers Lane
Rockville MD 20857
Telephone: (301) 827-6567
Health Care Financing Administration (HCFA)
Freedom of Information Officer
Room N2-20-06, North Building
Baltimore, MD 21244
Telephone: (410) 786-5352
Health Resources and Services Administration (HRSA)
Freedom of Information Officer
Room 14-45, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-2865
Indian Health Service (IHS)
Freedom of Information Officer
Suite 450
12300 Twinbrook Parkway
Rockville, MD 20857
Telephone: (301) 443-1116
National Institutes of Health (NIH)
Freedom of Information Officer
Room 2B39, Building 31
9000 Rockville Pike
Bethesda, MD 20892
Telephone: (301) 496-5633
Office of Public Health and Science (OPHS)
Freedom of Information Officer
Room 17-A-46 Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-5252
Program Support Center (PSC)
Freedom of Information Officer
Room 17-A-18, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-1494
Substance Abuse and Mental Health Services Administration
(SAMHSA)
Freedom of Information Officer
Room 13-C-05, Parklawn Building
5600 Fishers Lane
Rockville, MD 20857
Telephone: (301) 443-3814
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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, there 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.
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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.
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DEFINITIONS OF TERMS AND ACRONYMS USED IN REPORT:
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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
HCFA - Health Care Financing Administration (Medicare and Medicaid)
HRSA -- Health Resources and Services Administration
IHS -- Indian Health Service
NIH - National Institutes of Health
OPHS -- Office of Public Health and Science
PRO - Professional Review Organization
PSC - Program Support Center
SAMHSA - Substance Abuse and Mental Health Services Administration
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Basic terms (from FOIA UPDATE , Summer 1997):
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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).
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Initial Request - a request to a federal agency
for access to records under the Freedom of Information
Act.
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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.
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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.
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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).
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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.
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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.
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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.
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Grant - an agency decision to disclose all
records in full response to a FOIA request
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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.
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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).
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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).
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"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.
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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).
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Median number - the middle, not average, number.
For example, of 3, 7, and 14, the median number is 7.
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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.
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EXEMPTION 3 STATUTES:
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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); 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).
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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.
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.
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Has a court upheld the use of each statute? If so,
cite example: No.
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INITIAL FOIA/PA ACCESS REQUESTS (Include all requests, 3rd or
1st party):
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Numbers of initial requests (line 1 + line 2 - line 3 =
line 4):
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Number of requests pending at close of preceding fiscal
year: 16774
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Number of requests received during reporting fiscal
year: 61971
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Number of requests processed during reporting fiscal
year: 60060
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Number of requests pending at close of reporting fiscal
year: 18685
(Enter this number also as Line VII.B.1.)
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Disposition of Initial Requests:
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Number granted in full: 50710
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Number granted in part: 823
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Number of full and partial denials: 9350 (includes
item 4, below).
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Number of times each FOIA exemption was used:
Exemption 1 - 0000
Exemption 2 - 61
Exemption 3 - 28
Exemption 4 - 309
Exemption 5 - 216
Exemption 6 - 1438
Exemption 7 - 247
(Exemption 7(A) - 182
Exemption 7(B) - 0
Exemption 7(C) - 43
Exemption 7(D) - 13
Exemption 7(E) - 9
Exemption 7(F) - 0)
Exemption 8 - 0000
Exemption 9 - 0000
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Other reasons for non-disclosure (total) 7295
a. no records 3130
b. referrals 409
c. request withdrawn 2437
d. fee-related reason 156
e. records not reasonably described 07
f. not a proper FOIA request for some other reason
460
g. not an agency record 25
h. duplicate request 334
i. other (specify) 337 (Glomar; materials more
readily available from other sources, e.g. internet,
libraries, etc.)
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APPEALS OF INITIAL DENIALS OF FOIA/PA REQUESTS (include all
access requests whether first or third party):
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Numbers of Appeals:
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Number of appeals received during the fiscal year
205
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Number of appeals processed during the fiscal year
98
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Disposition of Appeals:
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Number completely upheld 30
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Number partially reversed 14
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Number completely reversed 19
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Number of times each FOIA exemption used
(counting each exemption used once per
appeal)
Exemption 1 - 0
Exemption 2 - 0
Exemption 3 - 0
Exemption 4 - 0
Exemption 5 - 11
Exemption 6 - 11
Exemption 7 - 6
(Exemption 7 (A) - 4
Exemption 7(B) - 0
Exemption 7(C) - 2
Exemption 7(D) - 0
Exemption 7(E) - 0
Exemption 7(F) - 0)
Exemption 8 - 0
Exemption 9 - 0
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Other reasons for non-disclosure (total) 35
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no records 18
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referrals 1
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request withdrawn 7
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fee-related reason 2
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records not reasonably described 0
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not a proper FOIA request for some other reason
0
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not an agency record 0
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duplicate request 3
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other (specify) 4 (non-agency appeal; Glomar;
material more readily available from other
sources, e.g., Internet, libraries, etc.)
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COMPLIANCE WITH TIME LIMITS/STATUS OF PENDING REQUESTS:
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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/OPHS)
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Simple Requests (if multiple tracks used):
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number of requests processed _______
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median number of days to process _______
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Complex Requests (specify for any and all tracks used):
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number of requests processed _______
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median number of days to process _______
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Requests Accorded Expedited Processing:
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number of requests processed: 58
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median number of days to process: 69 (This
is the median of the medians. Individual
operating division medians range from 5 days
to135 days)
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Status of Pending Requests (if multiple tracks are being
used, report for each track as well as totals).
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Number of requests pending as of the end of the fiscal
year covered in this report (from Line V.A.4):
18685
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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, median of medians was 153, and
the medians ranged from 5 days to 301 days.
**Median times of pending requests for the major
components are:
OS: 27
CDC: 58
FDA: 188
HCFA: 301
HRSA: 16
NIH: 210
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COMPARISONS WITH PREVIOUS YEARS(S) (Optional):
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COSTS/FOIA STAFFING:
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Staffing levels:
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Number of full-time FOIA personnel 174
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Number of personnel with part-time or occasional FOIA
duties (in total work-years) 70
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Total number of personnel (in work years) 244
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Total costs (including staff and all resources):
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FOIA processing (including appeals) $10,393,562
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Litigation-related activities (estimated)
$412,705
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Total costs $10,806,267
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Comparison with previous year(s) (including percentage
of change) (optional) _____
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FEES:
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Total amount of fees collected by agency for processing
requests: $1,120,221
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Percentage of total costs: 10.4%
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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
(Copy attached to paper report).
Comments/Suggestions to Rosario Cirricione
Last revised: December 1, 2003
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