United States Department of Health and Human Services
Decorative bullet image: Home
Decorative bullet image: Questions?
Decorative bullet image: Contact Us
Decorative bullet image: Site Map
HHS Logo Bottom
spacer image
    

HHS Fiscal Year 2003
Freedom of Information Annual Report


  1. 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/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

  2. 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) 690-7453

    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
    Executive Secretariat
    330 Independence Avenue, S.W.
    Washington D.C. 20201
    Telephone: (202) 357-3540

    Agency 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) 427-1866

    Centers 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) 639-7270

    Centers for Medicare & Medicaid Services
    Freedom of Information Officer
    7500 Security Boulevard
    Room N2-20-16, North Building
    Baltimore, Maryland 21244
    Telephone (410) 786-5352

    Food and Drug Administration (FDA)
    Freedom of Information Officer
    5600 Fishers Lane (HFI-35), Room 12A-16
    Rockville, MD 20857
    Telephone: (301) 827-6500

    Health Resources and Services Administration (HRSA)
    Freedom of Information Officer
    Office of Communications, Room 14-15
    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 20852
    Telephone: (301) 443-1116

    National Institutes of Health (NIH)
    Freedom of Information Officer
    Room 5B35, 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
    5600 Fishers Lane
    Rockville, MD 20857
    Telephone: (301) 443-5252

    Substance Abuse and Mental Health Services Administration (SAMHSA)
    Freedom of Information Officer
    Room 13-C-05
    5600 Fishers Lane
    Rockville, MD 20857
    Telephone: (301) 443-8956

    B. 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.

  3. 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 Administration

    B. 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.

  4. EXEMPTION 3 STATUTES

    A. List of Exemption 3 statutes relied on by the agency during report year: (See chart)

    1. Brief description of type(s) of information withheld under each statute: (See chart)

    2. Has a court upheld the use of each statute? If so, cite example: (See chart below)

  5. INITIAL FOIA/PA ACCESS REQUESTS (Include all requests, 3rd or 1st party): (See chart below)

    1. Numbers of initial requests (line 1 + line 2 - line 3 = line 4):

      1. Number of requests pending at close of preceding fiscal year: 19,151 (does not include 157 requests closed retroactively by NIH for FY 2002
      2. Number of requests received during reporting fiscal year: 146,257
      3. Number of requests processed during reporting fiscal year: 144,143
      4. Number of requests pending at close of reporting fiscal year: 21,265 (This number should match Line VII.B.1.)
    2. Disposition of Initial Requests:

      1. Number granted in full: 133,487
      2. Number granted in part: 636
      3. Number of full denials: 1500
      1. 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

    1. no records: 2950
    2. referrals: 394
    3. request withdrawn: 2622
    4. fee-related reason: 707
    5. records not reasonably described: 67
    6. not a proper FOIA request for some other reason:1060
    7. not an agency record: 14
    8. duplicate request: 138
    9. 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: 187

      B. 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 7

              Exemption 7(A): 3
              Exemption 7(B): 0
              Exemption 7(C): 1
              Exemption 7(D): 3
              Exemption 7(E): 0
              Exemption 7(F): 0
            Exemption 8: 0
            Exemption 9: 0

          4. 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):

    a. number of requests processed: 109,177 (See chart)

    b. median number of days to process: (See chart)

    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

    Statute/Rule

    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 2002

    V.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 Year

    AHRQ

    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 sample

    B. 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)

    1. Simple requests only

    2. Multi-track median day figures unavailable

    3. Based on sample

    4. Multi-track median day figures unavailable

    5. Complex requests

    6. 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

    Last revised: March 9, 2004

HHS Home | Questions? | Contact HHS | Site Map | Accessibility | Privacy Policy | Freedom of Information Act | Disclaimers

The White House | FirstGov